Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc. et al v. Ocean Capital LLC et al
| Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund IV For Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund V For Puerto Rico Residents, Inc., Puerto Rico Residents Tax-Free Fund, Inc., Puerto Rico Residents Tax-Free Fund IV, Inc. and Puerto Rico Residents Tax-Free Fund VI, Inc. |
| Ocean Capital LLC, William Heath Hawk, Jos R. Izquierdo II, Brent D. Rosenthal, Roxana Cruz-Rivera, Ethan Danial, PRCE Management LLC, Benjamin T. Eilier, Vasileios A. Sfyris, Francisco Gonzalez, Gustavo Nevarez Torres, Alejandro Acosta Rivera, Honne II, LLP, Meir Hurwitz, Mario J. Montalvo, Jos M. Prez-Gutirrez, Sanzam Investments LLC, Juan E. Soto Alvarado, Sandra Caldern, The Estate of Jos Hidalgo, Avraham Zeines, Jose R. Izquierdo II and Jose M. Perez-Gutierrez |
| RAD Investments LLC |
| 3:2022cv01101 |
| February 28, 2022 |
| US District Court for the District of Puerto Rico |
| Aida M Delgado-Colon |
| Securities/Commodities |
| 28 U.S.C. § 1331 Fed. Question: Securities Violation |
| None |
Docket Report
RSS Track this Docket
This docket was last retrieved on September 8, 2023. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 48
MOTION for Joinder Re: #42 MOTION to dismiss and Request for Hearing; Memorandum of Law in Support as to Jose R. Izquierdo II, Vasileios A. Sfyris, Roxana Cruz-Rivera, Benjamin T. Eilier, Ocean Capital LLC, Brent D. Rosenthal, Ethan Danial, PRCE Management LLC, William H MOTION for Hearing filed by Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Ethan Danial, William Heath Hawk, Benjamin T. Eilier, Roxana Cruz-Rivera, Vasileios A. Sfyris, Brent D. Rosenthal filed by Heriberto Lopez-Guzman on behalf of Francisco Gonzalez, Honne II, LLP, Mario J. Montalvo Responses due by 5/11/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Related document(s) #42 ) (Lopez-Guzman, Heriberto)
|
|
Filing 47
NOTICE of Appearance by Robert Matthew Garsson on behalf of All Plaintiffs (Garsson, Robert)
|
|
Filing 46
NOTICE of Appearance by Charlotte K. Newell on behalf of All Plaintiffs (Newell, Charlotte)
|
|
Filing 45
NOTICE of Appearance by Alex J Kaplan on behalf of All Plaintiffs (Kaplan, Alex)
|
|
Filing 44
NOTICE of Appearance by Andrew W. Stern on behalf of All Plaintiffs (Stern, Andrew)
|
|
Filing 43
NOTICE of Filing Exhibits re #42 MOTION to dismiss and Request for Hearing; Memorandum of Law in Support as to Jose R. Izquierdo II, Vasileios A. Sfyris, Roxana Cruz-Rivera, Benjamin T. Eilier, Ocean Capital LLC, Brent D. Rosenthal, Ethan Danial, PRCE Management LLC, William H filed by Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Ethan Danial, William Heath Hawk, Benjamin T. Eilier, Roxana Cruz-Rivera, Vasileios A. Sfyris, Brent D. Rosenthal (Charlson, Michael)
|
|
Filing 42
MOTION to dismiss and Request for Hearing; Memorandum of Law in Support as to Jose R. Izquierdo II, Vasileios A. Sfyris, Roxana Cruz-Rivera, Benjamin T. Eilier, Ocean Capital LLC, Brent D. Rosenthal, Ethan Danial, PRCE Management LLC, William Heath Hawk filed by Jose R. Izquierdo II, Vasileios A. Sfyris, Roxana Cruz-Rivera, Benjamin T. Eilier, Ocean Capital LLC, Brent D. Rosenthal, Ethan Danial, PRCE Management LLC, William Heath Hawk Responses due by 5/9/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29)(Charlson, Michael). Added MOTION for Hearing on 4/26/2022 (idg).
|
|
Filing 41
NOTICE of Appearance by Michael Lloyd Charlson on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris (Charlson, Michael)
|
|
Filing 40
NOTICE of Appearance by Christian A. Nieves-Rodriguez on behalf of Ethan Danial (Nieves-Rodriguez, Christian)
|
|
Filing 39
MOTION for Extension of Time to File Answer or a pre-answer motion re: #1 Complaint,, filed by Tax-Free Fixed Income Fund V For Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund IV For Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc., Puerto Rico Residents Tax-Free Fund IV, Inc., Puerto Rico Residents Tax-Free Fund, Inc., Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc., Puerto Rico Residents Tax-Free Fund VI, Inc. filed by Heriberto Lopez-Guzman on behalf of Francisco Gonzalez, Honne II, LLP, Mario J. Montalvo Responses due by 5/6/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Related document(s) #1 ) (Lopez-Guzman, Heriberto)
|
|
Filing 38
NOTICE of Appearance by Heriberto Lopez-Guzman on behalf of Francisco Gonzalez, Honne II, LLP, Mario J. Montalvo (Lopez-Guzman, Heriberto)
|
|
NOTICE TO PRO HAC VICE Alex J. Kaplan, Andrew J. Stern, Charlotte K. Newell, Robert M. Garsson, Michael Charlson, Marisa Antonelli, Meghan Natenson re: 36 Order on Motion to Appear PHV: The Court has granted your pro hac vice application. In order to start receiving notifications, you must file a notice of appearance using your upgraded PACER account. For more information, visit the following link: #https://www.prd.uscourts.gov/nextgen-cmecf-what-it-means-you. (idg)
|
|
Filing 37
ORDER. Co-defendants Ocean Capital LLC, PRCE Management LLC, William Heath Hawk, Benjamin T. Eiler, Vasileiros A. Sfyris, Jos R. Izquierdo II, Brent D. Rosenthal and Roxana Cruz-Riveras second motion for extension of time to file an answer to the complaint at ECF No. 34 is GRANTED. No further extensions shall be granted absent exigent circumstances. The motion for extension of time at ECF No. 32 is MOOT. Answer due by May 2, 2022. Signed by Judge Aida M. Delgado-Colon on 4/21/22. (wm)
|
|
Filing 36
ORDER. The Pro Hac Vice applications at ECF Nos. 17, 18, 19, 20, 22, 23, 24 are GRANTED. The Clerk of Court shall update the case caption accordingly. Signed by Judge Aida M. Delgado-Colon on 4/21/2022. (wm)
|
|
Filing 35
SUMMONS Returned Executed by All Plaintiffs upon Alejandro Acosta Rivera served on 3/30/2022, answer due 4/20/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 34
Consent MOTION for Extension of Time until May 2, 2022 to File Answer filed by Christian A. Nieves-Rodriguez on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris Responses due by 4/28/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Nieves-Rodriguez, Christian)
|
|
Filing 33
NOTICE of Appearance by Christian A. Nieves-Rodriguez on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris (Nieves-Rodriguez, Christian)
|
|
Filing 32
Consent MOTION for extension of time until 4/14/22 to to answer, move or otherwise respond or plead filed by Harold D. Vicente-Colon on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris Responses due by 4/13/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Vicente-Colon, Harold)
|
|
Filing 31
SUMMONS Returned Executed by All Plaintiffs upon Vasileios A. Sfyris served on 3/28/2022, answer due 4/18/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 30
SUMMONS Returned Executed by All Plaintiffs upon PRCE Management LLC served on 3/28/2022, answer due 4/18/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 29
SUMMONS Returned Executed by All Plaintiffs upon Mario J. Montalvo served on 3/22/2022, answer due 4/12/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 28
SUMMONS Returned Executed by All Plaintiffs upon Francisco Gonzalez served on 3/28/2022, answer due 4/18/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 27
SUMMONS Returned Executed by All Plaintiffs upon Honne II, LLP served on 3/26/2022, answer due 4/18/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 26
SUMMONS Returned Executed by All Plaintiffs upon Benjamin T. Eilier served on 3/28/2022, answer due 4/18/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 25
SUMMONS Returned Executed by All Plaintiffs upon William Heath Hawk served on 3/22/2022, answer due 4/12/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 24
Motion to allow Meghan Natenson to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7696798) filed by Harold D. Vicente-Colon on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris Responses due by 4/13/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Vicente-Colon, Harold)
|
|
Filing 23
Motion to allow Marisa Antonelli to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7696782) filed by Harold D. Vicente-Colon on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris Responses due by 4/13/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Vicente-Colon, Harold)
|
|
Filing 22
Motion to allow Michael Charlson to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7696770) filed by Harold D. Vicente-Colon on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris Responses due by 4/13/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Vicente-Colon, Harold)
|
|
Filing 21
NOTICE of Appearance by Harold D. Vicente-Colon on behalf of Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, Ocean Capital LLC, PRCE Management LLC, Brent D. Rosenthal, Vasileios A. Sfyris (Vicente-Colon, Harold)
|
|
Filing 20
Motion to allow Robert M. Garsson to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7669004) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/30/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia)
|
|
Filing 19
Motion to allow Charlotte K. Newell to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668996) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/30/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia)
|
|
Filing 18
Motion to allow Andrew J. Stern to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668982) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/30/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia)
|
|
Filing 17
Motion to allow Alex J. Kaplan to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668974) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/30/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia)
|
|
Filing 16
SUMMONS Issued as to Alejandro Acosta Rivera, Roxana Cruz-Rivera, Ethan Danial, Benjamin T. Eilier, Francisco Gonzalez, William Heath Hawk, Honne II, LLP, Jose R. Izquierdo II, Gustavo Nevarez Torres, PRCE Management LLC, Jose M. Perez-Gutierrez, RAD Investments LLC, Brent D. Rosenthal, Sanzam Investments LLC, Vasileios A. Sfyris, Juan E. Soto Alvarado, The Estate of Jose Hidalgo and Avraham Zeines. (Attachments: #1 Summons) (vdm)
|
|
Filing 15
Summons Issued as to Sandra Calderon, Meir Hurwitz, Mario J. Montalvo (Attachments: #1 Summons) (arg)
|
|
NOTICE of Docket Text Modification by Deputy Clerk re: #12 Motion to allow Andrew W. Stern to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668982), #13 Motion to allow Charlotte K. Newell to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668996), #11 Motion to allow Alex J. Kaplan to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668974), #14 Motion to allow Robert M. Garsson to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7669004). ***FILED IN ERROR - Incorrect signature format for Applicant Counsel-PHV. Pro Hac Vice shall use handwritten signature when requesting leave to appear. Local Counsel to re-file.*** (idg)
|
|
Filing 14
***FILED IN ERROR - Incorrect signature format for Applicant Counsel-PHV. Pro Hac Vice shall use handwritten signature when requesting leave to appear. Local Counsel to re-file.*** Motion to allow Robert M. Garsson to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7669004) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/23/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia) Modified to file in error on 3/11/2022 (idg).
|
|
Filing 13
***FILED IN ERROR - Incorrect signature format for Applicant Counsel-PHV. Pro Hac Vice shall use handwritten signature when requesting leave to appear. Local Counsel to re-file.*** Motion to allow Charlotte K. Newell to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668996) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/23/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia) Modified to file in error on 3/11/2022 (idg).
|
|
Filing 12
***FILED IN ERROR - Incorrect signature format for Applicant Counsel-PHV. Pro Hac Vice shall use handwritten signature when requesting leave to appear. Local Counsel to re-file.*** Motion to allow Andrew W. Stern to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668982) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/23/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia) Modified to file in error on 3/11/2022 (idg).
|
|
Filing 11
***FILED IN ERROR - Incorrect signature format for Applicant Counsel-PHV. Pro Hac Vice shall use handwritten signature when requesting leave to appear. Local Counsel to re-file.*** Motion to allow Alex J. Kaplan to appear pro hac vice (Pro Hac fee $300 receipt number APRDC-7668974) filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/23/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Lavergne-Ramirez, Alicia) Modified to file in error on 3/11/2022 (idg).
|
|
Filing 10
SUMMONS Returned Executed by All Plaintiffs upon Ocean Capital LLC served on 3/9/2022, answer due 3/30/2022. (Viviani-Melendez, Gustavo)
|
|
Filing 9
NOTICE of Filing Exhibits - Summons filed by Gustavo J. Viviani-Melendez on behalf of All Plaintiffs. Responses due by 3/23/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons, #2 Summons, #3 Summons)(Viviani-Melendez, Gustavo) Modified title on 3/11/2022 (idg).
|
|
Filing 8
NOTICE of Filing Exhibits Summons as to Sandra Caldern, Meir Hurwitz, Mario J. Montalvo filed by Gustavo J. Viviani-Melendez on behalf of All Plaintiffs Responses due by 3/22/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons, #2 Summons, #3 Summons)(Viviani-Melendez, Gustavo) Modified title on 3/10/2022 (idg).
|
|
Filing 7
NOTICE of Filing Exhibits Summons as to Avraham Zeines filed by Gustavo J. Viviani-Melendez on behalf of All Plaintiffs Responses due by 3/22/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons)(Viviani-Melendez, Gustavo) Modified title on 3/10/2022 (idg).
|
|
Filing 6
NOTICE of Exhibits Summons as to Alejandro Acosta Rivera, Ethan Danial, Francisco Gonzalez, Honne II, LLP, Gustavo Nevarez Torres, Jose M. Perez-Gutierrez, Juan E. Soto Alvarado, The Estate of Jos Hidalgo filed by Gustavo J. Viviani-Melendez on behalf of All Plaintiffs Responses due by 3/22/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons, #2 Summons, #3 Summons, #4 Summons, #5 Summons, #6 Summons, #7 Summons, #8 Summons)(Viviani-Melendez, Gustavo) Modified title on 3/10/2022 (idg).
|
|
Filing 5
NOTICE of Filing Exhibits as to Roxana Cruz-Rivera, Benjamin T. Eilier, William Heath Hawk, Jose R. Izquierdo II, PRCE Management LLC, RAD Investments LLC, Brent D. Rosenthal, Sanzam Investments LLC, Vasileios A. Sfyris filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/21/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons Summons PRCE Management LLC, #2 Summons Summons RAD Investments, #3 Summons Summons SANZAM Investments, #4 Summons Summons V Sfyris, #5 Summons Summons B Eiler, #6 Summons Summons B Rosenthal, #7 Summons Summons J Izquierdo, #8 Summons Summons R. Cruz Rivera, #9 Summons Summons W Hawk)(Lavergne-Ramirez, Alicia) Modified title on 3/10/2022 (idg).
|
|
Filing 4
Summons Issued as to Ocean Capital LLC (Attachments: #1 Summons) (ad)
|
|
Filing 3
NOTICE of Filing Exhibits Summons as to Ocean Capital LLC filed by Alicia I. Lavergne-Ramirez on behalf of All Plaintiffs Responses due by 3/16/2022. NOTE: Pursuant to FRCP 6(a) an additional three days does not apply to service done electronically. (Attachments: #1 Summons Summons Ocean Capital LLC)(Lavergne-Ramirez, Alicia) Modified title on 3/3/2022 (idg).
|
|
Filing 2
NOTICE OF JUDGE ASSIGNMENT Case has been assigned to Judge Aida M. Delgado-Colon (arg)
|
|
Filing 1
COMPLAINT For Violations of the Federal Securities Laws against All Plaintiffs ( Filing fee $402 receipt number APRDC-7656412.), filed by Puerto Rico Residents Tax-Free Fund IV, Inc., Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc., Puerto Rico Residents Tax-Free Fund, Inc., Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc., Puerto Rico Residents Tax-Free Fund VI, Inc., Tax-Free Fixed Income Fund IV For Puerto Rico Residents, Inc., Tax-Free Fixed Income Fund V For Puerto Rico Residents, Inc.. Service due by 5/31/2022, (Attachments: #1 Category Sheet Category Sheet, #2 Civil Cover Sheet Civil Cover Sheet)(Lavergne-Ramirez, Alicia)
|
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 Puerto Rico District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
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.
