Securities and Exchange Commission v. Jacobs et al
| Securities and Exchange Commission |
| Leslie J. Jacobs, II and Andrew W. Jacobs |
| 1:2013cv01289 |
| June 11, 2013 |
| US District Court for the Northern District of Ohio |
| Cleveland Office |
| Cuyahoga |
| Solomon Oliver |
| Securities/Commodities |
| 12 U.S.C. § 22 |
| Both |
Docket Report
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This docket was last retrieved on February 3, 2015. A more recent docket listing may be available from PACER.
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Filing 131
Order of Final Judgment. Signed by Judge Solomon Oliver, Jr on 2/3/2015. (D,M)
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| Filing 130 Proposed Order Final Judgment filed by Securities and Exchange Commission. Related document(s) #129 . (Mayes, Joshua) |
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Filing 129
Order granting in part (re #102 ) SEC's Request for Full Remedies. Defendants are permanently enjoined from violating Section 14(e) of the Exchange Act and Rule 14e-3 promulgated thereunder. Defendants are jointly and severally liable for disgorgement in the amount of $49,457.21, and prejudgment interest as calculated pursuant to the 52-week Treasury bill. This court shall retain jurisdiction of this matter for the purposes of enforcing the terms ofthis final judgment. Signed by Judge Solomon Oliver, Jr on 12/3/2014. (D,M)
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Filing 128
Order denying Defendant's Corrected Motion for Reconsideration of Portion of August 15, 2014 Order (Related Doc #117 ). Signed by Judge Solomon Oliver, Jr on 9/25/2014.(D,M)
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Filing 127
Order denying Defendant's Amended Motion for Ruling on Issue Raised in Renewed Motion for Judgment a a Matter of Law (Related Doc #115 ). Signed by Judge Solomon Oliver, Jr on 9/25/2014. (D,M)
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| Filing 126 Reply in support of #102 Motion For Full Remedies and Entry of Final Judgment filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 125 Reply in support of #117 Motion for reconsideration Defendant Andrew W. Jacobs' Corrected Motion for Reconsideration of Portion of August 15, 2014 Order filed by Andrew W. Jacobs. (Mackowski, Martin) |
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Order [non-document] granting #124 Plaintiff's Consent Motion for Extension of Time Until 9/19/2014, to File Response/Reply to re #102 Motion For Full Remedies and Entry of Final Judgment. Approved by Judge Solomon Oliver, Jr on 9/10/2014. (D,M)
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| Filing 124 Consent Motion for extension of time to file response/reply to #102 Motion For Full Remedies and Entry of Final Judgment for SEC Reply Brief until September 19 filed by Plaintiff Securities and Exchange Commission. Related document(s) #102 . (Mayes, Joshua) |
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Order [non-document] granting Consent Motion to Leave to Exceed Page Limitations (Related Doc #121 ) to 21 pages for Defendant's Opposition to Plaintiff's Request for Full Remedies. Approved by Judge Solomon Oliver, Jr on 9/8/2014. Approved by Judge Solomon Oliver, Jr on 9/8/2014. (D,M)
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| Filing 123 Affidavit/Declaration in Opposition to Request for Full Remedies filed by Andrew W. Jacobs. Related document(s) #122 . (Wilson, David) |
| Filing 122 Opposition to #102 Motion For Full Remedies and Entry of Final Judgment filed by Andrew W. Jacobs. (Attachments: #1 Exhibit A-Trial Transcript, #2 Exhibit B-Depo Transcript, #3 Exhibit C-Investigative Transcript)(Wilson, David) |
| Filing 121 Consent Motion for leave to exceed page limitations for Remedies Briefing filed by Defendant Andrew W. Jacobs. (Wilson, David) |
| Filing 120 Opposition to #117 Motion (corrected) for reconsideration of Portion of August 15, 2014 Order filed by Defendant Andrew W. Jacobs' ) Modified text to correct filer on 9/23/2014 (E,P). |
| Filing 119 Opposition to #102 Motion For Full Remedies and Entry of Final Judgment filed by Leslie J. Jacobs, II. (Attachments: #1 Affidavit In Support of Opposition to SEC's Request for Remedies)(Ball, Stanley) |
| Filing 118 Opposition to #115 Amended Motion for ruling on issue raised on renewed motion for judgment as a matter of law filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 117 Motion (Corrected) for reconsideration Defendant Andrew W. Jacobs' Corrected Motion for Reconsideration of Portion of August 15, 2014 Order filed by Defendant Andrew W. Jacobs. (Mackowski, Martin) Modified on 8/25/2014 (B,R). |
| Filing 116 Motion for reconsideration of Portion of August 15, 2014 Order filed by Defendant Andrew W. Jacobs. Related document(s) #112 . (Wilson, David) Modified to term motion on 8/25/2014. See corrected Motion document 117 (B,R). |
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Order [non-document] granting without objection the consent motion for extension of time to file response. Defendants' response to Plaintiff's request for full remedies is due by September 5, 2014. Judge Solomon Oliver, Jr on 8/21/2014. Related document #113 (M,V)
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| Filing 115 Amended Motion for ruling on issue raised in Renewed Motion for Judgment as a Matter of Law filed by Defendant Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 114 Motion for ruling on issue raised in Renewed Motion for Judgment as a Matter of Law filed by Defendant Leslie J. Jacobs, II. (Ball, Stanley) Modified on 8/21/2014 to terminate motion see document #115 (B,R). |
| Filing 113 Consent Motion for extension of time until September 5, 2014 to file response/reply to #102 Motion For Full Remedies and Entry of Final Judgment filed by Andrew W. Jacobs, Leslie J. Jacobs, II. Related document(s) #102 . (Wilson, David) |
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Filing 112
Order denying Defendants' Motion for Judgment as a Matter of Law (Related Doc #107 ). Defendants shall respond to the SEC's Motion for Full Remedies and Entry of Final Judgment (ECF No. 102) within 14 days of the date of this Order. Signed by Judge Solomon Oliver, Jr on 8/15/2014.(D,M)
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Order [non-document] denying Plaintiff's Fourth Motion In Limine (Related Doc #86 ), motion ruled on during course of trial. Approved by Judge Solomon Oliver, Jr on 8/12/2014. (D,M)
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| Filing 111 Jury Instructions. (D,M) |
| Filing 110 Reply to response to #107 Motion for judgment as a matter of law filed by All Defendants. (Attachments: #1 Exhibit A-Lazorchak Complaint)(Wilson, David) |
| Filing 109 Opposition to Defendants' #107 Renewed Motion for judgment as a matter of law filed by Securities and Exchange Commission. (Mayes, Joshua) Modified text on 4/22/2014 (S,R). |
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Order [non-document] granting Plaintiff's Motion to Exceed Page Limitations (Related Doc #108 ). Approved by Judge Solomon Oliver, Jr on 4/21/2014.(D,M)
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| Filing 108 Motion for leave to exceed page limitations filed by Plaintiff Securities and Exchange Commission. Related document(s) #106 , #107 . (Mayes, Joshua) |
| Filing 107 Motion for judgment as a matter of law filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Attachments: #1 Memorandum in Support of Defendants' Renewed Motion for Judgment as a Matter of Law)(Wilson, David) |
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Order [non-document] granting Defendant Andrew W. Jacobs Motion to exceed page limitations (Related Doc #106 ). Approved by Judge Solomon Oliver, Jr on 4/14/2014.(D,M)
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| Filing 106 Motion for leave to exceed page limitations filed by Defendant Andrew W. Jacobs. (Mackowski, Martin) |
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Filing 105
Order granting Defendants' Motion to Set Briefing Schedule on Remedy Issues or in the Alternative Motion for Extension of Time (Related Doc #98 ). Signed by Judge Solomon Oliver, Jr on 3/24/2014. (D,M)
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| Filing 104 Civil Jury Verdict finding Defendants Andrew Jacobs and Leslie Jacobs notliable with respect to the Securities and Exchange Commissions (SEC) claim that Defendants violated Section 10(b) of the Exchange Act and Rule 10(b)(5) and Defendants Andrew Jacobs and Leslie Jacobs liable with respect to the SECs claim that Defendants violated Section 14 of the Exchange Act and Rule 14(e)(3). Plaintiffs remedy has not been determined at this time. The courtwill issue final judgment in the within case once the issue of Plaintiffs remedy has been decided. Signed by Judge Solomon Oliver, Jr., on 3/24/2014. (D,M) |
| Filing 103 Reply to response to #98 Motion Motion for extension of time (In Support of Motion to Set Briefing Schedule or in the Alternative, Motion for Extension of Time) filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Mackowski, Martin) |
| Filing 102 Motion For Full Remedies and Entry of Final Judgment filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Mayes, Joshua) |
| Filing 101 Affidavit/Declaration of Joshua Mayes filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (June 2013 News Article), #2 Exhibit B (March 2014 News Article))(Mayes, Joshua) |
| Filing 100 Response to #98 Motion Motion for extension of time filed by Securities and Exchange Commission. (Mayes, Joshua) |
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Filing 99
Order denying Defendants' Motion for Judgment as a Matter of Law. Signed by Judge Solomon Oliver, Jr on 3/18/2014. (D,M)
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| Filing 98 Motion to set briefing schedule on remedy issues or in the alternative for extension of time filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Ball, Stanley) Modified text 3/14/2014 (K,K). |
| Filing 97 Admitted Exhibit List of all parties. (D,M) |
| Filing 96 Verdict. (Attachment: #(1) Unredacted Verdict) (D,M) |
| Filing 95 Minutes of proceedings before Judge Solomon Oliver, Jr. Jury trial held on 3/6/2014 and concluded. Charge to the jury. Jury deliberations began and concluded. (Court Reporter: Judy Gage.)Time: 7.5 hrs. (D,M) |
| Filing 93 Transcript of Jury Trial held on March 6, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 7, Pages 1389-1473, 85 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/13/2014. Redaction Request due 3/27/2014. Redacted Transcript Deadline set for 4/7/2014. Release of Transcript Restriction set for 6/4/2014. (G,Ju) |
| Filing 94 Minutes of proceedings before Judge Solomon Oliver, Jr. Jury Trial held and continued to Jury Trial 3/6/2014, at 9:00 AM (10:00 a.m. for jurors) in Courtroom 19A before Judge Solomon Oliver Jr. Plaintiff's case concluded. Defendant's case began and concluded. Closing arguments by Plaintiff and Defendants. Witness: Conclusion of Andrew Jacobs testimony. (Court Reporter: Susan Trischan (Judy Gage).)Time: 7 hours 20 minutes. (D,M) |
| Filing 92 Transcript of Jury Trial held on March 5, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 6, Pages 1154-1388, 236 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/12/2014. Redaction Request due 3/26/2014. Redacted Transcript Deadline set for 4/7/2014. Release of Transcript Restriction set for 6/3/2014. (G,Ju) |
| Filing 91 Minutes of proceedings before Judge Solomon Oliver, Jr. Jury Trial held on 3/4/2014 and continued to 3/5/2014 at 9:00 AM in Courtroom 19A before Judge Solomon Oliver Jr. Plaintiff's case continued. Testimony taken. Witness List: continue testimony of Andrew Jacobs. (Court Reporter: Judy Gage (Heidi Geizer).)Time: 7 hours. (D,M) |
| Filing 90 Transcript of Jury Trial held on March 4, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 5, Pages 931-1153, 223 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/11/2014. Redaction Request due 3/25/2014. Redacted Transcript Deadline set for 4/4/2014. Release of Transcript Restriction set for 6/2/2014. (G,Ju) |
| Filing 89 Minutes of proceedings before Judge Solomon Oliver, Jr. Jury Trial held on 3/3/2014 and continued to 3/4/2014 at 9:00 AM in Courtroom 19A before Judge Solomon Oliver Jr. Plaintiff's case continued. Testimony taken. Witness list: continue with Leslie Jacobs; 6) Andrew Jacobs. (Court Reporters: Judy Gage and Heidi Geizer. Time: 7 hours. (D,M) |
| Filing 88 Transcript of Jury Trial held on March 3, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 4, Pages 686-930, 245 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/10/2014. Redaction Request due 3/24/2014. Redacted Transcript Deadline set for 4/3/2014. Release of Transcript Restriction set for 6/2/2014. (G,Ju) |
| Filing 87 Response to #86 Fourth Motion in limine and Request for Curative Jury Instruction filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 86 Fourth Motion in limine and request for curative jury instructions filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Schlegelmilch, Stephan) |
| Filing 85 Transcript of Jury Trial held on February 27, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 3, Pages 448-685, 238 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/6/2014. Redaction Request due 3/20/2014. Redacted Transcript Deadline set for 3/31/2014. Release of Transcript Restriction set for 5/28/2014. (G,Ju) |
| Filing 84 Minutes of proceedings before Judge Solomon Oliver, Jr.Jury Trial held on 2/27/2014 and continued to 3/3/2014, at 9:00 a.m. Plaintiff's case continued. Testimony taken. Witness list: 3) Andrew Acord; 4) Krysta Cannon; 5) Leslie Jacobs. (Court Reporters: Susan Trischan and Judy Gage.Time: 6.5. (D,M) |
| Filing 83 Minutes of proceedings before Judge Solomon Oliver, Jr.Jury Trial held on 2/26/2014, and continued to 2/27/2014, at 9:00 a.m. Plaintiff's case began and continued. Testimony taken. Witness list: 1) Thad Whitfield 2) Blair Ramey. (Court Reporters: Susan Trischan and Judy Gage. Time: 7.5 hrs. (D,M) |
| Filing 82 Transcript of Jury Trial held on February 26, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 2, Pages 179-447, 269 pages ] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/5/2014. Redaction Request due 3/19/2014. Redacted Transcript Deadline set for 3/31/2014. Release of Transcript Restriction set for 5/27/2014. (G,Ju) |
| Filing 81 Minutes of proceedings before Judge Solomon Oliver, Jr. Jury Trial held on 2/25/2014. Jury Selection began and concluded. Opening Statements by Plaintiff and Defendants. Jury Trial continued to 2/26/2014, at 9:00 AM in Courtroom 19A before Judge Solomon Oliver Jr. (Court Reporter: Susan Trischan and Judy Gage. Time: 7 hours. (D,M) |
| Filing 80 Transcript of Jury Trial held on February 25, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 1-PM, Pages 91-178, 88 pages ] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 3/4/2014. Redaction Request due 3/18/2014. Redacted Transcript Deadline set for 3/28/2014. Release of Transcript Restriction set for 5/26/2014. (G,Ju) |
| Filing 79 Transcript of Voir Dire held on February 25, 2014 before Judge Solomon Oliver, Jr.. To obtain a bound copy of this transcript please contact court reporter Judy Gage at 216-357-7238. [Volume 1-AM, Pages 1-90 pages] (G,Ju) |
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Filing 78
Order granting Defendants' Motion in Limine to Exclude All References to Father's Criminal Tax Conviction (Related Doc #28 ); granting Plaintiff's Motion in Limine Pursuant to Federal Rule of Evidence 611 (Related Doc #30 ); granting Plaintiff's Second Motion in Limine Re: Evidence of Defendants' Character (Related Doc #31 ); denying Defendant A. Jacob's Motion in Limine to Exclude Offer of Compromise Under Rule 408 (Related Doc #32 ); granting Defendant A. Jacob's Motion in Limine to Exclude Evidence Regarding Transfer of Funds to Brokerage Account (Related Doc #33 ); denying Defendant A. Jacob's Motion in Limine to Restrict References to Certain Marital Issues (Related Doc #34 ); granting Plaintiff's Third Motion in Limine Regarding Evidence of Adverse Consequences (Related Doc #35 ); and denying Defendant A. Jacob's Motion in Limine to Exclude Chattem's Counsel's Letter to FINRA (Related Doc #36 ). Signed by Judge Solomon Oliver, Jr on 2/25/2014.(D,M)
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Filing 77
Order granting Plaintiff's Request for Judicial Notice (Related Doc #38 ). Signed by Judge Solomon Oliver, Jr on 2/24/2014. (D,M)
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| Filing 76 Reply filed by Andrew W. Jacobs. Related document(s) #72 . (Attachments: #1 Exhibit A - Testimony) (Mackowski, Martin) |
| Filing 75 Exhibit List Third Amended filed by Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 74 Amended Exhibit List Second Amended Exhibit List filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 73 Exhibit List , Second Amended filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 72 Response to Objection to Witnesses filed by Securities and Exchange Commission. Related document(s) #65 . (Mayes, Joshua) |
| Filing 71 Proposed Jury Interrogatories filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Schlegelmilch, Stephan) |
| Filing 70 Proposed Jury Interrogatories Joint filed by All Defendants. (Mackowski, Martin) |
| Filing 69 Proposed Jury Instructions All Parties Joint filed by All Defendants. (Mackowski, Martin) |
| Filing 68 Joint Statement of Facts filed by Andrew W. Jacobs. (Wilson, David) |
| Filing 67 Objection to Defendants' Witness Lists and Exhibits filed by Securities and Exchange Commission. Related document(s) #60 , #63 . (Wilhelm, Kristin) |
| Filing 66 Objection to Plaintiff's Exhibit List filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Wilson, David) |
| Filing 65 Objection to Plaintiff's Witness List Designations of Information and Witnesses Never Disclosed Under Rule 26 filed by All Defendants. Related document(s) #45 . (Attachments: #1 Exhibit Plaintiff's Initial Disclosures, #2 Exhibit Plaintiff's Witness List) (Wilson, David) |
| Filing 64 Amended Exhibit List filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 63 Amended Exhibit List filed by Andrew W. Jacobs. (Wilson, David) |
| Filing 62 Parties Joint Stipulations filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 61 Objection to Portions of Proposed Jury Questionnaire filed by Securities and Exchange Commission. Related document(s) #39 . (Mayes, Joshua) |
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Order [non-document] denying Defendants' Motion to Submit Jury Questionnaire and Incorporated Memorandum of Law (Related Doc #39 ) however, the court has incorporated some of Defendant's questions in questionnaire it has submitted to jurors. Approved by Judge Solomon Oliver, Jr on 2/20/2014.(D,M)
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| Filing 60 Exhibit List Second Amended filed by Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 59 Amended Exhibit List filed by Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 58 Proposed Voir Dire filed by All Defendants. (Ball, Stanley) |
| Filing 57 Witness List filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 56 Exhibit List filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 55 Proposed Voir Dire filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 54 Exhibit List filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 53 Exhibit List filed by Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 52 Witness List filed by Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 51 Response to #32 Motion in limine (No. 1) to Exclude Offer of Compromise Under Rule 408 filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (Form 1662), #2 Exhibit B (Excerpt of A. Jacobs Testimony), #3 Exhibit C (Wells Notice), #4 Exhibit D (Email from D. Wilson), #5 Exhibit E (Excerpt of A. Jacobs Deposition))(Mayes, Joshua) |
| Filing 50 Response to #28 Motion in limine filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 49 Trial Brief filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 48 Trial Brief filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Mackowski, Martin) |
| Filing 47 Opposition to #30 Motion in limine Pursuant to Federal Rule of Evidence 611 filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Mackowski, Martin) |
| Filing 46 Objection to Defendants' Deposition Designations filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 45 Witness List filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 44 SEALED Document:Exhibit A to Response to Motion in Limine regarding Transfer of Funds filed by Securities and Exchange Commission. Related document(s) #23 , #43 . (Mayes, Joshua) |
| Filing 43 Response to #33 Motion in limine (No. 3) to Exclude Evidence Regarding Transfer of Funds to Brokerage Account filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (FILED UNDER SEAL), #2 Exhibit B (Excerpt of A. Jacobs Deposition))(Mayes, Joshua) |
| Filing 42 Response to #36 Motion in limine (No. 2) to Exclude Chattem's Counsel's Letter to FINRA filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (FINRA Inquiry), #2 Exhibit B (FINRA Letter), #3 Exhibit C (Excerpt of Testimony of B. Ramey), #4 Exhibit D (Chattem Insider Trading Policy))(Mayes, Joshua) |
| Filing 41 Response to #34 Motion in limine (No. 4) To Restrict References to Certain Marital Issues filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (Excerpts of Testimony of B. Ramey), #2 Exhibit B (Excerpt of Testimony of A. Jacobs), #3 Exhibit C (Declaration of A. Lipson), #4 Exhibit D (Excerpt of A. Jacobs Deposition), #5 Exhibit E (Excerpt of B. Ramey Deposition))(Mayes, Joshua) |
| Filing 40 Opposition to #31 Second Motion in limine filed by All Defendants. (Ball, Stanley) |
| Filing 39 Motion To Submit Jury Questionnaire filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Attachments: #1 Exhibit Jury Questionnaire, #2 Exhibit Jury Questionnaire Used By The Northern District of Ohio)(Ball, Stanley) |
| Filing 38 Motion for ruling on Request for Judicial Notice filed by Plaintiff Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 37 Affidavit/Declaration of Jerome DeWitt filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (Chattem Stock Prices), #2 Exhibit B (Hershey Stock Prices))(Mayes, Joshua) |
| Filing 36 Motion in limine (No. 2) to Exclude Chattem's Counsel's Letter to FINRA filed by Defendant Andrew W. Jacobs. (Attachments: #1 Exhibit A - FINRA Letter, #2 Exhibit B - Blair Ramey Deposition Excerpt, #3 Exhibit C - SEC Initial Disclosures)(Wilson, David) |
| Filing 35 Third Motion in limine filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Brief in Support)(Schlegelmilch, Stephan) |
| Filing 34 Motion in limine (No. 4) To Restrict References to Certain Marital Issues filed by Defendant Andrew W. Jacobs. (Wilson, David) |
| Filing 33 Motion in limine (No. 3) to Exclude Evidence Regarding Transfer of Funds to Brokerage Account filed by Defendant Andrew W. Jacobs. (Attachments: #1 Exhibit A - Andrew Jacobs Transcript Excerpts)(Wilson, David) |
| Filing 32 Motion in limine (No. 1) to Exclude Offer of Compromise Under Rule 408 filed by Defendant Andrew W. Jacobs. (Attachments: #1 Exhibit A - Draft Statement)(Wilson, David) |
| Filing 31 Second Motion in limine filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Brief in Support)(Schlegelmilch, Stephan) |
| Filing 30 Motion in limine Pursuant to Federal Rule of Evidence 611 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Brief in Support, #2 Exhibit 1 (Excerpt from B. Ramey Deposition))(Mayes, Joshua) |
| Filing 29 Affidavit/Declaration of William S. Dixon filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A (Part 1 of Ramey Transcript), #2 Exhibit A (Part 2 of Ramey Transcript), #3 Exhibit B (Part 1 of A. Jacobs Transcript), #4 Exhibit B (Part 2 of A. Jacobs Transcript), #5 Exhibit C (Chattem FINRA Response Letter), #6 Exhibit D (A. Jacobs Declaration), #7 Exhibit E (B. Ramey Declaration), #8 Exhibit F (Wilhelm Email to R. Dickson))(Mayes, Joshua) |
| Filing 28 Motion in limine filed by Andrew W. Jacobs, Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 27 Attorney Appearance by Stanley C. Ball filed by on behalf of Leslie J. Jacobs, II. (Ball, Stanley) |
| Filing 26 Attorney Appearance by Stephan J. Schlegelmilch filed by on behalf of Securities and Exchange Commission. (Schlegelmilch, Stephan) |
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Filing 25
Order that this case will proceed to trial on 2/25/14 at 9:00 a.m. and will likely last 3-4 days with 5-6 witnesses. At trial the jury will only decide the liability issue. If Defendants are found liable, the court will establish a briefing schedule on the remedy issue. Judge Solomon Oliver, Jr on 1/30/2014. Related Document #24 (M,V)
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| Minutes of proceedings [non-document] before Judge Solomon Oliver, Jr. A telephonic final pretrial conference was held on 1/29/2014. Time: 30 minutes. (M,V) |
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Order (non-document) that the final pretrial conference scheduled for January 29, 2014 at 10:30 a.m. will be held telephonically. Parties are to be available by telephone. Please dial in to (216)357-7030; dial 3055, then access code which is 717171. Judge Solomon Oliver, Jr on 1/28/2014. Related Document #24 (M,V) Modified adding non-document on 1/30/14 (M,V).
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Filing 24
Civil Trial Order scheduling a Final Pretrial Conference for 1/29/2014, at 10:30 AM in Chambers 19A before Judge Solomon Oliver Jr., and a Jury Trial for 2/25/2014, at 9:00 AM in Courtroom 19A before Judge Solomon Oliver Jr. Signed by Judge Solomon Oliver, Jr on 1/16/2014. (D,M)
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Filing 23
Protective Order. Signed by Judge Solomon Oliver, Jr on 1/16/2014. (D,M)
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Order [non-document] granting Motion for Early Pre-Trial Conference and to Set a Trial Date (Related Doc #21 ), inasmuch as time for filing dispositive motions has passed. Trial Order will be issued. Approved by Judge Solomon Oliver, Jr on 1/16/2014. (D,M)
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Order [non-document] granting Motion for Early Pre-Trial Conference and to Set a Trial Date (Related Doc #20 ), inasmuch as time for filing dispositive motions has passed. Trial order will be issued. Approved by Judge Solomon Oliver, Jr on 1/16/2014. (D,M)
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| Filing 22 Proposed Order Consent Stipulated Protective Order filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 21 Motion Early Pre-Trial Conference and to Set a Trial Date filed by Defendant Leslie J. Jacobs, II. (Searby, Edmund) |
| Filing 20 Motion for Early Pre-Trial Conference and to Set a Trial Date filed by Defendant Andrew W. Jacobs. (Wilson, David) |
| Filing 19 Notice of Service of Subpoenas filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Subpoena to Wells Fargo, #2 Exhibit Subpoena to Hershey)(Mayes, Joshua) |
| Filing 18 Notice of Service of Subpoenas filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Subpoenas)(Mayes, Joshua) |
| Filing 17 Notice to take Deposition of Andrew Jacobs on 11/4/2013 filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 16 Notice to take Deposition of Blair Ramey on 11/5/2013 filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 15 Notice to take Deposition of Leslie J. Jacobs on 10/30/2013 filed by Securities and Exchange Commission. (Mayes, Joshua) |
| Filing 14 Initial Disclosures filed by Defendant Leslie J. Jacobs, II. (Searby, Edmund) Modified correct text and terminate motion filed incorrectly; notice regenerated on 8/2/2013 (K,K). |
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Filing 13
Case Management Conference Order/Minutes of Case Management Conference held on 7/23/2013. Case is assigned to the standard track. The parties will exchange pre-discovery disclosures by 8/1/2013. Discovery due by 12/9/2013. Parties to be Joined and Pleading Amendments due by 8/15/2013. Dispositive Motions due by 1/15/2014. The court determined that Alternate dispute Resolution would not be useful at this time. Time: 45 minutes. Signed by Judge Solomon Oliver, Jr on 7/24/2013. (D,M)
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Order [non-document] granting Motion to Excuse Appearance (Related Doc #11 ) of Defendants and permitting attorney David A. Wilson to attending Case Management Conference by telephone. Local counsel must appear in person. Approved by Judge Solomon Oliver, Jr on 7/22/2013. (D,M)
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| Filing 12 Report of Parties' Planning Meeting , parties do not consent to this case being assigned to the magistrate judge, filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 11 Motion to excuse appearance Personal Attendance at Case Management Conference filed by Defendant Andrew W. Jacobs. (Mackowski, Martin) |
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Filing 10
Case Management Conference Scheduling Order with case management conference to be held on 7/23/2013, at 3:00 PM at Chambers 19A before Judge Solomon Oliver Jr. Signed by Judge Solomon Oliver, Jr on 7/9/2013. (D,M)
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| Filing 9 Magistrate Consent Package issued. (D,M) |
| Filing 8 Letter to the court from counsel on behalf of Defendant Andrew W. Jacobs, requesting a case management conference. (D,M) |
| Filing 7 Letter to the court from counsel on behalf of Defendant Leslie J. Jacobs, II, requesting a case management conference. (D,M) |
| Filing 6 Answer to #1 Complaint, with Jury Demand filed by Leslie J. Jacobs, II. (Searby, Edmund) |
| Filing 5 Attorney Appearance by Edmund W. Searby filed by on behalf of Leslie J. Jacobs, II. (Searby, Edmund) |
| Filing 4 Answer to #1 Complaint, filed by Andrew W. Jacobs. (Mackowski, Martin) |
| Filing 3 Waiver of Service Returned Executed by Andrew W. Jacobs. Andrew W. Jacobs waiver sent on 6/14/2013, answer due 8/13/2013. filed on behalf of Andrew W. Jacobs (Mackowski, Martin) |
| Filing 2 Original Summons and Magistrate Consent Form issued for service upon Andrew W. Jacobs, Leslie J. Jacobs, II. (Attachments: #1 Magistrate Consent Form) (C,B) Modified party name text on 6/12/2013 (H,LA). |
| Filing 1 Complaint with jury demand by Securities & Exchange Commission against All Defendants.. Filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons A. Jacobs, #3 Summons L. Jacobs) (Mayes, Joshua) Modified text on 6/11/2013 (C,B). |
| Judge Solomon Oliver, Jr assigned to case. (C,B) |
| Random Assignment of Magistrate Judge pursuant to Local Rule 3.1. In the event of a referral, case will be assigned to Magistrate Judge Baughman. (C,B) |
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