Securities and Exchange Commission v. Finger et al
Plaintiff: Securities and Exchange Commission
Defendant: Richard A. Finger, Jr. and Black Diamond Securities, LLC
Interested Party: Attorney John J Tollefsen
Case Number: 2:2011cv01479
Filed: September 8, 2011
Court: US District Court for the Western District of Washington
Office: Seattle Office
County: King
Presiding Judge: Richard A Jones
Nature of Suit: Securities/Commodities
Cause of Action: 12 U.S.C. ยง 22
Jury Demanded By: None
Docket Report

This docket was last retrieved on March 1, 2013. A more recent docket listing may be available from PACER.

Date Filed Document Text
March 1, 2013 Opinion or Order Filing 33 ORDER granting govt's #31 Motion to disburse monies held in court registry by Judge Richard A Jones.(RS)cc fin'l
February 4, 2013 Noting Date Reset re #31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action : Noting Date 2/22/2013. (CL)
February 1, 2013 Filing 32 DECLARATION of Dawn Fernandez filed by Plaintiff Securities and Exchange Commission re #31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action (Attachments: #1 Exhibit No. 1)(Bartlett, Anastasia)
February 1, 2013 Filing 31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) Noting Date 2/8/2013, (Bartlett, Anastasia)
February 1, 2013 Filing 30 NOTICE of Appearance by attorney Anastasia D. Bartlett on behalf of Plaintiff Securities and Exchange Commission. (Bartlett, Anastasia)
October 9, 2012 Filing 29 FINAL JUDGMENT in favor of Plaintiff Securities and Exchange Commission against Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr., by Judge Richard A Jones. (CL)
October 9, 2012 Opinion or Order Filing 28 ORDER by Judge Richard A Jones. The court has received the consents of Defendants Richard A. Finger, Jr. and Black Diamond Securities, LLC to the entry of judgment against them. The court directs the clerk to enter judgment for Plaintiff in substantially the form to which the parties have agreed, and to TERMINATE this civil action.(CL)
August 23, 2012 Filing 27 PROPOSED ORDER (Unsigned) re #25 Offer of Judgment, #26 Offer of Judgment [Proposed] Final Judgment Against Defendants Richard A. Finger, Jr and Black Diamond Securities, LLC. (Mitchell, Robert)
August 23, 2012 Filing 26 CONSENT OF DFT RICHARD A. FINGER, JR., TO ENTRY FINAL OFFER OF JUDGMENT filed by Plaintiff Securities and Exchange Commission. (Mitchell, Robert) Modified text on 8/24/2012 (CL).
August 23, 2012 Filing 25 CONSENT OF DFT BLACK DIAMOND SECURITIES, LLC TO ENTRY OF FINAL OFFER OF JUDGMENT filed by Plaintiff Securities and Exchange Commission. (Mitchell, Robert) Modified text on 8/24/2012 (CL).
July 27, 2012 Opinion or Order Filing 24 ORDER granting #23 Stipulated Motion by Judge Richard A Jones. (VE)
July 27, 2012 Filing 23 Third Stipulated MOTION And [Proposed] Interim Order Dissolving Asset Freeze for Sale of Residence by Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr, Plaintiff Securities and Exchange Commission. Noting Date 7/27/2012, (Bukey, David)
June 11, 2012 Opinion or Order Filing 22 ORDER granting #21 Stipulated Motion dissolving asset freeze by Judge Richard A Jones. (JJ)
June 8, 2012 Filing 21 Stipulated MOTION AND PROPOSED ORDER dissolving asset freeze by Defendant Richard A. Finger, Jr. Noting Date 6/22/2012, (Bukey, David) Modified text on 6/11/2012 (CL).
May 25, 2012 Opinion or Order Filing 20 STIPULATED MOTION AND INTERIM ORDER DISSOLVING ASSET FREEZE AS TO CERTAIN BANK ACCOUNTS by Judge Richard A Jones.(TF)
May 24, 2012 Filing 19 Agreed MOTION and Proposed order re: Partial Dissolution of Asset Freeze by Defendant Richard A. Finger, Jr. Noting Date 6/1/2012, (Bukey, David) Modified text on 5/25/2012 (MD).
December 13, 2011 Filing 18 CORPORATE DISCLOSURE STATEMENT Filed pursuant to Fed.R.Civ.P 7.1.. (Bukey, David)
November 30, 2011 Opinion or Order Filing 17 MINUTE ORDER SETTING TRIAL DATE AND RELATED DATES. Length of Trial: 5 days. BENCH TRIAL is set for 10/29/2012 at 9:00 AM in Courtroom 13106 before Judge Richard A. Jones. Joinder of Parties due by 12/16/2011, Amended Pleadings due by 5/2/2012, Expert Witness Disclosure/Reports under FRCP 26(a)(2) due by 5/2/2012, Discovery completed by 7/2/2012, Dispositive motions due by 7/31/2012, Settlement conference to be held by 8/30/2012, 39.1 mediation to be completed by 10/1/2012, Motions in Limine due by 10/1/2012, Pretrial Order due by 10/15/2012, Trial briefs, proposed Findings of Fact and Conclusions of Law and trial exhibits to be submitted by 10/22/2012, by Judge Richard A. Jones. (VE)
November 30, 2011 NOTICE -- Pursuant to Fed.R.Civ.P 7.1, Defendant Black Diamond Securities LLC must file a Corporate Disclosure Statement by 12/7/2011. (VE)
November 21, 2011 Filing 16 JOINT STATUS REPORT signed by all parties estimated Trial Days: 8.. (Mitchell, Robert)
November 17, 2011 Filing 15 REQUEST for Notice as Interested Party by Interested Party John J Tollefsen for Notice. (Tollefsen, John)
November 8, 2011 Filing 14 STIPULATION AND PROPOSED ORDER Authorizing Attorneys' Fees by parties. (Mitchell, Robert)
November 2, 2011 Filing 13 NOTICE of Unavailability of counsel David B Bukey for Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr from 11/7/11 to 11/11/11. (Bukey, David)
November 2, 2011 Filing 12 WAIVER OF SERVICE of summons upon defendant Black Diamond Securities, LLC mailed on 9/19/2011 (Mitchell, Robert)
November 2, 2011 Filing 11 WAIVER OF SERVICE of summons upon defendant Richard A. Finger, Jr mailed on 9/19/2011 (Mitchell, Robert)
October 6, 2011 Opinion or Order Filing 10 ORDER REGARDING INITIAL DISCLOSURES, JOINT STATUS REPORT AND EARLY SETTLEMENT. FRCP 26f Conference Deadline is 11/7/2011, Initial Disclosure Deadline is 11/14/2011, Joint Status Report due by 11/21/2011, by Judge Richard A. Jones. (VE)
September 20, 2011 Filing 9 NOTICE of Appearance by attorney David B Bukey on behalf of Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr. (Bukey, David)
September 20, 2011 Filing 8 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission re #7 Notice of Appearance. (Eme, Thomas)
September 20, 2011 Filing 7 NOTICE of Appearance by attorney Thomas Joseph Eme on behalf of Plaintiff Securities and Exchange Commission. (Eme, Thomas)
September 19, 2011 Filing 6 Letter from Key Bank re: asset freeze for Defendant Richard Finger. (CL)
September 8, 2011 Filing 5 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission. (Mitchell, Robert)
September 8, 2011 Opinion or Order Filing 4 PRELIMINARY INJUNCTION AND ASSET FREEZE ORDER, by Judge Richard A Jones.The court GRANTS #2 the parties' Stipulated Motion for Entry of Preliminary Injunction and Asset Freeze. (CL)
September 8, 2011 Filing 3 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission re #1 Complaint, #2 Stipulated MOTION for Entry of Preliminary Injunction and Asset Freeze. (Mitchell, Robert)
September 8, 2011 Filing 2 Stipulated MOTION for Entry of Preliminary Injunction and Asset Freeze by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit Consent of Defendants to Entry of Preliminary Injunction and Asset Freeze, #2 Exhibit [Proposed] Preliminary Injunction and Asset Freeze) Noting Date 9/8/2011, (Mitchell, Robert)
September 8, 2011 Filing 1 COMPLAINT against defendant(s) All Defendants, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons, #3 Summons)(Mitchell, Robert) (Fee Waived)
September 8, 2011 Summons(es) issued via U.S. Postal Service as to defendant(s) Black Diamond Securities, LLC, Richard A. Finger, Jr. (DJ)
September 8, 2011 Judge Richard A. Jones added. (DJ)

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Plaintiff: Securities and Exchange Commission
Represented By: Anastasia D. Bartlett
Represented By: Thomas Joseph Eme
Represented By: Robert Lee Mitchell
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Defendant: Richard A. Finger, Jr.
Represented By: David B Bukey
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Defendant: Black Diamond Securities, LLC
Represented By: David B Bukey
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Interested party: Attorney John J Tollefsen
Represented By: John J Tollefsen
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