Securities and Exchange Commission v. AIC, Inc. et al
| Securities and Exchange Commission |
| CBS Advisors, LLC, AIC, Inc., Community Bankers Securities, LLC, Nicholas D Skaltsounis, John B Guyette, John R Graves, Allied Beacon Partners, Inc. and Advent Securities, Inc. |
| 3:2011cv00176 |
| April 15, 2011 |
| US District Court for the Eastern District of Tennessee |
| Knoxville Office |
| Knox |
| H Bruce Guyton |
| Thomas A Varlan |
| Securities/Commodities/Exchanges |
| 15 U.S.C. ยง 77 |
| None |
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The following documents for this case are available for you to view or download:
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Filing
224
MEMORANDUM OPINION: SEC's Motion for Entry of Final Judgment 205 will be GRANTED in part and DENIED in part to the extent discussed herein and as more fully set forth in the orders of Final Judgment as to each defendant whic h will be contemporaneously entered with this Memorandum Opinion. The Court finds that the SEC is entitled to a permanent injunction as to the AIC defendants, that both the AIC and relief defendants are subject to disgorgement, and that the AIC defendants are also each subject to a statutory penalty in the amounts previously discussed. Signed by Chief District Judge Thomas A Varlan on 8/1/14. (ABF) Modified on 8/1/2014 to indicate c/m (ABF).
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Filing
181
ORDER denying without prejudice 166 Motion to Quash. AIC, Inc. SHALL immediately tender fees and mileage to Grant. To the extent appropriate, AIC, Inc. and the Plaintiff may agree on a pro rata portion of these fees to be paid by each party given that both parties subpoenaed Grants appearance. If Grant is not paid his fees and mileage on or before the date on which he is called to testify, he may renew his motion. Otherwise, Grant will make a single appearance in the trial of this matter, and both the SEC and AIC, Inc., will be afforded an opportunity to elicit testimony from Grant. Signed by Magistrate Judge H Bruce Guyton on 09/23/2013. (KAW) (c/m to William Dolan and Jeffrey Scott)
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Filing
163
MEMORANDUM AND ORDER denying without prejudice 158 Motion for Leave to Appear Pro Hac Vice for Jeffrey J. Scott. The Clerk of Court SHALL refund the pro hac vice fee paid by Mr. Miller, and Mr. Miller may renew his request, to the extent appropriate, at trial.Signed by Magistrate Judge H Bruce Guyton on 09/16/2013. (KAW) (c/m to Mr. Scott.)
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Filing
159
MEMORANDUM, OPINION AND ORDER: SEC's Motion for Partial Summary Judgment 93 is GRANTED to the extent discussed herein. It is ORDERED that the SEC submit an appropriate form of judgment. This matter will proceed to trial on the SEC's remaining claims. Signed by Chief District Judge Thomas A Varlan on 9/12/13. (ABF)
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Filing
114
ORDER granting in part and denying in part Document 91 Motion to Compel filed by the Securities and Exchange Commission. Signed by Magistrate Judge H Bruce Guyton on July 23, 2013. (RLK)
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Filing
81
ORDER granting in part and denying in part, and denying without prejudice in part, 71 Plaintiff's Motion to Strike as set forth more fully herein. The Defendants SHALL FILE an amended Answer that is consistent with the rulings announced herein on or before February 28, 2013. Signed by Magistrate Judge H Bruce Guyton on February 20, 2013. (copies mailed to pro se parties) (AYB)
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Filing
70
ORDER resetting the Jury Trial for 9/23/2013 at 9:00 AM in Courtroom 3C - Knoxville before Chief District Judge Thomas A Varlan. The parties shall contact the chambers of the Honorable Thomas A. Varlan, Chief United States District Judge, to set a pretrial conference. Guidance on production issues and depositions is more fully described herein. Signed by Magistrate Judge H Bruce Guyton on November 30, 2012. (mailed to pro se parties) (AYB)
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Filing
59
ORDER granting the Motion for Stephen Biss to Appear Pro Hac Vice 54 . Therefore, the Court finds that the Motion to Withdraw as Attorney 44 filed by Attorney Swartwood is also well-taken, and it is GRANTED. Accordingly, Attorney Swartwood is RELIEVED of his duties as counsel in this case, and Attorney Biss SHALL SERVE as counsel for the Defendants going forward. Signed by Magistrate Judge H Bruce Guyton on August 21, 2012. (mailed to pro se defendants and to Mr. Biss) (AYB)
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Filing
30
ORDER denying 14 Motion to Change Venue; denying 16 Motion for More Definite Statement. Signed by Magistrate Judge H Bruce Guyton on 9/7/11. (ABF) Modified on 9/7/2011 to indicate c/m to pro se parties (ABF).
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