Securities and Exchange Commission v. Femenia et al

Plaintiff: Securities and Exchange Commission
Defendant: John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth Michael Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante and Aaron M. Wens
Case Number: 3:2012cv00803
Filed: December 5, 2012
Court: US District Court for the Western District of North Carolina
Office: Charlotte Office
County: Mecklenburg
Presiding Judge: Graham Mullen
Nature of Suit: Securities/Commodities
Cause of Action: 15:78m(a) Securities Exchange Act
Jury Demanded By: Plaintiff

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed Document Text
April 24, 2018 Opinion or Order Filing 358 ORDER Granting 356 Motion for Disgorgement and Civil Penalty Against Defendant Aaron M. Wens. This Judgment resolves, concludes and terminates Plaintiffs case against defendant Wens. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. Signed by Senior Judge Graham Mullen on 4/24/2018. (jaw)
March 29, 2018 Opinion or Order Filing 353 JUDGMENT as to Defendant Aaron Wens Ordering Permanent Injunction and other relief. Signed by Senior Judge Graham Mullen on 3/29/2018. (jaw)
March 22, 2017 Opinion or Order Filing 324 JUDGMENT AND ORDER granting in part and denying in part 318 Motion for Disgorgement and Civil Penalties Against Defendant Kenneth M. Raby. Plaintiff's Motion for Disgorgement is Granted. Plaintiff's Motion for Civil Penalty is Denied. Plaintiff's Motion for Pre-Judgment Interest is denied. Signed by Senior Judge Graham Mullen on 3/21/2017. (eef)
November 17, 2016 Opinion or Order Filing 311 ORDER granting 306 Motion for Disgorgement, DENYING Motion for Civil Penalty, DENYING motion for pre-judgment interest. Signed by Senior Judge Graham Mullen on 11/17/2016. (jlk)
August 19, 2015 Opinion or Order Filing 248 AMENDED ORDER re 244 MOTION for Extension of Time to Answer re: 107 Amended Complaint, . Signed by Senior Judge Graham Mullen on 8/19/2015. (eef)
May 7, 2015 Opinion or Order Filing 231 ORDER CONTINUING AND PARTIALLY ASSET FREEZE FOR DEFENDANT ROGER A. WILLIAMS. Signed by Senior Judge Graham Mullen on 05/07/2015. (jlk)
December 16, 2014 Opinion or Order Filing 218 JUDGMENT as to Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 12/16/2014. (eef)
April 1, 2014 Opinion or Order Filing 173 ORDER denying 137 Motion for Civil Penalties against Defendants James A. Hayes and Frank M. Burgess, and the Court hereby declines to impose civil penalties against these defendants. Signed by Senior Judge Graham Mullen on 4/1/2014. (eef)
March 20, 2014 Opinion or Order Filing 172 ORDER granting 168 Motion to Seal Document. Signed by Senior Judge Graham Mullen on 3/20/2014. (jde)
November 1, 2013 Opinion or Order Filing 142 AMENDED ORDER Continuing and Partially Lifting Asset Freeze for Defendant Kennth M. Raby. Signed by Senior Judge Graham Mullen on 11/1/2013. (tmg)
October 18, 2013 Opinion or Order Filing 139 AMENDED ORDER Continuing and Partially Lifting Asset Freeze for Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 10/18/2013. (cbb)
September 26, 2013 Opinion or Order Filing 129 ORDER Continuing and Partially Asset Freeze for Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 9/26/2013. (tmg)
September 25, 2013 Opinion or Order Filing 127 ORDER on the courts own motion that the SECs motions for civil penalty as to these Defendants shall be filed no later than October 15, 2013. Defendants shall have three weeks thereafter to respond, plaintiff shall then have three weeks to file a reply. Signed by Senior Judge Graham Mullen on 9/25/2013. (eef)
August 26, 2013 Opinion or Order Filing 125 ORDER on the Courts own Motion setting Hearing. ( Evidentiary Hearing set for 9/25/2013 11:00 AM in Courtroom 3, 401 W Trade St, Charlotte, NC 28202 before Senior Judge Graham Mullen.). Signed by Senior Judge Graham Mullen on 8/26/2013. (eef)
July 23, 2013 Opinion or Order Filing 118 ORDER granting 117 Motion FOR CONTINUANCE AND PARTIAL LIFTING OF THE ASSET FREEZE. Signed by Senior Judge Graham Mullen on 7/22/2013. (blf)
July 3, 2013 Opinion or Order Filing 116 JUDGMENT as to Defendant Frank M. Burgess. Signed by Senior Judge Graham Mullen on 7/2/2013. (eef)
June 24, 2013 Opinion or Order Filing 113 JUDGMENT as to Defendant James A. Hayes. Signed by Senior Judge Graham Mullen on 6/24/2013. (Attachments: # 1 Consent of Defendant James A. Hayes) (tmg)
May 22, 2013 Opinion or Order Filing 106 ORDER CONTINUING AND PARTIALLY LIFTING ASSET FREEZE WITH RESPECT TO DEFENDANT FRANK M. BURGESS re 100 MOTION for Release of Funds . Signed by Senior Judge Graham Mullen on 5/22/2013. (eef)
May 9, 2013 Opinion or Order Filing 101 ORDER re Status Conference,. Signed by Senior Judge Graham Mullen on 5/9/2013. (eef)
May 1, 2013 Opinion or Order Filing 98 ORDER CONTINUING AND PARTIALLY LIFTING ASSET FREEZE FOR DEFENDANT FRANK M. BURGESS re 93 MOTION for Release of Funds . Signed by Senior Judge Graham Mullen on 5/1/2013. (eef)
April 22, 2013 Opinion or Order Filing 88 ORDER (Status Conference set for 5/9/2013 10:30 AM in Chambers before Senior Judge Graham Mullen). Signed by Senior Judge Graham Mullen on 4/22/2013. (tmg)
March 28, 2013 Opinion or Order Filing 84 ORDER Continuing and Partially Asset Freeze for Dft. Frank M. Burgess re 81 MOTION for Release of Funds . Signed by Senior Judge Graham Mullen on 3/28/2013. (eef)
March 18, 2013 Opinion or Order Filing 78 ORDER granting 77 Motion for Limited Relief concerning Ameritrade Account. Signed by Senior Judge Graham Mullen on 3/18/2013. (eef)
February 26, 2013 Opinion or Order Filing 76 ORDER Continuing and partially Asset Freeze for Dft. Roger A. Williams re 73 MOTION for Release of Funds. Signed by Senior Judge Graham Mullen on 2/26/13. (bsw)
January 31, 2013 Opinion or Order Filing 66 ORDER CONTINUING AND PARTIALLY LIFTING ASSET FREEZE FORDEFENDANT FRANK M. BURGESS. Signed by Senior Judge Graham Mullen on 1/31/2013. (eef) Modified text on 1/31/2013 (eef).
December 28, 2012 Opinion or Order Filing 58 ORDER granting 43 Motion for Leave to Appear Pro Hac Vice added Lilly Ann Ann Sanchez for Anthony C. Musante,Lilly Ann Ann Sanchez for Christine E. Musante,Lilly Ann Ann Sanchez for Matthew J. Musante. Signed by Senior Judge Graham Mullen on 12/28/12. (tob)
December 19, 2012 Opinion or Order Filing 41 ORDER granting 36 Motion Continueing and Partially Lifting Freeze for Defendant Frank M. Burgess. Signed by Senior Judge Graham Mullen on 12/19/12. (clc)
December 18, 2012 Opinion or Order Filing 34 ORDER granting 4 Motion for Preliminary Injunction as to Hegedus, Laurenti and Goldstar, extending 12/5/12 TRO until further order of this court. Signed by Senior Judge Graham Mullen on 12/18/12. (bsw)
December 17, 2012 Opinion or Order Filing 33 ORDER granting 30 Motion Consent of Defendant John W. Femenia to Preliminary Injunction and Other Relief. Signed by Senior Judge Graham Mullen on 12/17/2012. (eef)
December 13, 2012 Opinion or Order Filing 29 ORDER granting 20 Motion Consent of Defendant Kenneth B. Raby to Preliminary Injunction and Other Relief. Signed by Senior Judge Graham Mullen on 12/13/2012. (eef)
December 11, 2012 Opinion or Order Filing 13 ORDER Amending 5 Order on Motion for TRO. Signed by Senior Judge Graham Mullen on 12/10/2012. (eef)
December 5, 2012 Opinion or Order Filing 8 Order to Unseal Case. Signed by Senior Judge Graham Mullen on 12/5/2012. (eef)

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Search for this case: Securities and Exchange Commission v. Femenia et al
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Plaintiff: Securities and Exchange Commission
Represented By: Pat Huddleston, II
Represented By: Paul Kim
Represented By: M. Graham Loomis
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Defendant: John W. Femenia
Represented By: Mark A. Jones
Represented By: Edward Scott Morvillo
Represented By: Ellen Marie Murphy
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Defendant: Shawn C. Hegedus
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Defendant: Danielle C. Laurenti
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Defendant: Coram Real Estate Holding, Inc.
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Defendant: Goldstar P.S. Inc.
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Defendant: Roger A. Williams
Represented By: Joseph L. Ledford
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Defendant: Kenneth Michael Raby
Represented By: Joseph L. Ledford
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Defendant: Frank M. Burgess
Represented By: Joseph L. Ledford
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Defendant: James A. Hayes
Represented By: Robert Adams Blake, Jr.
Represented By: James F. Wyatt, III
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Defendant: Matthew J. Musante
Represented By: David S. Rudolf
Represented By: Lilly Ann Ann Sanchez
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Defendant: Anthony C. Musante
Represented By: David S. Rudolf
Represented By: Lilly Ann Ann Sanchez
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Defendant: Aaron M. Wens
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