Securities and Exchange Commission v. Femenia et al
| Securities and Exchange Commission |
| 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 |
| 3:2012cv00803 |
| December 5, 2012 |
| US District Court for the Western District of North Carolina |
| Charlotte Office |
| Mecklenburg |
| Graham Mullen |
| Securities/Commodities |
| 15 U.S.C. ยง 78 m(a) Securities Exchange Act |
| Plaintiff |
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Available Case Documents
The following documents for this case are available for you to view or download:
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Filing
425
ORDER granting 424 Motion for modification of injunction and asset freeze. Signed by Senior Judge Graham Mullen on 5/11/2023. (kab)
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Filing
423
JUDGMENT AS TO DEFENDANT DANIELLE C. LAURENTI. Signed by Senior Judge Graham Mullen on 5/31/22. (clc)
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Filing
420
ORDER granting 416 Letter/Motion to Set Aside Default Judgment. Pursuant to Rule 60(b)(6) of the Federal Rules of Civil Procedure, the Court finds that the relief requested by Ms. Laurenti is justified and Judgment as against her is hereby set aside. Signed by Senior Judge Graham Mullen on 12/13/2021. (ef)
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Filing
402
ORDER granting 401 Unopposed MOTION FOR PARTIAL LIFTING OF THE ASSET FREEZE. Signed by Senior Judge Graham Mullen on 12/02/2019. (ctb)
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Filing
398
ORDER re 396 Order on Motion for Reconsideration. Signed by Senior Judge Graham Mullen on 10/15/2019. (ctb)
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Filing
396
ORDER granting 395 Motion for Reconsideration re 394 Order on Motion for Entry of Judgment under Rule 54(b). The Court hereby amends the Judgment entered on September 9, 2019 to provide that the amount of disgorgement be set at $1,369,137.50, which represents all of the funds frozen by the SEC in the two Ameritrade accounts controlled by the Defendant which were used in the insider trading. Signed by Senior Judge Graham Mullen on 10/08/2019. (ctb)
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Filing
394
Judgement as to Matthew J. Musante re 387 Motion for Entry of Judgment under Rule 54(b). Signed by Senior Judge Graham Mullen on 09/09/2019. (ctb)
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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)
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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)
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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)
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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)
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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)
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Filing
231
ORDER CONTINUING AND PARTIALLY ASSET FREEZE FOR DEFENDANT ROGER A. WILLIAMS. Signed by Senior Judge Graham Mullen on 05/07/2015. (jlk)
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Filing
218
JUDGMENT as to Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 12/16/2014. (eef)
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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)
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Filing
172
ORDER granting 168 Motion to Seal Document. Signed by Senior Judge Graham Mullen on 3/20/2014. (jde)
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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)
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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)
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Filing
129
ORDER Continuing and Partially Asset Freeze for Defendant Roger A. Williams. Signed by Senior Judge Graham Mullen on 9/26/2013. (tmg)
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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)
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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)
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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)
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Filing
116
JUDGMENT as to Defendant Frank M. Burgess. Signed by Senior Judge Graham Mullen on 7/2/2013. (eef)
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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)
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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)
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Filing
101
ORDER re Status Conference,. Signed by Senior Judge Graham Mullen on 5/9/2013. (eef)
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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)
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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)
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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)
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Filing
78
ORDER granting 77 Motion for Limited Relief concerning Ameritrade Account. Signed by Senior Judge Graham Mullen on 3/18/2013. (eef)
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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)
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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).
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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)
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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)
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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)
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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)
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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)
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Filing
13
ORDER Amending 5 Order on Motion for TRO. Signed by Senior Judge Graham Mullen on 12/10/2012. (eef)
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Filing
8
Order to Unseal Case. Signed by Senior Judge Graham Mullen on 12/5/2012. (eef)
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