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: North Carolina Western District Court
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
November 17, 2016 311 Opinion or Order of the Court 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 248 Opinion or Order of the Court 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 231 Opinion or Order of the Court 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 218 Opinion or Order of the Court JUDGMENT as to Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 12/16/2014. (eef)
April 1, 2014 173 Opinion or Order of the Court 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 172 Opinion or Order of the Court ORDER granting 168 Motion to Seal Document. Signed by Senior Judge Graham Mullen on 3/20/2014. (jde)
November 1, 2013 142 Opinion or Order of the Court 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 139 Opinion or Order of the Court 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 129 Opinion or Order of the Court 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 127 Opinion or Order of the Court 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 125 Opinion or Order of the Court 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 118 Opinion or Order of the Court 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 116 Opinion or Order of the Court JUDGMENT as to Defendant Frank M. Burgess. Signed by Senior Judge Graham Mullen on 7/2/2013. (eef)
June 24, 2013 113 Opinion or Order of the Court 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 106 Opinion or Order of the Court 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 101 Opinion or Order of the Court ORDER re Status Conference,. Signed by Senior Judge Graham Mullen on 5/9/2013. (eef)
May 1, 2013 98 Opinion or Order of the Court 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 88 Opinion or Order of the Court 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 84 Opinion or Order of the Court 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 78 Opinion or Order of the Court ORDER granting 77 Motion for Limited Relief concerning Ameritrade Account. Signed by Senior Judge Graham Mullen on 3/18/2013. (eef)
February 26, 2013 76 Opinion or Order of the Court 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 66 Opinion or Order of the Court 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 58 Opinion or Order of the Court 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 41 Opinion or Order of the Court 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 34 Opinion or Order of the Court 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 33 Opinion or Order of the Court 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 29 Opinion or Order of the Court 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 13 Opinion or Order of the Court ORDER Amending 5 Order on Motion for TRO. Signed by Senior Judge Graham Mullen on 12/10/2012. (eef)
December 5, 2012 8 Opinion or Order of the Court Order to Unseal Case. Signed by Senior Judge Graham Mullen on 12/5/2012. (eef)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the North Carolina Western District Court's Electronic Court Filings (ECF) System

Search for this case: Securities and Exchange Commission v. Femenia et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities and Exchange Commission
Represented By: Pat Huddleston, II
Represented By: Paul Kim
Represented By: M. Graham Loomis
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: John W. Femenia
Represented By: Mark A. Jones
Represented By: Edward Scott Morvillo
Represented By: Ellen Marie Murphy
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Shawn C. Hegedus
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Danielle C. Laurenti
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Coram Real Estate Holding, Inc.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Goldstar P.S. Inc.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Roger A. Williams
Represented By: Joseph L. Ledford
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Kenneth Michael Raby
Represented By: Joseph L. Ledford
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Frank M. Burgess
Represented By: Joseph L. Ledford
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: James A. Hayes
Represented By: Robert Adams Blake, Jr.
Represented By: James F. Wyatt, III
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Matthew J. Musante
Represented By: David S. Rudolf
Represented By: Lilly Ann Ann Sanchez
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Anthony C. Musante
Represented By: David S. Rudolf
Represented By: Lilly Ann Ann Sanchez
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Aaron M. Wens
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?