NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Jury Trial - Day 9 held on November 5, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 8 held on November 4, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn)
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Jury Trial - Day 7 held on November 3, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 5 held on November 1, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 3 held on October 28, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 2 held on October 27, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 1 held on October 26, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Jury Trial - Day 6 held on November 2, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
Transcript of Jury Trial - Day 4 held on October 29, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn)
ELECTRONIC NOTICE issued requesting courtesy copy for [245] Memorandum in Support of Motion, [246] Appendix/Exhibit, [244] MOTION for Order Entering Final Judgment. Counsel who filed these documents are requested to submit a courtesy copy of these documents to the Clerk's Office by 1/4/2022. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Geraldino-Karasek, Clarilde)
Interim RESPONSE to Motion re [239] MOTION for Judgment as a Matter of Law (Preliminary Opposition to Renewed Motion for Judgment as a Matter of Law and Motion to Reset Deadline for Full Opposition If It Is Desired by the Court) filed by Securities and Exchange Commission. (Jones, Marc)
Judge Patti B. Saris: ENDORSED ORDER entered ALLOWED re [236] Proposed Remedies Briefing Schedule. SET DEADLINES AS TO: Opening Brief due by 12/22/2021; Opposition Brief due by 1/20/2022; Reply Brief due by 1/27/2022. REMEDIES MOTION HEARING SET FOR 2/15/2022 02:30 PM BY VIDEO before Judge Patti B. Saris. This hearing will be conducted by VIDEO CONFERENCE. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible. Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov.(Geraldino-Karasek, Clarilde)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/5/2021 DAY 9 (FRIDAY). #1 Juror did not report today - court excused #1. 6 Juror's present, Deliberations resume. VERDICT RETURNED, See verdict slip Docket entry #232 for details. Jury Excused. All Exhibits returned to Counsel, including Chalks. Parties will notify the Clerk in the next couple of weeks to set up Status Conference by Zoom re: briefing schedule, court adjourned. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
JURY VERDICT entered as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde)
233
Filed: 11/4/2021, Entered: 11/5/2021
Jury Trial Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/4/2021 DAY 8 (THURSDAY). 7 Juror's present, Deliberations resume; Jury excused until Friday 11/5/2021.(Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
231
Filed: 11/3/2021, Entered: 11/4/2021
Jury Trial Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/3/2021 DAY 7 (WED). Closings/Charge to the Jury. Parties agree on the record and are content with all the admitted exhibits - Exhibits sent to the Jury Room. JERS Disc released to jury room. DELIBERATIONS BEGIN. Court adjourned until Thursday 11/4/2021 at 8:30am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen)
Judge Patti B. Saris: ELECTRONIC ORDER entered DENIED [229] MOTION for Judgment as a Matter of Law by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Geraldino-Karasek, Clarilde)
228
Filed: 11/2/2021, Entered: 11/3/2021
Jury Trial Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/2/2021 DAY 6 (Tuesday). P-8 Father Lemelson testimony resumes; P-9 Nicholas Jabbour-sworn; P-10 Robert Fields-sworn. Plaintiff Rests, Defense Rests. Closings to begin on Wed 11/3/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/1/2021 DAY 5 (MONDAY). 8 Juror's present, 1 juror excused for cause. SEC calls P-8 Father Lemelson-sworn, court adjourned until Tuesday 11/2/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/29/2021 DAY 4 (Friday). P-7 John Higgins-sworn, court adjourned until Monday 11/1/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen)
221
Filed: 10/28/2021, Entered: 10/29/2021
Jury Trial Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/28/2021 Day 3 (Thursday). P-4 Bruce Voss; P-5 Catherine Hyodo- BY VIDEO; P-6 Sougata Banerjee BY VIDEO, court adjourned. Trial to resume on Friday 10/29/21 at 9:00am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net. and Joan Daly-afternoon proceeding) (Molloy, Maryellen)
220
Filed: 10/27/2021, Entered: 10/29/2021
Jury Trial Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/27/2021 DAY 2 (Wed). P-1 Ketih Marschke testimony resumes; P-2 Matthew Foehr; P-3 Brian Lian, court adjourned until Thursday 10/28/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen)
217
Filed: 10/26/2021, Entered: 10/27/2021
Jury Trial Begun
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/26/2021. TRIAL DAY 1. Conference without jury present. Jurors brought in. Jury Selection process began. 8 jurors impaneled. Jurors sworn. Preliminary instructions. Court admitted joint exhibits. Plaintiff calls: Keith Marschke (direct/cross). Marscheke will resume stand on 10/27/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.)(Attorneys present: Various) (Pezzarossi, Lisa)
219
Filed: 10/25/2021, Entered: 10/27/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Final Pretrial Conference held on October 14, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 11/15/2021. Redacted Transcript Deadline set for 11/26/2021. Release of Transcript Restriction set for 1/24/2022. (Coppola, Katelyn)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Hearing held on 10/25/2021. Colloquy re: objected to exhibits. (Court Reporter: Lee Marzilli at leemarz@aol.com.)(Attorneys present: Various) (Pezzarossi, Lisa)
215
Filed: 10/22/2021, Entered: 10/22/2021
Notice of hearing
ELECTRONIC NOTICE of Hearing re TRIAL'S CONTESTED EXHIBITS: HEARING SET FOR 10/25/2021 12:00 PM in Courtroom 19 (In person only) before Judge Patti B. Saris. (Geraldino-Karasek, Clarilde)
214
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [184]). Motion in limine to exclude irrelevant evidence and argument by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde)
213
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [182]). Motion in limine to preclude the Commission's attempt to use a "summary witness" for improper purposes by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court.(Geraldino-Karasek, Clarilde)
212
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [181]). Motion in limine to restrict evidence concerning plaintiff's "scheme liability" theory by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court. (Geraldino-Karasek, Clarilde)
211
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [180]). Motion in limine to preclude plaintiff from presenting expert testimony through lay witnesses by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde)
210
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [179]). Motion in limine to preclude testimony from undisclosed witnesses and other categories of irrelevant and unfairly prejudicial evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED but limited to prior deposition. (Geraldino-Karasek, Clarilde)
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [178]). Motion in limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde)
208
Filed: 10/18/2021, Entered: 10/18/2021
order on motion for miscellaneous relief
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [165] ). Assented to Motion to permit witnesses to appear remotely by Securities and Exchange Commission is ALLOWED. (Geraldino-Karasek, Clarilde)
207
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [162] ). Motion in limine to exclude argument that the Commission must prove investor reliance by Securities and Exchange Commission is ALLOWED as discussed in open court.(Geraldino-Karasek, Clarilde)
206
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [160]). Motion in limine to exclude evidence or argument about any alleged adverse consequences for defendant by Securities and Exchange Commission is ALLOWED subject to motive of Ligand as discussed in open court. (Geraldino-Karasek, Clarilde)
205
Filed: 10/18/2021, Entered: 10/18/2021
order on motion in limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [159]). Motion in limine to exclude evidence or argument about rejected selective enforcement defense by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde)
Judge Patti B. Saris: ORDER entered. The SEC has filed a motion in limine to exclude evidence or argument that the statements challenged in the complaint were opinions (Docket [161]). This motion is DENIED. (Geraldino-Karasek, Clarilde)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Final Pretrial Conference held on 10/14/2021 IN PERSON. Case on track, Jury Trial will go forward as scheduled on 10/26/2021 at 8:30 AM in courtroom #19 7th floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
Opposition re [159] MOTION in Limine to Exclude Evidence or Argument About Rejected Selective Enforcement Defense filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [184] MOTION in Limine to Exclude Irrelevant Evidence and Argument filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [161] MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [160] MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [162] MOTION in Limine to Exclude Argument that the Commission Must Prove Investor Reliance filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) (Attachment 1 replaced on 10/14/2021to show redlined changes in accordance with the objection.) (Geraldino-Karasek, Clarilde).
Judge Patti B. Saris: ELECTRONIC ORDER entered. The SEC shall produce forthwith, in accordance with FRE 1006, any data set summaries and summary charts it intends to use, and with respect to intraday trading data the SEC shall proffer what the testimony summarizing the 40 GB of data will include. (Geraldino-Karasek, Clarilde)
Opposition re [180] MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses filed by Securities and Exchange Commission. (Day, Alfred)
Opposition re [178] MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit A)(Day, Alfred)
Opposition re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes filed by Securities and Exchange Commission. (Day, Alfred)
Opposition re [181] MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory filed by Securities and Exchange Commission. (Day, Alfred)
Opposition re [179] MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Day, Alfred)
AFFIDAVIT in Support re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes . (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Sullivan, Brian)
MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
TRIAL BRIEF by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
173
Filed: 10/6/2021, Entered: 10/6/2021
Notice of hearing
ELECTRONIC NOTICE of Hearing.... Final Pretrial Conference set for 10/14/2021 09:30 AM in Courtroom 19 - 7th Floor (In Person) before Judge Patti B. Saris. (Molloy, Maryellen)
172
Filed: 10/6/2021, Entered: 10/6/2021
Status Conference
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Status Conference held on 10/6/2021 by VIDEO. Case is on track, Jury Trial will go forward on 10/26/2021 at 8:30 AM. Final Pretrial Conference scheduled for 10/14/2021 at 9:30 AM in Courtroom #19 7th Floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
PRETRIAL MEMORANDUM by Securities and Exchange Commission. (Attachments: # (1) Appendix Parties' Agreed-To Facts)(Jones, Marc)
167
Filed: 10/4/2021, Entered: 10/5/2021
Order
Judge Patti B. Saris: ELECTRONIC ORDER entered " I Approved" re [158] Status Report filed by Securities and Exchange Commission. (Geraldino-Karasek, Clarilde)
MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions by Securities and Exchange Commission.(Jones, Marc)
MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant by Securities and Exchange Commission.(Jones, Marc)
STATUS REPORT - Joint Interim Pretrial Status Report by Securities and Exchange Commission. (Jones, Marc)
157
Filed: 9/22/2021, Entered: 9/22/2021
Order on Motion to continue
Judge Patti B. Saris: ELECTRONIC ORDER entered.....Granting [156]Unopposed Motion to Continue Jury Trial from 10/12/2021 to a later date. NOTE: Counsel are hereby notified that the Jury Trial in the above entitled civil action will be on a ROLLING TRIAL LIST due to the Court's trial schedule. Jury Trial is tentatively scheduled for Tuesday 10/26/2021 at 08:30 AM. Back up trial dates are as follows: Tuesday 11/16/2021 09:00 AM, and Tuesday 12/7/2021 at 09:00 AM in Courtroom 19 before Judge Patti B. Saris - all the above dates are subject to change.FINAL PRETRIAL CONFERENCE SET FOR TUESDAY 10/6/2021 AT 2:30 PM WILL GO FORWARD AS SCHEDULED BY VIDEO CONFERENCE. (Molloy, Maryellen) Modified on 9/28/2021 docket text (Geraldino-Karasek, Clarilde). 158 Filed & Entered: 10/01/2021
Status Report
STATUS REPORT - Joint Interim Pretrial Status Report by Securities and Exchange Commission. (Jones, Marc) 159 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument About Rejected Selective Enforcement Defense by Securities and Exchange Commission.(Jones, Marc) 160 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant by Securities and Exchange Commission.(Jones, Marc) 161 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions by Securities and Exchange Commission.(Jones, Marc) 162 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Argument that the Commission Must Prove Investor Reliance by Securities and Exchange Commission.(Jones, Marc) 167 Filed: 10/04/2021Entered: 10/05/2021
Order
Judge Patti B. Saris: ELECTRONIC ORDER entered " I Approved" re [158] Status Report filed by Securities and Exchange Commission. (Geraldino-Karasek, Clarilde) 163 Filed & Entered: 10/05/2021
Pretrial Memorandum
PRETRIAL MEMORANDUM by Securities and Exchange Commission. (Attachments: # (1) Appendix Parties' Agreed-To Facts)(Jones, Marc) 164 Filed & Entered: 10/05/2021
Witness List
Joint Witness List by Securities and Exchange Commission. (Jones, Marc) 165 Filed & Entered: 10/05/2021Terminated: 10/18/2021
Motion for Miscellaneous Relief
Assented to MOTION to Permit Witnesses to Appear Remotely by Securities and Exchange Commission.(Jones, Marc) 166 Filed & Entered: 10/05/2021
Trial Brief
TRIAL BRIEF by Securities and Exchange Commission. (Jones, Marc) 168 Filed & Entered: 10/05/2021
Proposed Jury Instructions Proposed Jury Instructions by Securities and Exchange Commission. (Jones, Marc) 169 Filed & Entered: 10/05/2021
Proposed Jury Verdict Proposed Jury Verdict by Securities and Exchange Commission. (Jones, Marc) 170 Filed & Entered: 10/05/2021
Proposed Voir Dire Proposed Voir Dire by Securities and Exchange Commission. (Jones, Marc) 171 Filed & Entered: 10/06/2021
Notice (Other)
NOTICE by Securities and Exchange Commission Joint List of Deposition Testimony to be Used at Trial (Jones, Marc) 172 Filed & Entered: 10/06/2021
Status Conference
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Status Conference held on 10/6/2021 by VIDEO. Case is on track, Jury Trial will go forward on 10/26/2021 at 8:30 AM. Final Pretrial Conference scheduled for 10/14/2021 at 9:30 AM in Courtroom #19 7th Floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 173 Filed & Entered: 10/06/2021
Notice of Hearing
ELECTRONIC NOTICE of Hearing.... Final Pretrial Conference set for 10/14/2021 09:30 AM in Courtroom 19 - 7th Floor (In Person) before Judge Patti B. Saris. (Molloy, Maryellen) 174 Filed & Entered: 10/06/2021
Trial Brief
TRIAL BRIEF by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 175 Filed & Entered: 10/06/2021
Proposed Voir Dire Proposed Voir Dire by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 176 Filed & Entered: 10/06/2021
Proposed Jury Instructions Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 177 Filed & Entered: 10/06/2021
Proposed Jury Verdict Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 178 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 179 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 180 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 181 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 182 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 183 Filed & Entered: 10/06/2021
Affidavit in Support
AFFIDAVIT in Support re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes . (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Sullivan, Brian) 184 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Irrelevant Evidence and Argument by Securities and Exchange Commission.(Jones, Marc) 185 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [179] MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Day, Alfred) 186 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [181] MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory filed by Securities and Exchange Commission. (Day, Alfred) 187 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes filed by Securities and Exchange Commission. (Day, Alfred) 188 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [178] MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit A)(Day, Alfred) 189 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [180] MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses filed by Securities and Exchange Commission. (Day, Alfred) 190 Filed & Entered: 10/12/2021
Order
Judge Patti B. Saris: ELECTRONIC ORDER entered. The SEC shall produce forthwith, in accordance with FRE 1006, any data set summaries and summary charts it intends to use, and with respect to intraday trading data the SEC shall proffer what the testimony summarizing the 40 GB of data will include. (Geraldino-Karasek, Clarilde) 191 Filed & Entered: 10/13/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) (Attachment 1 replaced on 10/14/2021to show redlined changes in accordance with the objection.) (Geraldino-Karasek, Clarilde). 192 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [162] MOTION in Limine to Exclude Argument that the Commission Must Prove Investor Reliance filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 193 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [160] MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 194 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [161] MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 195 Filed & Entered: 10/13/2021
Objection
Objection to [166] Trial Brief by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Brooks, Douglas) 196 Filed & Entered: 10/13/2021
Objection
Objection to [169] Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) 197 Filed & Entered: 10/13/2021
Objection
Objection to [170] Proposed Voir Dire by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) 198 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [184] MOTION in Limine to Exclude Irrelevant Evidence and Argument filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 199 Filed & Entered: 10/13/2021
Objection
Objection to [177] Proposed Jury Verdict by Securities and Exchange Commission . (Jones, Marc) 200 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [159] MOTION in Limine to Exclude Evidence or Argument About Rejected Selective Enforcement Defense filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 201 Filed & Entered: 10/13/2021
Objection
Objection to [175] Proposed Voir Dire by Securities and Exchange Commission . (Jones, Marc) 202 Filed & Entered: 10/13/2021
Objection
Objection to [176] Proposed Jury Instructions by Securities and Exchange Commission . (Jones, Marc) 203 Filed & Entered: 10/14/2021
Pretrial Conference - Final
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Final Pretrial Conference held on 10/14/2021 IN PERSON. Case on track, Jury Trial will go forward as scheduled on 10/26/2021 at 8:30 AM in courtroom #19 7th floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 204 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ORDER entered. The SEC has filed a motion in limine to exclude evidence or argument that the statements challenged in the complaint were opinions (Docket [161]). This motion is DENIED. (Geraldino-Karasek, Clarilde) 205 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [159]). Motion in limine to exclude evidence or argument about rejected selective enforcement defense by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 206 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [160]). Motion in limine to exclude evidence or argument about any alleged adverse consequences for defendant by Securities and Exchange Commission is ALLOWED subject to motive of Ligand as discussed in open court. (Geraldino-Karasek, Clarilde) 207 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [162] ). Motion in limine to exclude argument that the Commission must prove investor reliance by Securities and Exchange Commission is ALLOWED as discussed in open court.(Geraldino-Karasek, Clarilde) 208 Filed & Entered: 10/18/2021
Order on Motion for Miscellaneous Relief
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [165] ). Assented to Motion to permit witnesses to appear remotely by Securities and Exchange Commission is ALLOWED. (Geraldino-Karasek, Clarilde) 209 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [178]). Motion in limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 210 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [179]). Motion in limine to preclude testimony from undisclosed witnesses and other categories of irrelevant and unfairly prejudicial evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED but limited to prior deposition. (Geraldino-Karasek, Clarilde) 211 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [180]). Motion in limine to preclude plaintiff from presenting expert testimony through lay witnesses by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 212 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [181]). Motion in limine to restrict evidence concerning plaintiff's "scheme liability" theory by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court. (Geraldino-Karasek, Clarilde) 213 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [182]). Motion in limine to preclude the Commission's attempt to use a "summary witness" for improper purposes by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court.(Geraldino-Karasek, Clarilde) 214 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [184]). Motion in limine to exclude irrelevant evidence and argument by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 215 Filed & Entered: 10/22/2021
Notice of Hearing
ELECTRONIC NOTICE of Hearing re TRIAL'S CONTESTED EXHIBITS: HEARING SET FOR 10/25/2021 12:00 PM in Courtroom 19 (In person only) before Judge Patti B. Saris. (Geraldino-Karasek, Clarilde) 216 Filed: 10/25/2021Entered: 10/26/2021
Hearing (Other)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Hearing held on 10/25/2021. Colloquy re: objected to exhibits. (Court Reporter: Lee Marzilli at leemarz@aol.com.)(Attorneys present: Various) (Pezzarossi, Lisa) 218 Filed: 10/25/2021Entered: 10/27/2021
Transcript
Transcript of Final Pretrial Conference held on October 14, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 11/15/2021. Redacted Transcript Deadline set for 11/26/2021. Release of Transcript Restriction set for 1/24/2022. (Coppola, Katelyn) 219 Filed: 10/25/2021Entered: 10/27/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 217 Filed: 10/26/2021Entered: 10/27/2021
Jury Trial - Begun
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/26/2021. TRIAL DAY 1. Conference without jury present. Jurors brought in. Jury Selection process began. 8 jurors impaneled. Jurors sworn. Preliminary instructions. Court admitted joint exhibits. Plaintiff calls: Keith Marschke (direct/cross). Marscheke will resume stand on 10/27/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.)(Attorneys present: Various) (Pezzarossi, Lisa) 220 Filed: 10/27/2021Entered: 10/29/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/27/2021 DAY 2 (Wed). P-1 Ketih Marschke testimony resumes; P-2 Matthew Foehr; P-3 Brian Lian, court adjourned until Thursday 10/28/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 221 Filed: 10/28/2021Entered: 10/29/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/28/2021 Day 3 (Thursday). P-4 Bruce Voss; P-5 Catherine Hyodo- BY VIDEO; P-6 Sougata Banerjee BY VIDEO, court adjourned. Trial to resume on Friday 10/29/21 at 9:00am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net. and Joan Daly-afternoon proceeding) (Molloy, Maryellen) 226 Filed: 10/29/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/29/2021 DAY 4 (Friday). P-7 John Higgins-sworn, court adjourned until Monday 11/1/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen) 222 Filed & Entered: 10/31/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC Submission Regarding Inapplicability of Negligence Standard to Commission's Investment Advisers Act Claim. (Brooks, Douglas) 223 Filed & Entered: 10/31/2021
Proposed Jury Verdict
Supplemental Proposed Jury Verdict by Securities and Exchange Commission. (Attachments: # (1) Exhibit Proposed Verdict Form, # (2) Exhibit SEC v. Johnston Verdict Form)(Day, Alfred) 227 Filed: 11/01/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/1/2021 DAY 5 (MONDAY). 8 Juror's present, 1 juror excused for cause. SEC calls P-8 Father Lemelson-sworn, court adjourned until Tuesday 11/2/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 224 Filed & Entered: 11/02/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC (Regarding Negligence). (Brooks, Douglas) 225 Filed & Entered: 11/02/2021
Objection
Objection to [223] Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit A)(Brooks, Douglas) 228 Filed: 11/02/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/2/2021 DAY 6 (Tuesday). P-8 Father Lemelson testimony resumes; P-9 Nicholas Jabbour-sworn; P-10 Robert Fields-sworn. Plaintiff Rests, Defense Rests. Closings to begin on Wed 11/3/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen) 230 Filed: 11/02/2021Entered: 11/04/2021
Order on Motion for Judgment as a Matter of Law
Judge Patti B. Saris: ELECTRONIC ORDER entered DENIED [229] MOTION for Judgment as a Matter of Law by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Geraldino-Karasek, Clarilde) 229 Filed & Entered: 11/03/2021Terminated: 11/02/2021
Motion for Judgment as a Matter of Law MOTION for Judgment as a Matter of Law by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 231 Filed: 11/03/2021Entered: 11/04/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/3/2021 DAY 7 (WED). Closings/Charge to the Jury. Parties agree on the record and are content with all the admitted exhibits - Exhibits sent to the Jury Room. JERS Disc released to jury room. DELIBERATIONS BEGIN. Court adjourned until Thursday 11/4/2021 at 8:30am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 233 Filed: 11/04/2021Entered: 11/05/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/4/2021 DAY 8 (THURSDAY). 7 Juror's present, Deliberations resume; Jury excused until Friday 11/5/2021.(Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 232 Filed & Entered: 11/05/2021
Jury Verdict
JURY VERDICT entered as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 234 Filed & Entered: 11/05/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/5/2021 DAY 9 (FRIDAY). #1 Juror did not report today - court excused #1. 6 Juror's present, Deliberations resume. VERDICT RETURNED, See verdict slip Docket entry #232 for details. Jury Excused. All Exhibits returned to Counsel, including Chalks. Parties will notify the Clerk in the next couple of weeks to set up Status Conference by Zoom re: briefing schedule, court adjourned. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 241 Filed: 11/05/2021Entered: 12/15/2021
Exhibit List
JERS Exhibit List as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 236 Filed & Entered: 11/29/2021
Stipulation
STIPULATION regarding remedies briefing schedule by Securities and Exchange Commission. (Day, Alfred) 238 Filed: 11/29/2021Entered: 12/01/2021
Letter/request (non-motion) Letter from Randy E. Hardin as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 237 Filed: 11/30/2021Entered: 12/01/2021
Order
Judge Patti B. Saris: ENDORSED ORDER entered ALLOWED re [236] Proposed Remedies Briefing Schedule. SET DEADLINES AS TO: Opening Brief due by 12/22/2021; Opposition Brief due by 1/20/2022; Reply Brief due by 1/27/2022. REMEDIES MOTION HEARING SET FOR 2/15/2022 02:30 PM BY VIDEO before Judge Patti B. Saris. This hearing will be conducted by VIDEO CONFERENCE. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible. Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov.(Geraldino-Karasek, Clarilde) 239 Filed & Entered: 12/03/2021Terminated: 12/21/2021
Motion for Judgment as a Matter of Law MOTION for Judgment as a Matter of Law by Gregory Lemelson, Lemelson Capital Management, LLC.(Sullivan, Brian) 240 Filed & Entered: 12/03/2021
Memorandum in Support of Motion MEMORANDUM in Support re [239] MOTION for Judgment as a Matter of Law filed by Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian) 242 Filed & Entered: 12/17/2021
Response to Motion
Interim RESPONSE to Motion re [239] MOTION for Judgment as a Matter of Law (Preliminary Opposition to Renewed Motion for Judgment as a Matter of Law and Motion to Reset Deadline for Full Opposition If It Is Desired by the Court) filed by Securities and Exchange Commission. (Jones, Marc) 243 Filed & Entered: 12/21/2021
Order on Motion for Judgment as a Matter of Law
Judge Patti B. Saris: ORDER entered DENIED re [239] Motion for Judgment as a Matter of Law. (Geraldino-Karasek, Clarilde) 244 Filed & Entered: 12/22/2021
Motion for Order MOTION for Order Entering Final Judgment by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order)(Day, Alfred) 245 Filed & Entered: 12/22/2021
Memorandum in Support of Motion MEMORANDUM in Support re [244] MOTION for Order Entering Final Judgment filed by Securities and Exchange Commission. (Day, Alfred) 246 Filed & Entered: 12/22/2021
Appendix/Exhibit
APPENDIX/EXHIBIT re [245] Memorandum in Support of Motion For Order Entering Final Judgment by Securities and Exchange Commission. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K, # (12) Exhibit L, # (13) Exhibit M, # (14) Exhibit N, # (15) Exhibit O, # (16) Exhibit P, # (17) Exhibit Q, # (18) Exhibit R, # (19) Exhibit S, # (20) Exhibit T, # (21) Exhibit U, # (22) Exhibit V, # (23) Exhibit X, # (24) Exhibit Z, # (25) Exhibit AA, # (26) Exhibit BB, # (27) Exhibit CC, # (28) Exhibit DD, # (29) Exhibit EE)(Day, Alfred) 247 Filed & Entered: 12/27/2021
Notice requesting courtesy copy
ELECTRONIC NOTICE issued requesting courtesy copy for [245] Memorandum in Support of Motion, [246] Appendix/Exhibit, [244] MOTION for Order Entering Final Judgment. Counsel who filed these documents are requested to submit a courtesy copy of these documents to the Clerk's Office by 1/4/2022. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Geraldino-Karasek, Clarilde) 248 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 4 held on October 29, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 249 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 6 held on November 2, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 250 Filed: 01/06/2022Entered: 01/10/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 251 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 1 held on October 26, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 252 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 2 held on October 27, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 253 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 3 held on October 28, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 254 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 5 held on November 1, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 255 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 7 held on November 3, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 256 Filed: 01/06/2022Entered: 01/10/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 257 Filed: 01/07/2022Entered: 01/11/2022
Transcript
Transcript of Jury Trial - Day 8 held on November 4, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn) 258 Filed: 01/07/2022Entered: 01/11/2022
Transcript
Transcript of Jury Trial - Day 9 held on November 5, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn) 259 Filed: 01/07/2022Entered: 01/11/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
ELECTRONIC NOTICE Canceling Hearing. The Daubert Hearing set for 8/12/2021 is CANCELED. (Pezzarossi, Lisa)
153
Filed: 6/8/2021, Entered: 6/11/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Motion Hearing held on December 17, 2020, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 6/29/2021. Redacted Transcript Deadline set for 7/9/2021. Release of Transcript Restriction set for 9/7/2021. (Coppola, Katelyn)
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
Transcript of Status Conference held on April 14, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 6/7/2021. Redacted Transcript Deadline set for 6/17/2021. Release of Transcript Restriction set for 8/16/2021. (Coppola, Katelyn)
ELECTRONIC NOTICE of Hearing.... Daubert Hearing set for 8/12/2021 09:30 AM in Courtroom 19 before Judge Patti B. Saris. (Molloy, Maryellen)
148
Filed: 4/14/2021, Entered: 4/14/2021
Status Conference
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Status Conference held on 4/14/2021 by Video. Parties anticipate 2 to 3 weeks for Jury Trial - Trial schedule will be from 9am to 1pm. If necessary, the experts may participate by zoom. ORDERED: Daubert Motions to be filed by 7/23/2021, oppositions due by 8/6/2021. Daubert Hearing is scheduled for August 12, 2021 at 9:30am in person. Parties will be ready to argue the Daubert Motions on 8/12/21 and will notify the court if an evidentiary hearing is required. Parties report that this case it is unlikely to settle, court adjourned. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
Judge Patti B. Saris: MEMORANDUM AND ORDER entered. The Court DENIES the defendants' motion for summary judgment (Dkt. [124]) and ALLOWS the SEC's motion for partial summary judgment (Dkt. [121]).SO ORDERED.(Baker, Casey)
145
Filed: 12/17/2020, Entered: 12/17/2020
Notice of hearing
ELECTRONIC NOTICE of Hearing Jury Trial set for 10/12/2021 09:00 AM in Courtroom 19 before Judge Patti B. Saris. Final Pretrial Conference set for 10/6/2021 02:30 PM in Courtroom 19 before Judge Patti B. Saris. (Molloy, Maryellen)
144
Filed: 12/17/2020, Entered: 12/17/2020
Notice of hearing
ELECTRONIC NOTICE of Status Conference on 4/14/2021 at 2:30pm.This hearing will be conducted by VIDEO CONFERENCE. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible.Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov. Status Conference set for 4/14/2021 02:30 PM in Remote Proceeding : Boston before Judge Patti B. Saris. (Molloy, Maryellen)
143
Filed: 12/17/2020, Entered: 12/17/2020
Motion Hearing
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Motion Hearing held by VIDEO on 12/17/2020 re [121] MOTION for Partial Summary Judgment filed by Securities and Exchange Commission, [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson...ORDERED: Further Status set for 4/14/21 at 2:30pm by VIDEO. Pretrial Conference 10/6/2021; Jury Trial 10/12/2021 at 9:00am...All matters taken under advisement. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
AFFIDAVIT in Support re [124] MOTION for Summary Judgment by Douglas S. Brooks in Support of Defendants' Reply to Plaintiff's Response to Defendants' Statement of Undisputed Facts and Response to Plaintiff's Statement of Additional Material Facts. (Attachments: # (1) Exhibit 87, # (2) Exhibit 88, # (3) Exhibit 89, # (4) Exhibit 90, # (5) Exhibit 91, # (6) Exhibit 92)(Brooks, Douglas)
Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment Defendants' Reply to Plaintiff's Response to Defendants' Statement of Undisputed Facts and Response to Plaintiff's Statement of Additional Material Facts filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
REPLY to Response to [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Statement of Material Facts L.R. 56.1 re [121] MOTION for Partial Summary Judgment Plaintiff's Reply to Defendants' Response to Plaintiff's Statement of Undisputed Facts in Support of its Motion for Partial Summary Judgment and Statement of Additional Material Facts Pursuant to Local Rule 56.1 filed by Securities and Exchange Commission. (Attachments: # (1) Affidavit Declaration of Alfred A. Day in Support of Plaintiff's Motion for Partial Summary Judgment, # (2) Exhibit A, # (3) Exhibit B, # (4) Exhibit C, # (5) Exhibit D, # (6) Exhibit E, # (7) Exhibit F, # (8) Exhibit G, # (9) Exhibit H, # (10) Exhibit I)(Jones, Marc)
AFFIDAVIT of Father Emmanuel Lemelson re [135] Statement of Material Facts L.R. 56.1, (Defendants' Response to Plaintiff's Statement of Undisputed Facts and Statement of Additional Material Facts) by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Statement of Material Facts L.R. 56.1 re [121] MOTION for Partial Summary Judgment (Defendants' Response to Plaintiff's Statement of Undisputed Facts and Statement of Additional Material Facts) filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [121] MOTION for Partial Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment (Plaintiff's Response to Defendants' Statement of Undisputed Facts and Statement of Additional Material Facts) filed by Securities and Exchange Commission. (Jones, Marc)
Opposition re [124] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Jones, Marc)
130
Filed: 10/30/2020, Entered: 10/30/2020
Notice requesting courtesy copy
ELECTRONIC NOTICE issued requesting courtesy copy for [121] MOTION for Partial Summary Judgment , [123] Statement of Material Facts L.R. 56.1,, [122] Memorandum in Support of Motion. Counsel who filed this document are requested to submit a courtesy copy of this document (or documents) to the Clerk's Office by 11/13/2020. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Baker, Casey)
129
Filed: 10/30/2020, Entered: 10/30/2020
Notice of hearing on motion
ELECTRONIC NOTICE Setting Hearing on Motion [121] MOTION for Partial Summary Judgment , [124] MOTION for Summary Judgment : This hearing will be conducted by video conference. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible.Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov. Motion Hearing set for 12/17/2020 09:30 AM in Remote Proceeding : Boston before Judge Patti B. Saris. (Baker, Casey)
Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
MEMORANDUM in Support re [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Judge Patti B. Saris: ELECTRONIC ORDER entered re 118] Motion for Leave to File Excess Pages. "Allowed. However, any replies and sur-replies shall stay within the page limits. Also, there shall be no separate briefing on any motions to strike." Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel)
Assented to MOTION for Leave to File Excess Pages in Support of and in Opposition to Motion for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC, Ligand Pharmaceuticals, Inc..(Sullivan, Brian)
Order on Motion for Extension of Time to Complete Discovery.
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [116] Motion for Extension of Time. Motions for Summary Judgement due by 9/30/2020, Oppositions due by 10/30/2020, and Replies due by 11/13/2020. (Baker, Casey)
Motion for Extension of Time to Complete Discovery
Assented to MOTION for Extension of Time to September 30, 2020 to File Motions for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Scalfani, Deborah)
Transcript of Telephonic Motion Hearing held on March 18, 2020, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net Redaction Request due 5/18/2020. Redacted Transcript Deadline set for 5/28/2020. Release of Transcript Restriction set for 7/27/2020. (Scalfani, Deborah)
115
Filed: 3/31/2020, Entered: 6/3/2020
Case no longer referred to Magistrate Judge
Case no longer referred to Magistrate Judge Donald L. Cabell. (Russo, Noreen)
112
Filed: 3/31/2020, Entered: 3/31/2020
Order on Motion for More Definite Statement
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered denying [99] Motion for More Definite Statement.Plaintiff Securities and Exchange Commission (Commission) moves the court pursuant to Fed. R. Civ. P. 12(e) to order the defendant to provide a more definite statement concerning his defense of selective enforcement. The court assumes familiarity with the facts of the case and the court's previous ruling (D. 55) allowing the defendant to take a Rule 30(b)(6) deposition of the Commission on certain topics. Because the defendant has made reasonably clear his argument for selective enforcement and requiring a more definite statement prior to the deposition is not warranted, the motion is DENIED. Courts have asserted that Rule 12(e) motions should "be addressed not to a lack of detail but rather to unintelligibility which thereby prevents the movant from "determin[ing] the issues he must meet." Hilchey v. City of Haverhill, 233 F.R.D. 67, 69 (D. Mass. 2005) (internal citations omitted). A court "should not grant a motion for a more definite statement when the degree of detail sought exceeds federal pleading requirements and demands information that is more appropriately obtained through discovery." Adams v. Wells Fargo Bank, No. CV 17-12092-FDS, 2018 WL 3421859, at *1 (D. Mass. July 12, 2018) citing Raytheon Co. v. Continental Cas. Co., 123 F. Supp. 2d 22, 33 (D. Mass. 2000). To this end, the defendant has already provided the Commission with sufficient information to put it on notice of the basis of its selective enforcement defense. Briefly, the defendant has argued, among other things, that "never before has the Commission brought a short-and-distort case against an individual who publicly disclosed that he was short the stock he was discussing" (D. 45 at 2), and the reason the Commission brought the case was because of extreme pressure from Ligand, who had falsely accused the defendant of using his "religious credentials to inspire false confidence and raise money." (D. 55). Or as the defendant most recently stated, "In essence, Defendants allege that they were treated differently by the Commission than other financial analysts because of Fr. Emmanuel's religious affiliation and because Ligand improperly convinced the Commission to pursue this meritless action to suppress Fr. Emmanuel's First Amendment right to free speech." (D. 108 at 2, n. 1). The court has already ruled that at the time the Commission moved for a protective order against a 30(b)(6) deposition, the defendant had demonstrated "enough facts, even if just barely so, to warrant discovery on his claim of selective enforcement and bias." (D.55). The Commission does not need to agree with or accept any of the defendant's assertions, but they have at least been provided with notice of what the defendant intends to argue. To be sure, the Commission raises a fair point when it notes that discovery has closed and it will therefore not have the same opportunities as the defendant to investigate the merits of a selective enforcement defense. However, the Commission may always seek leave after the 30(b)(6) deposition to conduct additional discovery provided it can make a showing for its need. (Russo, Noreen)
AFFIDAVIT of Fr. Emmanuel Lemelson Certifying Compliance with Court's Order to Return or Destroy All Documents Produced in Discovery Marked Confidential by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian)
Judge Patti B. Saris: ELECTRONIC ORDER entered. REFERRING CASE to Magistrate Judge Donald L. Cabell Referred for: Events Only. Motions referred: [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense. (Lara, Miguel) Motions referred to Donald L. Cabell.
Opposition re [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian)
107
Filed: 3/23/2020, Entered: 3/23/2020
order on motion for extension of time to file
Judge Patti B. Saris: ELECTRONIC ORDER entered.... Granting [105] JOINT Motion for Extension of Time to File..... Motions for Summary Judgment filed by 30 days following the completion of the 30(b)(6) deposition of the Commission; Oppositions for Summary Judgment filed by 30 days after the filing of Motions for Summary Judgment; and Reply Memoranda in Support of Motions for Summary Judgment filed by 14 days after the filing of Oppositions for Summary Judgment. This jointly requested extension is reasonable in light of the recent national emergency. (Molloy, Maryellen)
Joint MOTION for Extension of Time to 30 days after completion of Rule 30(b)(6) deposition of Securities and Exchange Commission to File Motions for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Motion Hearing held on 3/18/2020 re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Securities and Exchange Commission...See Order issued on 3/18/20 docket [#68] for details. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen)
104
Filed: 3/18/2020, Entered: 3/18/2020
Order on Motion for Order to Show Cause
Judge Patti B. Saris: ELECTRONIC ORDER entered finding as moot [68] Motion for Order to Show Cause. (Lara, Miguel)
103
Filed: 3/18/2020, Entered: 3/18/2020
Order on Motion forJoinder
Judge Patti B. Saris: ELECTRONIC ORDER entered re [74] Motion for Joinder. "Allowed as unopposed." (Lara, Miguel)
MEMORANDUM in Support re [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense filed by Securities and Exchange Commission. (Jones, Marc)
REPLY to Response to [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Securities and Exchange Commission. (Jones, Marc)
Letter/request (non-motion) from Attorney Douglas S. Brooks Responding to March 6, 2020 Letter of the Securities and Exchange Commission. (Brooks, Douglas)
95
Filed: 3/9/2020, Entered: 3/9/2020
Order on Motion for Leave to File
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [94] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel)
Assented to MOTION for Leave to File Reply In Support of Commission's Motion for an Order to Show Cause (ECF No.68) by Securities and Exchange Commission. (Attachments: # (1) Proposed Reply Brief)(Jones, Marc)
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [92] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel)
Withdrawal of [84] Response to Motion, filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson.. (Brooks, Douglas) Modified on 3/3/2020 (Lara, Miguel).
89
Filed: 3/2/2020, Entered: 3/2/2020
Order on Motion for Leave to File
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [82] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel)
AFFIDAVIT in Support re [85] Response to Motion, for Order to Show Cause Why Defendants Should Not be Held in Contempt for Violating Protective Orders(Affidavit of Father Emmanuel Lemelson). (Brooks, Douglas)
AFFIDAVIT in Support re [85] Response to Motion, for Order to Show Cause Why Defendants Should Not be Held in Contempt for Violating Protective Orders. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Sullivan, Brian)
RESPONSE to Motion re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
RESPONSE to Motion re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Opposition re [70] MOTION to Seal the Declaration of Alfred A. Day filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Attachments: # (1) Affidavit of Brian J. Sullivan, # (2) Exhibit 1-10)(Sullivan, Brian)
80
Filed: 2/26/2020, Entered: 2/26/2020
Notice of hearing on motion
ELECTRONIC NOTICE Setting Hearing on Motion [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS.... Motion Hearing set for 3/18/2020 09:00 AM in Courtroom 18 before Judge Patti B. Saris. (Molloy, Maryellen) 81 Filed & Entered: 02/27/2020
Opposition to Motion Opposition re [70] MOTION to Seal the Declaration of Alfred A. Day filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Attachments: # (1) Affidavit of Brian J. Sullivan, # (2) Exhibit 1-10)(Sullivan, Brian) 82 Filed & Entered: 02/27/2020Terminated: 03/02/2020
Motion for Leave to File
Assented to MOTION for Leave to File reply brief by Securities and Exchange Commission.(Day, Alfred) 84 Filed & Entered: 02/28/2020
Response to Motion RESPONSE to Motion re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 85 Filed & Entered: 02/28/2020
Response to Motion RESPONSE to Motion re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 86 Filed & Entered: 02/28/2020
Affidavit in Support
AFFIDAVIT in Support re [85] Response to Motion, for Order to Show Cause Why Defendants Should Not be Held in Contempt for Violating Protective Orders. (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)(Brooks, Douglas) 87 Filed & Entered: 02/28/2020
Affidavit in Support
AFFIDAVIT in Support re [85] Response to Motion, for Order to Show Cause Why Defendants Should Not be Held in Contempt for Violating Protective Orders. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Sullivan, Brian) 88 Filed & Entered: 02/28/2020
Affidavit in Support
AFFIDAVIT in Support re [85] Response to Motion, for Order to Show Cause Why Defendants Should Not be Held in Contempt for Violating Protective Orders(Affidavit of Father Emmanuel Lemelson). (Brooks, Douglas) 89 Filed & Entered: 03/02/2020
Order on Motion for Leave to File
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [82] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel) 90 Filed & Entered: 03/02/2020
Withdrawal of motion
Withdrawal of [84] Response to Motion, filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson.. (Brooks, Douglas) Modified on 3/3/2020 (Lara, Miguel). 91 Filed & Entered: 03/04/2020
Withdrawal of motion
Withdrawal of motion: [70] MOTION to Seal filed by Securities and Exchange Commission.. (Jones, Marc) 92 Filed & Entered: 03/05/2020Terminated: 03/06/2020
Motion for Leave to File
Assented to MOTION for Leave to File Reply Brief by Ligand Pharmaceuticals, Inc..(Bondi, Bradley) 93 Filed & Entered: 03/06/2020
Order on Motion for Leave to File
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [92] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel) 94 Filed & Entered: 03/08/2020Terminated: 03/09/2020
Motion for Leave to File
Assented to MOTION for Leave to File Reply In Support of Commission's Motion for an Order to Show Cause (ECF No.68) by Securities and Exchange Commission. (Attachments: # (1) Proposed Reply Brief)(Jones, Marc) 95 Filed & Entered: 03/09/2020
Order on Motion for Leave to File
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [94] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel) 96 Filed & Entered: 03/09/2020
Letter/request (non-motion)
Letter/request (non-motion) from Attorney Douglas S. Brooks Responding to March 6, 2020 Letter of the Securities and Exchange Commission. (Brooks, Douglas) 97 Filed & Entered: 03/09/2020
Letter/request (non-motion)
Letter/request (non-motion) from Securities and Exchange Commission re Potential Misconduct. (Jones, Marc) 98 Filed & Entered: 03/09/2020
Reply to Response to Motion REPLY to Response to [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Securities and Exchange Commission. (Jones, Marc) 99 Filed & Entered: 03/10/2020Terminated: 03/31/2020
Motion for More Definite Statement MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense by Securities and Exchange Commission.(Jones, Marc) 100 Filed & Entered: 03/10/2020
Memorandum in Support of Motion MEMORANDUM in Support re [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense filed by Securities and Exchange Commission. (Jones, Marc) 101 Filed & Entered: 03/13/2020
Reply to Response to Motion REPLY to Response to [74] MOTION for Joinder filed by Ligand Pharmaceuticals, Inc.. (Tonolli, Sean) 102 Filed & Entered: 03/18/2020
Order
Judge Patti B. Saris: ORDER OF SANCTIONS entered. (Lara, Miguel) 103 Filed & Entered: 03/18/2020
Order on Motion for Joinder
Judge Patti B. Saris: ELECTRONIC ORDER entered re [74] Motion for Joinder. "Allowed as unopposed." (Lara, Miguel) 104 Filed & Entered: 03/18/2020
Order on Motion for Order to Show Cause
Judge Patti B. Saris: ELECTRONIC ORDER entered finding as moot [68] Motion for Order to Show Cause. (Lara, Miguel) 106 Filed: 03/18/2020Entered: 03/23/2020
Motion Hearing
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Motion Hearing held on 3/18/2020 re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Securities and Exchange Commission...See Order issued on 3/18/20 docket [#68] for details. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 105 Filed & Entered: 03/23/2020Terminated: 03/23/2020
Motion for Extension of Time to File
Joint MOTION for Extension of Time to 30 days after completion of Rule 30(b)(6) deposition of Securities and Exchange Commission to File Motions for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 107 Filed & Entered: 03/23/2020
Order on Motion for Extension of Time to File
Judge Patti B. Saris: ELECTRONIC ORDER entered.... Granting [105] JOINT Motion for Extension of Time to File..... Motions for Summary Judgment filed by 30 days following the completion of the 30(b)(6) deposition of the Commission; Oppositions for Summary Judgment filed by 30 days after the filing of Motions for Summary Judgment; and Reply Memoranda in Support of Motions for Summary Judgment filed by 14 days after the filing of Oppositions for Summary Judgment. This jointly requested extension is reasonable in light of the recent national emergency. (Molloy, Maryellen) 108 Filed & Entered: 03/24/2020
Opposition to Motion Opposition re [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian) 109 Filed & Entered: 03/24/2020
Order Referring Case to Magistrate Judge
Judge Patti B. Saris: ELECTRONIC ORDER entered. REFERRING CASE to Magistrate Judge Donald L. Cabell Referred for: Events Only. Motions referred: [99] MOTION for More Definite Statement of Defendants' Unpled Selective Enforcement Defense. (Lara, Miguel) Motions referred to Donald L. Cabell. 110 Filed & Entered: 03/25/2020
Affidavit
AFFIDAVIT of Fr. Emmanuel Lemelson Certifying Compliance with Court's Order to Return or Destroy All Documents Produced in Discovery Marked Confidential by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian) 111 Filed & Entered: 03/30/2020
Affidavit
AFFIDAVIT of Rev. Fr. Emmanuel Lemelson Concerning His Greek Orthodox Priesthood Pursuant to the Courts Instruction at March 18, 2020 Hearing by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K, # (12) Exhibit L, # (13) Exhibit M, # (14) Exhibit N, # (15) Exhibit O, # (16) Exhibit P, # (17) Exhibit Q)(Brooks, Douglas) 112 Filed & Entered: 03/31/2020
Order on Motion for More Definite Statement
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered denying [99] Motion for More Definite Statement.Plaintiff Securities and Exchange Commission (Commission) moves the court pursuant to Fed. R. Civ. P. 12(e) to order the defendant to provide a more definite statement concerning his defense of selective enforcement. The court assumes familiarity with the facts of the case and the court's previous ruling (D. 55) allowing the defendant to take a Rule 30(b)(6) deposition of the Commission on certain topics. Because the defendant has made reasonably clear his argument for selective enforcement and requiring a more definite statement prior to the deposition is not warranted, the motion is DENIED. Courts have asserted that Rule 12(e) motions should "be addressed not to a lack of detail but rather to unintelligibility which thereby prevents the movant from "determin[ing] the issues he must meet." Hilchey v. City of Haverhill, 233 F.R.D. 67, 69 (D. Mass. 2005) (internal citations omitted). A court "should not grant a motion for a more definite statement when the degree of detail sought exceeds federal pleading requirements and demands information that is more appropriately obtained through discovery." Adams v. Wells Fargo Bank, No. CV 17-12092-FDS, 2018 WL 3421859, at *1 (D. Mass. July 12, 2018) citing Raytheon Co. v. Continental Cas. Co., 123 F. Supp. 2d 22, 33 (D. Mass. 2000). To this end, the defendant has already provided the Commission with sufficient information to put it on notice of the basis of its selective enforcement defense. Briefly, the defendant has argued, among other things, that "never before has the Commission brought a short-and-distort case against an individual who publicly disclosed that he was short the stock he was discussing" (D. 45 at 2), and the reason the Commission brought the case was because of extreme pressure from Ligand, who had falsely accused the defendant of using his "religious credentials to inspire false confidence and raise money." (D. 55). Or as the defendant most recently stated, "In essence, Defendants allege that they were treated differently by the Commission than other financial analysts because of Fr. Emmanuel's religious affiliation and because Ligand improperly convinced the Commission to pursue this meritless action to suppress Fr. Emmanuel's First Amendment right to free speech." (D. 108 at 2, n. 1). The court has already ruled that at the time the Commission moved for a protective order against a 30(b)(6) deposition, the defendant had demonstrated "enough facts, even if just barely so, to warrant discovery on his claim of selective enforcement and bias." (D.55). The Commission does not need to agree with or accept any of the defendant's assertions, but they have at least been provided with notice of what the defendant intends to argue. To be sure, the Commission raises a fair point when it notes that discovery has closed and it will therefore not have the same opportunities as the defendant to investigate the merits of a selective enforcement defense. However, the Commission may always seek leave after the 30(b)(6) deposition to conduct additional discovery provided it can make a showing for its need. (Russo, Noreen) 115 Filed: 03/31/2020Entered: 06/03/2020
Case no longer referred to Magistrate Judge
Case no longer referred to Magistrate Judge Donald L. Cabell. (Russo, Noreen) 113 Filed & Entered: 04/27/2020
Transcript
Transcript of Telephonic Motion Hearing held on March 18, 2020, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net Redaction Request due 5/18/2020. Redacted Transcript Deadline set for 5/28/2020. Release of Transcript Restriction set for 7/27/2020. (Scalfani, Deborah) 114 Filed & Entered: 04/27/2020
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Scalfani, Deborah) 116 Filed & Entered: 08/03/2020Terminated: 08/03/2020
Motion for Extension of Time to Complete Discovery
Assented to MOTION for Extension of Time to September 30, 2020 to File Motions for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 117 Filed & Entered: 08/03/2020
Order on Motion for Extension of Time to Complete Discovery
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [116] Motion for Extension of Time. Motions for Summary Judgement due by 9/30/2020, Oppositions due by 10/30/2020, and Replies due by 11/13/2020. (Baker, Casey) 118 Filed & Entered: 09/21/2020Terminated: 09/21/2020
Motion for Leave to File Excess Pages
Assented to MOTION for Leave to File Excess Pages in Support of and in Opposition to Motion for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC, Ligand Pharmaceuticals, Inc..(Sullivan, Brian) 119 Filed & Entered: 09/21/2020
Order on Motion for Leave to File Excess Pages
Judge Patti B. Saris: ELECTRONIC ORDER entered re 118] Motion for Leave to File Excess Pages. "Allowed. However, any replies and sur-replies shall stay within the page limits. Also, there shall be no separate briefing on any motions to strike." Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Lara, Miguel) 120 Filed & Entered: 09/22/2020
Notice of Change of Address or Firm Name NOTICE of Change of Address or Firm Name by Bradley J. Bondi (Bondi, Bradley) 121 Filed & Entered: 09/30/2020Terminated: 04/06/2021
Motion for Partial Summary Judgment MOTION for Partial Summary Judgment by Securities and Exchange Commission.(Jones, Marc) 122 Filed & Entered: 09/30/2020
Memorandum in Support of Motion MEMORANDUM in Support re [121] MOTION for Partial Summary Judgment filed by Securities and Exchange Commission. (Jones, Marc) 123 Filed & Entered: 09/30/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [121] MOTION for Partial Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Appendix of Exhibits, # (2) Exhibit 1, # (3) Exhibit 2, # (4) Exhibit 3, # (5) Exhibit 4, # (6) Exhibit 5, # (7) Exhibit 6, # (8) Exhibit 7, # (9) Exhibit 8, # (10) Exhibit 9, # (11) Exhibit 10, # (12) Exhibit 11, # (13) Exhibit 12, # (14) Exhibit 13, # (15) Exhibit 14, # (16) Exhibit 15, # (17) Exhibit 16, # (18) Exhibit 17)(Jones, Marc) 124 Filed & Entered: 09/30/2020Terminated: 04/06/2021
Motion for Summary Judgment MOTION for Summary Judgment by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 125 Filed & Entered: 09/30/2020
Memorandum in Support of Motion MEMORANDUM in Support re [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 126 Filed & Entered: 09/30/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 127 Filed & Entered: 09/30/2020
Affidavit in Support
AFFIDAVIT in Support re [124] MOTION for Summary Judgment by Douglas S. Brooks. (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, # (30) Exhibit 30, # (31) Exhibit 31, # (32) Exhibit 32, # (33) Exhibit 33, # (34) Exhibit 34, # (35) Exhibit 35, # (36) Exhibit 36, # (37) Exhibit 37, # (38) Exhibit 38, # (39) Exhibit 39, # (40) Exhibit 40, # (41) Exhibit 41, # (42) Exhibit 42, # (43) Exhibit 43, # (44) Exhibit 44, # (45) Exhibit 45, # (46) Exhibit 46, # (47) Exhibit 47, # (48) Exhibit 48, # (49) Exhibit 49, # (50) Exhibit 50)(Brooks, Douglas) 128 Filed & Entered: 09/30/2020
Affidavit in Support
AFFIDAVIT in Support re [124] MOTION for Summary Judgment by Fr. Emmanuel Lemelson. (Brooks, Douglas) 129 Filed & Entered: 10/30/2020
Notice of Hearing on Motion
ELECTRONIC NOTICE Setting Hearing on Motion [121] MOTION for Partial Summary Judgment , [124] MOTION for Summary Judgment : This hearing will be conducted by video conference. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible.Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov. Motion Hearing set for 12/17/2020 09:30 AM in Remote Proceeding : Boston before Judge Patti B. Saris. (Baker, Casey) 130 Filed & Entered: 10/30/2020
Notice requesting courtesy copy
ELECTRONIC NOTICE issued requesting courtesy copy for [121] MOTION for Partial Summary Judgment , [123] Statement of Material Facts L.R. 56.1,, [122] Memorandum in Support of Motion. Counsel who filed this document are requested to submit a courtesy copy of this document (or documents) to the Clerk's Office by 11/13/2020. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Baker, Casey) 131 Filed & Entered: 10/30/2020
Opposition to Motion Opposition re [124] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Jones, Marc) 132 Filed & Entered: 10/30/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment (Plaintiff's Response to Defendants' Statement of Undisputed Facts and Statement of Additional Material Facts) filed by Securities and Exchange Commission. (Jones, Marc) 133 Filed & Entered: 10/30/2020
Appendix/Exhibit
APPENDIX/EXHIBIT re [132] Statement of Material Facts L.R. 56.1, (Appendix of Exhibits) by Securities and Exchange Commission. (Attachments: # (1) Exhibit 51, # (2) Exhibit 52, # (3) Exhibit 53, # (4) Exhibit 54, # (5) Exhibit 55, # (6) Exhibit 56, # (7) Exhibit 57, # (8) Exhibit 58, # (9) Exhibit 59, # (10) Exhibit 60, # (11) Exhibit 61, # (12) Exhibit 62, # (13) Exhibit 63, # (14) Exhibit 64, # (15) Exhibit 65, # (16) Exhibit 66, # (17) Exhibit 67, # (18) Exhibit 68, # (19) Exhibit 69, # (20) Exhibit 70, # (21) Exhibit 71, # (22) Exhibit 72, # (23) Exhibit 73, # (24) Exhibit 74, # (25) Exhibit 75, # (26) Exhibit 76, # (27) Exhibit 77, # (28) Exhibit 78, # (29) Exhibit 79, # (30) Exhibit 80, # (31) Exhibit 81, # (32) Exhibit 82, # (33) Exhibit 83, # (34) Exhibit 84, # (35) Exhibit 85, # (36) Exhibit 86)(Jones, Marc) 134 Filed & Entered: 10/30/2020
Opposition to Motion Opposition re [121] MOTION for Partial Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 135 Filed & Entered: 10/30/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [121] MOTION for Partial Summary Judgment (Defendants' Response to Plaintiff's Statement of Undisputed Facts and Statement of Additional Material Facts) filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 136 Filed & Entered: 10/30/2020
Affidavit in Support
AFFIDAVIT in Support re [135] Statement of Material Facts L.R. 56.1, (Defendants' Response to Plaintiff's Statement of Undisputed Facts and Statement of Additional Material Facts). (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, # (30) Exhibit 30, # (31) Exhibit 31, # (32) Exhibit 32, # (33) Exhibit 33, # (34) Exhibit 34, # (35) Exhibit 35, # (36) Exhibit 36, # (37) Exhibit 37, # (38) Exhibit 38, # (39) Exhibit 39, # (40) Exhibit 40, # (41) Exhibit 41, # (42) Exhibit 42, # (43) Exhibit 43, # (44) Exhibit 44, # (45) Exhibit 45, # (46) Exhibit 46, # (47) Exhibit 47, # (48) Exhibit 48, # (49) Exhibit 49)(Brooks, Douglas) 137 Filed & Entered: 10/30/2020
Affidavit
AFFIDAVIT of Father Emmanuel Lemelson re [135] Statement of Material Facts L.R. 56.1, (Defendants' Response to Plaintiff's Statement of Undisputed Facts and Statement of Additional Material Facts) by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 138 Filed & Entered: 11/13/2020
Reply to Response to Motion REPLY to Response to [121] MOTION for Partial Summary Judgment filed by Securities and Exchange Commission. (Jones, Marc) 139 Filed & Entered: 11/13/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [121] MOTION for Partial Summary Judgment Plaintiff's Reply to Defendants' Response to Plaintiff's Statement of Undisputed Facts in Support of its Motion for Partial Summary Judgment and Statement of Additional Material Facts Pursuant to Local Rule 56.1 filed by Securities and Exchange Commission. (Attachments: # (1) Affidavit Declaration of Alfred A. Day in Support of Plaintiff's Motion for Partial Summary Judgment, # (2) Exhibit A, # (3) Exhibit B, # (4) Exhibit C, # (5) Exhibit D, # (6) Exhibit E, # (7) Exhibit F, # (8) Exhibit G, # (9) Exhibit H, # (10) Exhibit I)(Jones, Marc) 140 Filed & Entered: 11/13/2020
Reply to Response to Motion REPLY to Response to [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 141 Filed & Entered: 11/13/2020
Statement of Material Facts L.R. 56.1 Statement of Material Facts L.R. 56.1 re [124] MOTION for Summary Judgment Defendants' Reply to Plaintiff's Response to Defendants' Statement of Undisputed Facts and Response to Plaintiff's Statement of Additional Material Facts filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 142 Filed & Entered: 11/13/2020
Affidavit in Support
AFFIDAVIT in Support re [124] MOTION for Summary Judgment by Douglas S. Brooks in Support of Defendants' Reply to Plaintiff's Response to Defendants' Statement of Undisputed Facts and Response to Plaintiff's Statement of Additional Material Facts. (Attachments: # (1) Exhibit 87, # (2) Exhibit 88, # (3) Exhibit 89, # (4) Exhibit 90, # (5) Exhibit 91, # (6) Exhibit 92)(Brooks, Douglas) 143 Filed & Entered: 12/17/2020
Motion Hearing
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Motion Hearing held by VIDEO on 12/17/2020 re [121] MOTION for Partial Summary Judgment filed by Securities and Exchange Commission, [124] MOTION for Summary Judgment filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson...ORDERED: Further Status set for 4/14/21 at 2:30pm by VIDEO. Pretrial Conference 10/6/2021; Jury Trial 10/12/2021 at 9:00am...All matters taken under advisement. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 144 Filed & Entered: 12/17/2020
Notice of Hearing
ELECTRONIC NOTICE of Status Conference on 4/14/2021 at 2:30pm.This hearing will be conducted by VIDEO CONFERENCE. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible.Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov. Status Conference set for 4/14/2021 02:30 PM in Remote Proceeding : Boston before Judge Patti B. Saris. (Molloy, Maryellen) 145 Filed & Entered: 12/17/2020
Notice of Hearing
ELECTRONIC NOTICE of Hearing Jury Trial set for 10/12/2021 09:00 AM in Courtroom 19 before Judge Patti B. Saris. Final Pretrial Conference set for 10/6/2021 02:30 PM in Courtroom 19 before Judge Patti B. Saris. (Molloy, Maryellen) 146 Filed & Entered: 04/06/2021
Memorandum & ORDER
Judge Patti B. Saris: MEMORANDUM AND ORDER entered. The Court DENIES the defendants' motion for summary judgment (Dkt. [124]) and ALLOWS the SEC's motion for partial summary judgment (Dkt. [121]).SO ORDERED.(Baker, Casey) 147 Filed & Entered: 04/14/2021
Procedural Order re pretrial/trial
Judge Patti B. Saris: ORDER FOR PRETRIAL CONFERENCE entered. (Baker, Casey) 148 Filed & Entered: 04/14/2021
Status Conference
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Status Conference held on 4/14/2021 by Video. Parties anticipate 2 to 3 weeks for Jury Trial - Trial schedule will be from 9am to 1pm. If necessary, the experts may participate by zoom. ORDERED: Daubert Motions to be filed by 7/23/2021, oppositions due by 8/6/2021. Daubert Hearing is scheduled for August 12, 2021 at 9:30am in person. Parties will be ready to argue the Daubert Motions on 8/12/21 and will notify the court if an evidentiary hearing is required. Parties report that this case it is unlikely to settle, court adjourned. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 149 Filed & Entered: 04/14/2021
Notice of Hearing
ELECTRONIC NOTICE of Hearing.... Daubert Hearing set for 8/12/2021 09:30 AM in Courtroom 19 before Judge Patti B. Saris. (Molloy, Maryellen) 150 Filed: 05/17/2021Entered: 05/20/2021
Transcript
Transcript of Status Conference held on April 14, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 6/7/2021. Redacted Transcript Deadline set for 6/17/2021. Release of Transcript Restriction set for 8/16/2021. (Coppola, Katelyn) 151 Filed: 05/17/2021Entered: 05/20/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 152 Filed: 06/08/2021Entered: 06/11/2021
Transcript
Transcript of Motion Hearing held on December 17, 2020, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 6/29/2021. Redacted Transcript Deadline set for 7/9/2021. Release of Transcript Restriction set for 9/7/2021. (Coppola, Katelyn) 153 Filed: 06/08/2021Entered: 06/11/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 154 Filed & Entered: 07/29/2021
Notice Cancelling Hearing
ELECTRONIC NOTICE Canceling Hearing. The Daubert Hearing set for 8/12/2021 is CANCELED. (Pezzarossi, Lisa) 155 Filed & Entered: 09/15/2021
Notice of Appearance
NOTICE of Appearance by Thomas M. Hoopes on behalf of Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC (Hoopes, Thomas) 156 Filed & Entered: 09/15/2021Terminated: 09/22/2021
Motion to Continue MOTION to Continue Trial to October 25, 2021 (Unopposed) by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Hoopes, Thomas) 157 Filed & Entered: 09/22/2021
Order on Motion to Continue
Judge Patti B. Saris: ELECTRONIC ORDER entered.....Granting [156]Unopposed Motion to Continue Jury Trial from 10/12/2021 to a later date. NOTE: Counsel are hereby notified that the Jury Trial in the above entitled civil action will be on a ROLLING TRIAL LIST due to the Court's trial schedule. Jury Trial is tentatively scheduled for Tuesday 10/26/2021 at 08:30 AM. Back up trial dates are as follows: Tuesday 11/16/2021 09:00 AM, and Tuesday 12/7/2021 at 09:00 AM in Courtroom 19 before Judge Patti B. Saris - all the above dates are subject to change.FINAL PRETRIAL CONFERENCE SET FOR TUESDAY 10/6/2021 AT 2:30 PM WILL GO FORWARD AS SCHEDULED BY VIDEO CONFERENCE. (Molloy, Maryellen) Modified on 9/28/2021 docket text (Geraldino-Karasek, Clarilde). 158 Filed & Entered: 10/01/2021
Status Report
STATUS REPORT - Joint Interim Pretrial Status Report by Securities and Exchange Commission. (Jones, Marc) 159 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument About Rejected Selective Enforcement Defense by Securities and Exchange Commission.(Jones, Marc) 160 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant by Securities and Exchange Commission.(Jones, Marc) 161 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions by Securities and Exchange Commission.(Jones, Marc) 162 Filed & Entered: 10/04/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Argument that the Commission Must Prove Investor Reliance by Securities and Exchange Commission.(Jones, Marc) 167 Filed: 10/04/2021Entered: 10/05/2021
Order
Judge Patti B. Saris: ELECTRONIC ORDER entered " I Approved" re [158] Status Report filed by Securities and Exchange Commission. (Geraldino-Karasek, Clarilde) 163 Filed & Entered: 10/05/2021
Pretrial Memorandum
PRETRIAL MEMORANDUM by Securities and Exchange Commission. (Attachments: # (1) Appendix Parties' Agreed-To Facts)(Jones, Marc) 164 Filed & Entered: 10/05/2021
Witness List
Joint Witness List by Securities and Exchange Commission. (Jones, Marc) 165 Filed & Entered: 10/05/2021Terminated: 10/18/2021
Motion for Miscellaneous Relief
Assented to MOTION to Permit Witnesses to Appear Remotely by Securities and Exchange Commission.(Jones, Marc) 166 Filed & Entered: 10/05/2021
Trial Brief
TRIAL BRIEF by Securities and Exchange Commission. (Jones, Marc) 168 Filed & Entered: 10/05/2021
Proposed Jury Instructions Proposed Jury Instructions by Securities and Exchange Commission. (Jones, Marc) 169 Filed & Entered: 10/05/2021
Proposed Jury Verdict Proposed Jury Verdict by Securities and Exchange Commission. (Jones, Marc) 170 Filed & Entered: 10/05/2021
Proposed Voir Dire Proposed Voir Dire by Securities and Exchange Commission. (Jones, Marc) 171 Filed & Entered: 10/06/2021
Notice (Other)
NOTICE by Securities and Exchange Commission Joint List of Deposition Testimony to be Used at Trial (Jones, Marc) 172 Filed & Entered: 10/06/2021
Status Conference
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Status Conference held on 10/6/2021 by VIDEO. Case is on track, Jury Trial will go forward on 10/26/2021 at 8:30 AM. Final Pretrial Conference scheduled for 10/14/2021 at 9:30 AM in Courtroom #19 7th Floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 173 Filed & Entered: 10/06/2021
Notice of Hearing
ELECTRONIC NOTICE of Hearing.... Final Pretrial Conference set for 10/14/2021 09:30 AM in Courtroom 19 - 7th Floor (In Person) before Judge Patti B. Saris. (Molloy, Maryellen) 174 Filed & Entered: 10/06/2021
Trial Brief
TRIAL BRIEF by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 175 Filed & Entered: 10/06/2021
Proposed Voir Dire Proposed Voir Dire by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 176 Filed & Entered: 10/06/2021
Proposed Jury Instructions Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 177 Filed & Entered: 10/06/2021
Proposed Jury Verdict Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 178 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 179 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 180 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 181 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 182 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 183 Filed & Entered: 10/06/2021
Affidavit in Support
AFFIDAVIT in Support re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes . (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Sullivan, Brian) 184 Filed & Entered: 10/06/2021Terminated: 10/18/2021
Motion in Limine MOTION in Limine to Exclude Irrelevant Evidence and Argument by Securities and Exchange Commission.(Jones, Marc) 185 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [179] MOTION in Limine to Preclude Testimony From Undisclosed Witnesses and Other Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Day, Alfred) 186 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [181] MOTION in Limine to Restrict Evidence Concerning Plaintiff's "Scheme Liability" Theory filed by Securities and Exchange Commission. (Day, Alfred) 187 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [182] MOTION in Limine to Preclude the Commission's Attempt to Use a "Summary Witness" for Improper Purposes filed by Securities and Exchange Commission. (Day, Alfred) 188 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [178] MOTION in Limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit A)(Day, Alfred) 189 Filed & Entered: 10/12/2021
Opposition to Motion Opposition re [180] MOTION in Limine to Preclude Plaintiff From Presenting Expert Testimony Through Lay Witnesses filed by Securities and Exchange Commission. (Day, Alfred) 190 Filed & Entered: 10/12/2021
Order
Judge Patti B. Saris: ELECTRONIC ORDER entered. The SEC shall produce forthwith, in accordance with FRE 1006, any data set summaries and summary charts it intends to use, and with respect to intraday trading data the SEC shall proffer what the testimony summarizing the 40 GB of data will include. (Geraldino-Karasek, Clarilde) 191 Filed & Entered: 10/13/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) (Attachment 1 replaced on 10/14/2021to show redlined changes in accordance with the objection.) (Geraldino-Karasek, Clarilde). 192 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [162] MOTION in Limine to Exclude Argument that the Commission Must Prove Investor Reliance filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 193 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [160] MOTION in Limine to Exclude Evidence or Argument about Any Alleged Adverse Consequences for Defendant filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 194 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [161] MOTION in Limine to Exclude Evidence or Argument that the Statements Challenged in the Complaint Were Opinions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 195 Filed & Entered: 10/13/2021
Objection
Objection to [166] Trial Brief by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Brooks, Douglas) 196 Filed & Entered: 10/13/2021
Objection
Objection to [169] Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) 197 Filed & Entered: 10/13/2021
Objection
Objection to [170] Proposed Voir Dire by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit 1)(Brooks, Douglas) 198 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [184] MOTION in Limine to Exclude Irrelevant Evidence and Argument filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 199 Filed & Entered: 10/13/2021
Objection
Objection to [177] Proposed Jury Verdict by Securities and Exchange Commission . (Jones, Marc) 200 Filed & Entered: 10/13/2021
Opposition to Motion Opposition re [159] MOTION in Limine to Exclude Evidence or Argument About Rejected Selective Enforcement Defense filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas) 201 Filed & Entered: 10/13/2021
Objection
Objection to [175] Proposed Voir Dire by Securities and Exchange Commission . (Jones, Marc) 202 Filed & Entered: 10/13/2021
Objection
Objection to [176] Proposed Jury Instructions by Securities and Exchange Commission . (Jones, Marc) 203 Filed & Entered: 10/14/2021
Pretrial Conference - Final
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Final Pretrial Conference held on 10/14/2021 IN PERSON. Case on track, Jury Trial will go forward as scheduled on 10/26/2021 at 8:30 AM in courtroom #19 7th floor. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 204 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ORDER entered. The SEC has filed a motion in limine to exclude evidence or argument that the statements challenged in the complaint were opinions (Docket [161]). This motion is DENIED. (Geraldino-Karasek, Clarilde) 205 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [159]). Motion in limine to exclude evidence or argument about rejected selective enforcement defense by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 206 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [160]). Motion in limine to exclude evidence or argument about any alleged adverse consequences for defendant by Securities and Exchange Commission is ALLOWED subject to motive of Ligand as discussed in open court. (Geraldino-Karasek, Clarilde) 207 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [162] ). Motion in limine to exclude argument that the Commission must prove investor reliance by Securities and Exchange Commission is ALLOWED as discussed in open court.(Geraldino-Karasek, Clarilde) 208 Filed & Entered: 10/18/2021
Order on Motion for Miscellaneous Relief
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [165] ). Assented to Motion to permit witnesses to appear remotely by Securities and Exchange Commission is ALLOWED. (Geraldino-Karasek, Clarilde) 209 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [178]). Motion in limine to Preclude Categories of Irrelevant and Unfairly Prejudicial Evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 210 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [179]). Motion in limine to preclude testimony from undisclosed witnesses and other categories of irrelevant and unfairly prejudicial evidence by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED but limited to prior deposition. (Geraldino-Karasek, Clarilde) 211 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [180]). Motion in limine to preclude plaintiff from presenting expert testimony through lay witnesses by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 212 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [181]). Motion in limine to restrict evidence concerning plaintiff's "scheme liability" theory by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court. (Geraldino-Karasek, Clarilde) 213 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [182]). Motion in limine to preclude the Commission's attempt to use a "summary witness" for improper purposes by The Amvona Fund, LP, Gregory Lemelson, Lemelson Capital Management, LLC is DENIED as discussed in open court.(Geraldino-Karasek, Clarilde) 214 Filed & Entered: 10/18/2021
Order on Motion in Limine
Judge Patti B. Saris: ELECTRONIC ORDER entered on Motion in Limine ( Dokcet No. [184]). Motion in limine to exclude irrelevant evidence and argument by Securities and Exchange Commission is ALLOWED IN PART and DENIED IN PART as discussed in open court. (Geraldino-Karasek, Clarilde) 215 Filed & Entered: 10/22/2021
Notice of Hearing
ELECTRONIC NOTICE of Hearing re TRIAL'S CONTESTED EXHIBITS: HEARING SET FOR 10/25/2021 12:00 PM in Courtroom 19 (In person only) before Judge Patti B. Saris. (Geraldino-Karasek, Clarilde) 216 Filed: 10/25/2021Entered: 10/26/2021
Hearing (Other)
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Hearing held on 10/25/2021. Colloquy re: objected to exhibits. (Court Reporter: Lee Marzilli at leemarz@aol.com.)(Attorneys present: Various) (Pezzarossi, Lisa) 218 Filed: 10/25/2021Entered: 10/27/2021
Transcript
Transcript of Final Pretrial Conference held on October 14, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com. Redaction Request due 11/15/2021. Redacted Transcript Deadline set for 11/26/2021. Release of Transcript Restriction set for 1/24/2022. (Coppola, Katelyn) 219 Filed: 10/25/2021Entered: 10/27/2021
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 217 Filed: 10/26/2021Entered: 10/27/2021
Jury Trial - Begun
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/26/2021. TRIAL DAY 1. Conference without jury present. Jurors brought in. Jury Selection process began. 8 jurors impaneled. Jurors sworn. Preliminary instructions. Court admitted joint exhibits. Plaintiff calls: Keith Marschke (direct/cross). Marscheke will resume stand on 10/27/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.)(Attorneys present: Various) (Pezzarossi, Lisa) 220 Filed: 10/27/2021Entered: 10/29/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/27/2021 DAY 2 (Wed). P-1 Ketih Marschke testimony resumes; P-2 Matthew Foehr; P-3 Brian Lian, court adjourned until Thursday 10/28/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 221 Filed: 10/28/2021Entered: 10/29/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/28/2021 Day 3 (Thursday). P-4 Bruce Voss; P-5 Catherine Hyodo- BY VIDEO; P-6 Sougata Banerjee BY VIDEO, court adjourned. Trial to resume on Friday 10/29/21 at 9:00am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net. and Joan Daly-afternoon proceeding) (Molloy, Maryellen) 226 Filed: 10/29/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 10/29/2021 DAY 4 (Friday). P-7 John Higgins-sworn, court adjourned until Monday 11/1/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen) 222 Filed & Entered: 10/31/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC Submission Regarding Inapplicability of Negligence Standard to Commission's Investment Advisers Act Claim. (Brooks, Douglas) 223 Filed & Entered: 10/31/2021
Proposed Jury Verdict
Supplemental Proposed Jury Verdict by Securities and Exchange Commission. (Attachments: # (1) Exhibit Proposed Verdict Form, # (2) Exhibit SEC v. Johnston Verdict Form)(Day, Alfred) 227 Filed: 11/01/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/1/2021 DAY 5 (MONDAY). 8 Juror's present, 1 juror excused for cause. SEC calls P-8 Father Lemelson-sworn, court adjourned until Tuesday 11/2/21. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 224 Filed & Entered: 11/02/2021
Objection
Objection to [168] Proposed Jury Instructions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC (Regarding Negligence). (Brooks, Douglas) 225 Filed & Entered: 11/02/2021
Objection
Objection to [223] Proposed Jury Verdict by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC . (Attachments: # (1) Exhibit A)(Brooks, Douglas) 228 Filed: 11/02/2021Entered: 11/03/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/2/2021 DAY 6 (Tuesday). P-8 Father Lemelson testimony resumes; P-9 Nicholas Jabbour-sworn; P-10 Robert Fields-sworn. Plaintiff Rests, Defense Rests. Closings to begin on Wed 11/3/2021. (Court Reporter: Debra Joyce at joycedebra@gmail.com.) (Molloy, Maryellen) 230 Filed: 11/02/2021Entered: 11/04/2021
Order on Motion for Judgment as a Matter of Law
Judge Patti B. Saris: ELECTRONIC ORDER entered DENIED [229] MOTION for Judgment as a Matter of Law by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Geraldino-Karasek, Clarilde) 229 Filed & Entered: 11/03/2021Terminated: 11/02/2021
Motion for Judgment as a Matter of Law MOTION for Judgment as a Matter of Law by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas) 231 Filed: 11/03/2021Entered: 11/04/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/3/2021 DAY 7 (WED). Closings/Charge to the Jury. Parties agree on the record and are content with all the admitted exhibits - Exhibits sent to the Jury Room. JERS Disc released to jury room. DELIBERATIONS BEGIN. Court adjourned until Thursday 11/4/2021 at 8:30am. (Court Reporter: Kathleen Silva at kathysilva@verizon.net.) (Molloy, Maryellen) 233 Filed: 11/04/2021Entered: 11/05/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/4/2021 DAY 8 (THURSDAY). 7 Juror's present, Deliberations resume; Jury excused until Friday 11/5/2021.(Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 232 Filed & Entered: 11/05/2021
Jury Verdict
JURY VERDICT entered as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 234 Filed & Entered: 11/05/2021
Jury Trial - Held
Electronic Clerk's Notes for proceedings held before Judge Patti B. Saris: Jury Trial held on 11/5/2021 DAY 9 (FRIDAY). #1 Juror did not report today - court excused #1. 6 Juror's present, Deliberations resume. VERDICT RETURNED, See verdict slip Docket entry #232 for details. Jury Excused. All Exhibits returned to Counsel, including Chalks. Parties will notify the Clerk in the next couple of weeks to set up Status Conference by Zoom re: briefing schedule, court adjourned. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen) 241 Filed: 11/05/2021Entered: 12/15/2021
Exhibit List
JERS Exhibit List as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 236 Filed & Entered: 11/29/2021
Stipulation
STIPULATION regarding remedies briefing schedule by Securities and Exchange Commission. (Day, Alfred) 238 Filed: 11/29/2021Entered: 12/01/2021
Letter/request (non-motion) Letter from Randy E. Hardin as to Securities and Exchange Commission v. Lemelson et al. (Geraldino-Karasek, Clarilde) 237 Filed: 11/30/2021Entered: 12/01/2021
Order
Judge Patti B. Saris: ENDORSED ORDER entered ALLOWED re [236] Proposed Remedies Briefing Schedule. SET DEADLINES AS TO: Opening Brief due by 12/22/2021; Opposition Brief due by 1/20/2022; Reply Brief due by 1/27/2022. REMEDIES MOTION HEARING SET FOR 2/15/2022 02:30 PM BY VIDEO before Judge Patti B. Saris. This hearing will be conducted by VIDEO CONFERENCE. Counsel of record will receive a video conference invite at the email registered in CM/ECF. If you have technical or compatibility issues with the technology, please notify the session's courtroom deputy as soon as possible. Access to the hearing will be made available to the media and public. In order to gain access to the hearing, you must sign up at the following address: https://forms.mad.uscourts.gov/courtlist.html. For questions regarding access to hearings, you may refer to the Court's general orders and public notices available on www.mad.uscourts.gov or contact media@mad.uscourts.gov.(Geraldino-Karasek, Clarilde) 239 Filed & Entered: 12/03/2021Terminated: 12/21/2021
Motion for Judgment as a Matter of Law MOTION for Judgment as a Matter of Law by Gregory Lemelson, Lemelson Capital Management, LLC.(Sullivan, Brian) 240 Filed & Entered: 12/03/2021
Memorandum in Support of Motion MEMORANDUM in Support re [239] MOTION for Judgment as a Matter of Law filed by Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian) 242 Filed & Entered: 12/17/2021
Response to Motion
Interim RESPONSE to Motion re [239] MOTION for Judgment as a Matter of Law (Preliminary Opposition to Renewed Motion for Judgment as a Matter of Law and Motion to Reset Deadline for Full Opposition If It Is Desired by the Court) filed by Securities and Exchange Commission. (Jones, Marc) 243 Filed & Entered: 12/21/2021
Order on Motion for Judgment as a Matter of Law
Judge Patti B. Saris: ORDER entered DENIED re [239] Motion for Judgment as a Matter of Law. (Geraldino-Karasek, Clarilde) 244 Filed & Entered: 12/22/2021
Motion for Order MOTION for Order Entering Final Judgment by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order)(Day, Alfred) 245 Filed & Entered: 12/22/2021
Memorandum in Support of Motion MEMORANDUM in Support re [244] MOTION for Order Entering Final Judgment filed by Securities and Exchange Commission. (Day, Alfred) 246 Filed & Entered: 12/22/2021
Appendix/Exhibit
APPENDIX/EXHIBIT re [245] Memorandum in Support of Motion For Order Entering Final Judgment by Securities and Exchange Commission. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K, # (12) Exhibit L, # (13) Exhibit M, # (14) Exhibit N, # (15) Exhibit O, # (16) Exhibit P, # (17) Exhibit Q, # (18) Exhibit R, # (19) Exhibit S, # (20) Exhibit T, # (21) Exhibit U, # (22) Exhibit V, # (23) Exhibit X, # (24) Exhibit Z, # (25) Exhibit AA, # (26) Exhibit BB, # (27) Exhibit CC, # (28) Exhibit DD, # (29) Exhibit EE)(Day, Alfred) 247 Filed & Entered: 12/27/2021
Notice requesting courtesy copy
ELECTRONIC NOTICE issued requesting courtesy copy for [245] Memorandum in Support of Motion, [246] Appendix/Exhibit, [244] MOTION for Order Entering Final Judgment. Counsel who filed these documents are requested to submit a courtesy copy of these documents to the Clerk's Office by 1/4/2022. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Geraldino-Karasek, Clarilde) 248 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 4 held on October 29, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 249 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 6 held on November 2, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Debra Joyce at joycedebra@gmail.com. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 250 Filed: 01/06/2022Entered: 01/10/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 251 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 1 held on October 26, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 252 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 2 held on October 27, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 253 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 3 held on October 28, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 254 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 5 held on November 1, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 255 Filed: 01/06/2022Entered: 01/10/2022
Transcript
Transcript of Jury Trial - Day 7 held on November 3, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/27/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/6/2022. (Coppola, Katelyn) 256 Filed: 01/06/2022Entered: 01/10/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn) 257 Filed: 01/07/2022Entered: 01/11/2022
Transcript
Transcript of Jury Trial - Day 8 held on November 4, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn) 258 Filed: 01/07/2022Entered: 01/11/2022
Transcript
Transcript of Jury Trial - Day 9 held on November 5, 2021, before Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Kathleen Silva at kathysilva@verizon.net. Redaction Request due 1/28/2022. Redacted Transcript Deadline set for 2/7/2022. Release of Transcript Restriction set for 4/7/2022. (Coppola, Katelyn) 259 Filed: 01/07/2022Entered: 01/11/2022
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Coppola, Katelyn)
83
Filed: 2/20/2020, Entered: 2/28/2020
Case no longer referred to Magistrate Judge
Case no longer referred to Magistrate Judge Donald L. Cabell. (Russo, Noreen)
79
Filed: 2/20/2020, Entered: 2/20/2020
Order on motion to compel
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered finding as moot [58] Motion to Compel (DLC, law2)
NOTICE by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions (Brooks, Douglas)
77
Filed: 2/20/2020, Entered: 2/20/2020
Order on Motion for Leave to Appear
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [73] Motion for Leave to Appear Pro Hac Vice Added Sean P. Tonolli. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (McDonagh, Christina)
76
Filed: 2/20/2020, Entered: 2/20/2020
Order on Motion for Leave to Appear
Judge Patti B. Saris: ELECTRONIC ORDER entered granting [72] Motion for Leave to Appear Pro Hac Vice Added Bradley J. Bondi. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (McDonagh, Christina)
REPLY to Response to [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian)
MOTION for Leave to Appear Pro Hac Vice for admission of Sean P. Tonolli Filing fee: $ 100, receipt number 0101-8115736 by Ligand Pharmaceuticals, Inc.. (Attachments: # (1) Exhibit A - Certification of Sean P. Tonolli)(Abarca, Andrea)
MOTION for Leave to Appear Pro Hac Vice for admission of Bradley J. Bondi Filing fee: $ 100, receipt number 0101-8115694 by Ligand Pharmaceuticals, Inc.. (Attachments: # (1) Exhibit A - Certification of Bradley J. Bondi)(Abarca, Andrea)
MEMORANDUM in Support re [68] MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS filed by Securities and Exchange Commission. (Day, Alfred)
MOTION for Order to Show Cause AS TO WHY DEFENDANTS SHOULD NOT BE HELD IN CONTEMPT FOR VIOLATING PROTECTIVE ORDERS by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order)(Day, Alfred)
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered granting [66] Motion for Leave to File Document ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Russo, Noreen)
AFFIDAVIT in Opposition re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit A - Bloomberg Subpoena, # (2) Exhibit B - LCM website, # (3) Exhibit C - Lemelson dep day 1 excerpt, # (4) Exhibit D - Lemelson dep day 2 excerpt, # (5) Exhibit E - email correspondence, # (6) Exhibit F - Brooks email)(Day, Alfred)
Opposition re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Securities and Exchange Commission. (Day, Alfred)
Second AFFIDAVIT of Father Emmanuel Lemelson in Opposition re [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Sullivan, Brian)
62
Filed: 1/31/2020, Entered: 1/31/2020
Order Referring Case to Magistrate Judge
Judge Patti B. Saris: ELECTRONIC ORDER entered. REFERRING CASE to Magistrate Judge Donald L. Cabell Referred for: Events Only. Motions referred: [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions. (Lara, Miguel) Motions referred to Donald L. Cabell.
AFFIDAVIT in Support re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Attachments: # (1) Exhibit 1)(Brooks, Douglas)
AFFIDAVIT in Support re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4)(Brooks, Douglas)
MEMORANDUM in Support re [58] MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
MOTION to Compel Production of Documents from Greek Orthodox Metropolis of Boston and for Sanctions by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
57
Filed: 1/29/2020, Entered: 1/29/2020
Case no longer referred to Magistrate Judge
Case no longer referred to Magistrate Judge Donald L. Cabell. (Russo, Noreen)
56
Filed: 1/29/2020, Entered: 1/29/2020
Order on Motion for Extension of Time to Complete Discovery.
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered denying [52] Motion for Extension of Time to Complete Discovery. The defendant's Motion for Extension of Time to Complete Discovery (D.52) is DENIED. As an initial matter, the defendant's motion is untimely where fact discovery closed on December 18, 2019. To be sure, this court recently ruled that the defendant may conduct a Rule 30(b)(6) deposition of the SEC but the deposition notice in that instance was served well before the deadline for the completion of fact discovery. Moreover, there is a dissonance between the discovery the defendant complains he was unable to conduct and which ostensibly led to this motion, and the discovery the defendant actually seeks permission to conduct. More particularly, the defendant avers in support of his motion that Ligand has essentially blocked his efforts to discover pertinent information regarding some presentations made by Ligand to the SEC. Putting aside that the defendant never moved as he could have to compel the production of this information, that is not the targeted discovery for which the defendant now seeks an extension. Rather, the defendant makes it clear that he seeks to re-open discovery to depose Ligand's counsel about his non-privileged communications with the SEC and his relationship with SEC Enforcement staff involved in this litigation. In that regard, and to the extent the defendant is heard to respond that the present motion does indeed reflect the information he previously was attempting to discover, the motion has been substantially if not completely mooted by the courts ruling allowing the Rule 30(b)(6) deposition of the Commission to go forward. The defendant is free there to ask the SEC about its non-privileged dealings with Ligand's counsel and their relationship. (DLC, law2) Modified on 1/29/2020 to restore punctuation stripped out by CM/ECF (Russo, Noreen).
Opposition re [52] MOTION for Extension of Time to Complete Discovery (Opposition to Defendants' Motion to Reopen Fact Discovery) filed by Securities and Exchange Commission. (Jones, Marc)
Judge Patti B. Saris: ELECTRONIC ORDER entered. REFERRING MOTION [52] MOTION for Extension of Time to Complete Discovery filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson to Magistrate Judge Cabell. (Lara, Miguel) Motions referred to Donald L. Cabell.
REPLY to Response to [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition filed by Securities and Exchange Commission. (Jones, Marc)
50
Filed: 1/8/2020, Entered: 1/8/2020
Order on Motion for Leave to File
Magistrate Judge Donald L. Cabell: ELECTRONIC ORDER entered granting [49] Motion for Leave to File Reply not exceeding 10 pages by the close of business on January 13th, 2020; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (DLC, law2)
Judge Patti B. Saris: ELECTRONIC ORDER entered. REFERRING CASE to Magistrate Judge Donald L. Cabell Referred for: Events Only (e). Motions referred: [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition. (Lara, Miguel) Motions referred to Donald L. Cabell.
AFFIDAVIT of Father Emmanuel Lemelson in Opposition re [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
MEMORANDUM in Opposition re [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
44
Filed: 12/30/2019, Entered: 12/30/2019
Set/Reset Motion and R and R Deadlines/Hearings
Reset deadlines: [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition. Responses due by 1/7/2020 (Lara, Miguel)
43
Filed: 12/30/2019, Entered: 12/30/2019
order on motion for extension of time to file
Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting [42] Motion for Extension of Time to File. (Lara, Miguel)
Assented to MOTION for Extension of Time to January 7, 2020 to File Opposition to Plaintiff's Motion for Protective Order to Prevent Rule 30(b)(6) Deposition by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
MEMORANDUM in Support re [40] MOTION for Protective Order to Prevent Rule 30(b)(6) Deposition filed by Securities and Exchange Commission. (Jones, Marc)
Joint MOTION for Protective Order by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order Supplemental Stipulation and [Proposed] Order)(Day, Alfred)
Order on Motion for Extension of Time to Complete Discovery.
Chief Judge Patti B. Saris: ENDORSED ORDER entered....Granting [35] JOINT Motion for Extension of Time to Complete Fact Discovery to 12/18/19; Completion of Expert Deposition by 3/18/2020; Motions for Summary Judgment due by 4/20/2020; Oppositions 5/20/20; Reply 6/5/20, see docket entry #35 for further details. (Molloy, Maryellen)
Motion for Extension of Time to Complete Discovery
Joint MOTION for Extension of Time to December 18, 2019 to Complete Discovery and to Extend Other Deadlines by Securities and Exchange Commission.(Jones, Marc)
AMENDED COMPLAINT against Lemelson Capital Management, LLC, Gregory Lemelson, filed by Securities and Exchange Commission.(Day, Alfred)
32
Filed: 2/15/2019, Entered: 2/15/2019
Notice of Filing of Official Transcript
NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Scalfani, Deborah)
Transcript of Motion Hearing/Scheduling Conference held on December 6, 2018, before Chief Judge Patti B. Saris. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com Redaction Request due 3/8/2019. Redacted Transcript Deadline set for 3/18/2019. Release of Transcript Restriction set for 5/16/2019. (Scalfani, Deborah)
30
Filed: 1/23/2019, Entered: 1/23/2019
Set/Reset Motion and R and R Deadlines/Hearings
Set deadline as to any amendment due by 3/25/2019 (Lara, Miguel)
Chief Judge Patti B. Saris: MEMORANDUM AND ORDER ENTERED The Court DENIES Defendants' motion to dismiss except with respect to the Tangible Equity Statement (Docket No. [10]). The Court will allow the SEC leave to amend its complaint as to the allegation. Any such amendment shall be made within 60 days. (Lara, Miguel)
Electronic Clerk's Notes for proceedings held before Chief Judge Patti B. Saris: Motion Hearing held on 12/6/2018 re [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Amvona Fund, LP, The, Lemelson Capital Management, LLC, Gregory Lemelson...all matters taken under advisement. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
Electronic Clerk's Notes for proceedings held before Chief Judge Patti B. Saris: Scheduling Conference held on 12/6/2018. See Amended Joint Statement dkt #26 for deadlines adopted by the court on 12/6/18. (Court Reporter: Lee Marzilli at leemarz@aol.com.) (Molloy, Maryellen)
Joint MOTION for Protective Order by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order Stipulation and Order Regarding Discovery Materials)(Jones, Marc)
REPLY to Response to [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting [18] Motion for Leave to File Reply Memorandum in Support of Motion to Dismiss ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Caruso, Stephanie)
MOTION for Leave to File Reply Memorandum in Support of Motion to Dismiss by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC.(Brooks, Douglas)
AFFIDAVIT in Opposition re [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3)(Day, Alfred)
ELECTRONIC NOTICE Setting Hearing on Motion [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM .... Motion Hearing set for 12/6/2018 11:15 AM in Courtroom 19 before Chief Judge Patti B. Saris. (Molloy, Maryellen)
NOTICE of Scheduling Conference.... Scheduling Conference set for 12/6/2018 11:00 AM in Courtroom 19 before Chief Judge Patti B. Saris. (Molloy, Maryellen)
ELECTRONIC NOTICE issued requesting courtesy copy for [11] Memorandum in Support of Motion, [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM , [12] Affidavit in Support. Counsel who filed this document are requested to submit a courtesy copy of this document (or documents) to the Clerk's Office by. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Coppola, Katelyn)
MEMORANDUM in Support re [10] MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. (Brooks, Douglas)
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Amvona Fund, LP, The waiver sent on 9/12/2018, answer due 11/13/2018. (Day, Alfred)
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Lemelson Capital Management, LLC waiver sent on 9/12/2018, answer due 11/13/2018. (Day, Alfred)
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Gregory Lemelson waiver sent on 9/12/2018, answer due 11/13/2018. (Day, Alfred)
Summons Issued as to Amvona Fund, LP, The, Gregory Lemelson, Lemelson Capital Management, LLC. Counsel receiving this notice electronically should download this summons, complete one for each defendant and serve it in accordance with Fed.R.Civ.P. 4 and LR 4.1. Summons will be mailed to plaintiff(s) not receiving notice electronically for completion of service. (Jones, Sherry)
ELECTRONIC NOTICE of Case Assignment. Chief Judge Patti B. Saris assigned to case. If the trial Judge issues an Order of Reference of any matter in this case to a Magistrate Judge, the matter will be transmitted to Magistrate Judge Donald L. Cabell. (DaSilva, Carolina)
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