Name: Securities and Exchange Commission v. Rothenberg :: California Northern District Court :: Federal Civil Lawsuit No. 4:18-cv-05080-JST, Judge Jon S. Tigar presiding
Creator: California Northern District Court
Published: 2018-08-20
License: https://creativecommons.org/publicdomain/mark/1.0/
Keywords: court documents, legal case, docket, PACER, California Northern District Court

Save 25% on a pre-paid one year subscription.

108	Filed: 1/28/2021, Entered: 1/28/2021	USCA Mandate
	MANDATE of USCA as to [101] Notice of Appeal to the Ninth Circuit, filed by Michael Brent Rothenberg (jmlS, COURT STAFF) (Filed on 1/28/2021)
	Request

107	Filed: 1/7/2021, Entered: 1/8/2021	USCA order
	ORDER of USCA - Appeal is dismissed for failure to prosecute as to [101] Notice of Appeal to the Ninth Circuit, filed by Michael Brent Rothenberg (jmlS, COURT STAFF) (Filed on 1/7/2021)
	Request

106	Filed: 12/8/2020, Entered: 12/8/2020	Order Relating Case
	ORDER RELATING CASE 20-cr-266-WHA to 18-cv-5080. Signed by Judge Jon S. Tigar on December 8, 2020. (mllS, COURT STAFF) (Filed on 12/8/2020)Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF)
	Request

105	Filed: 11/20/2020, Entered: 11/20/2020	Order
	ORDER SETTING NEW DEADLINE TO RESPOND TO NOTICE OF RELATED CASE re [103] Notice (Other) filed by United States of America. Status Report due by 12/4/2020. Signed by Judge Jon S. Tigar on November 20, 2020. (mllS, COURT STAFF) (Filed on 11/20/2020)Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF)
	Request

104	Filed: 7/15/2020, Entered: 7/15/2020	Order
	ORDER SETTING DEADLINE TO RESPOND TO NOTICE OF RELATED CASE The Court has received a notice of related case in a criminal action. See ECF No. 103; No. 20-cr-266-WHA. Defendant, who is pro se in the instant case, does not yet have an attorney in the criminal case. His deadline to respond to the notice of related case, should he choose to do so, is thus set for seven days after a lawyer is appointed in his criminal case or it is determined that he will be proceeding in propria persona. Signed by Judge Jon S. Tigar on July 15, 2020. (This is a text-only entry generated by the court. There is no document associated with this entry.) (jstlc1S, COURT STAFF) (Filed on 7/15/2020)Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF)


103	Filed: 7/6/2020, Entered: 7/6/2020	Notice - Other
	NOTICE Of Related Case In A Criminal Action by United States of America (Waldinger, Kyle) (Filed on 7/6/2020) Modified on 7/7/2020 (jmlS, COURT STAFF).
	Request

102	Filed: 2/11/2020, Entered: 2/12/2020	USCA Case Number
	USCA Case Number 20-15199 Ninth Circuit Court of Appeals for [101] Notice of Appeal, filed by Michael Brent Rothenberg. (cjlS, COURT STAFF) (Filed on 2/11/2020)
	Request

101	Filed: 2/7/2020, Entered: 2/7/2020, Terminated: 1/28/2021	Notice of Appeal to the Ninth Circuit
	NOTICE OF APPEAL to the 9th Circuit Court of Appeals filed by Michael Brent Rothenberg. Appeal of Order on Motion for Miscellaneous Relief[100], Letter[99] (Appeal fee of $505 receipt number 0971-14157827 paid.) (Rothenberg, Michael) (Filed on 2/7/2020)
	Request

100	Filed: 12/20/2019, Entered: 12/20/2019	order on motion for miscellaneous relief
	Order by Judge Jon S. Tigar granting [83] Plaintiff's Motion for Disgorgement and Penalties Against Defendant Michael B. Rothenberg.(mllS, COURT STAFF) (Filed on 12/20/2019)
	Request

99	Filed: 11/1/2019, Entered: 11/1/2019	Letter
	Letter Providing Supplemental Authority. (Attachments: # (1) Exhibit)(Rothenberg, Michael) (Filed on 11/1/2019)
	Request

98	Filed: 10/7/2019, Entered: 10/7/2019	Order on Motion for Permission for Electronic Case Filing
	Order by Judge Jon S. Tigar granting [96] Motion for Permission for Electronic Case Filing. The deputy clerk hereby certifies that on 10/7/19, a copy of this order was served by sending it via first-class mail to the address of each non-CM/ECF user listed on the Notice of Electronic Filing.(mllS, COURT STAFF) (Filed on 10/7/2019)
	Request

97	Filed: 10/4/2019, Entered: 10/4/2019	Order on Motion for reconsideration
	Order by Judge Jon S. Tigar denying [95] Motion for Reconsideration. (This is a text-only entry generated by the court. There is no document associated with this entry.) (jstlc1S, COURT STAFF) (Filed on 10/4/2019)


96	Filed: 10/2/2019, Entered: 10/3/2019	MOTION for Permission for Electronic Case Filing
	MOTION for Permission for Electronic Case Filing filed by Michael B. Rothenberg. (Attachments: # (1) Proposed Order)(ajsS, COURT STAFF) (Filed on 10/2/2019)
	Request

95	Filed: 10/2/2019, Entered: 10/3/2019	Motion for Reconsideration
	DEFENDANT MICHAEL B. ROTHENBERG'S MOTION for Reconsideration of [94] Order Vacating Hearing filed by Michael B. Rothenberg. (ajsS, COURT STAFF) (Filed on 10/2/2019)
	Request

94	Filed: 9/30/2019, Entered: 9/30/2019	Order
	ORDER VACATING HEARING re [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on September 30, 2019. The deputy clerk hereby certifies that on 9/30/19, a copy of this order was served by sending it via first-class mail to the address of each non-CM/ECF user listed on the Notice of Electronic Filing. (mllS, COURT STAFF) (Filed on 9/30/2019)
	Request

93	Filed: 9/4/2019, Entered: 9/4/2019	Certificate of service
	CERTIFICATE OF SERVICE by Securities and Exchange Commission re [92] Declaration in Support, [91] Reply to Opposition/Response (Hefty, Andrew) (Filed on 9/4/2019)
	Request

92	Filed: 9/4/2019, Entered: 9/4/2019	Declaration in Support
	(Supplemental) Declaration of Gerald T. Fujimoto in Support of [91] Reply to Opposition/Response filed bySecurities and Exchange Commission. (Related document(s)[91]) (Hefty, Andrew) (Filed on 9/4/2019) Modified on 9/5/2019 (jjbS, COURT STAFF).
	Request

91	Filed: 9/4/2019, Entered: 9/4/2019	Reply to Opposition/Response
	REPLY (re [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg ) filed bySecurities and Exchange Commission. (Hefty, Andrew) (Filed on 9/4/2019)
	Request

90	Filed: 8/21/2019, Entered: 8/22/2019	Opposition/Response to Motion
	DEFENDANT MICHAEL B. ROTHENBERG'S OPPOSITION TO PLAINTIFF SECURITIES AND EXHANGE COMMISSION'S MOTINO FOR DISGORGEMENT AND PENALTIES (re [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg ) filed by Michael B. Rothenberg. (Attachments: # (1) Exhibits A, B, C, # (2) Exhibits D, E, # (3) Exhibits F, G)(wsnS, COURT STAFF) (Filed on 8/21/2019)
	Request

89	Filed: 8/21/2019, Entered: 8/21/2019	Clerks Notice ADI
	CLERKS NOTICE REGARDING LOCATION CHANGE FOR JUDGE JON S. TIGAR Effective August 26, 2019:Judge Jon S. Tigar's courtroom and chambers will be located at the Ronald V. Dellums Federal Building and United States Courthouse, Courtroom 6, 2nd Floor, 1301 Clay Street, Oakland, CA 94612.On or after the effective date, all court appearances, filings, and deliveries of chambers copies must be made at the Oakland Courthouse (https://cand.uscourts.gov/locations). For updated scheduling information, please visit https://cand.uscourts.gov/jst. Judge Tigar's case assignments will be updated to reflect the correct office assignment (for example: 3:19-cv-00123-JST will now be 4:19-cv-00123-JST) (ecgS-adi, COURT STAFF) (Filed on 8/21/2019)
	Request

88	Filed: 8/1/2019, Entered: 8/1/2019	Clerks Notice Continuing Motion Hearing
	CLERK'S NOTICE Continuing Motion Hearing. [83] MOTION Disgorgement and Penalties Against Defendant Michael B. Rothenberg. Motion Hearing set for 10/9/2019 02:00 PM in Oakland, Courtroom 6, 2nd Floor before Judge Jon S. Tigar. (This is a text-only entry generated by the court. There is no document associated with this entry.)(Related documents(s) [83])(mllS, COURT STAFF) (Filed on 8/1/2019)


87	Filed: 7/31/2019, Entered: 7/31/2019	Certificate of service
	CERTIFICATE OF SERVICE by Securities and Exchange Commission re [84] Declaration in Support, [86] Declaration in Support, [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg, [85] Declaration in Support, (Hefty, Andrew) (Filed on 7/31/2019)
	Request

86	Filed: 7/31/2019, Entered: 7/31/2019	Declaration in Support
	Declaration of Jefferson R. Eppler in Support of [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg filed by Securities and Exchange Commission. (Related document(s)[83]) (Katz, Marc) (Filed on 7/31/2019)
	Request

85	Filed: 7/31/2019, Entered: 7/31/2019	Declaration in Support
	Declaration of Eric M. Brooks in Support of [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg filed bySecurities and Exchange Commission. (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)(Related document(s)[83]) (Brooks, Eric) (Filed on 7/31/2019)
	Request

84	Filed: 7/31/2019, Entered: 7/31/2019	Declaration in Support
	Declaration of Gerald T. Fujimoto in Support of [83] MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit A)(Related document(s)[83]) (Hefty, Andrew) (Filed on 7/31/2019)
	Request

83	Filed: 7/31/2019, Entered: 7/31/2019, Terminated: 12/20/2019	Motion for Miscellaneous Relief
	MOTION for Disgorgement and Penalties Against Defendant Michael B. Rothenberg filed by Securities and Exchange Commission. Motion Hearing set for 10/3/2019 02:00 PM in San Francisco, Courtroom 09, 19th Floor before Judge Jon S. Tigar. Responses due by 8/21/2019. Replies due by 9/4/2019. (Attachments: # (1) Proposed Order)(Hefty, Andrew) (Filed on 7/31/2019)
	Request

82	Filed: 5/28/2019, Entered: 5/28/2019	Certificate of service
	CERTIFICATE OF SERVICE by Securities and Exchange Commission re [81] Notice (Other) (Katz, Marc) (Filed on 5/28/2019)
	Request

81	Filed: 5/28/2019, Entered: 5/28/2019	Notice - Other
	NOTICE by Securities and Exchange Commission Notice of Withdrawal of Counsel (Katz, Marc) (Filed on 5/28/2019)
	Request

80	Filed: 5/10/2019, Entered: 5/10/2019	Certificate of service
	CERTIFICATE OF SERVICE filed by Securities and Exchange Commission re [79] Discovery Order (Hefty, Andrew) (Filed on 5/10/2019)
	Request

79	Filed: 5/9/2019, Entered: 5/9/2019	Discovery order
	ORDER COMPELLING DEFENDANT MICHAEL B. ROTHENBERG TO RESPOND TO INTERROGATORIES AND REQUESTS FOR PRODUCTION OF DOCUMENTS re [73] Discovery Letter Brief. Signed by Judge Jon S. Tigar on May 9, 2019. (wsnS, COURT STAFF) (Filed on 5/9/2019)
	Request

78	Filed: 5/2/2019, Entered: 5/2/2019	Certificate of service
	CERTIFICATE OF SERVICE filed by Securitiesand Exchange Commission re ORDER RE JOINT DISCOVERY LETTER BRIEF and MINUTE ENTRY (ECF NO. 77) (Atwood, E.) (Filed on 5/2/2019)
	Request

77	Filed: 4/30/2019, Entered: 5/1/2019	terminate hearings
	Minute Entry for proceedings held before Magistrate Judge Donna M. Ryu: Settlement Conference held on 4/30/2019. Results: Rothenberg and Rothenberg Ventures immediately shall attempt to negotiate an agreement which shall be contingent on Rothenberg reaching a settlement with the SEC. Any such agreement must be reduced to a signed term sheet by 5/9/2019. Counsel promptly shall notify Judge Ryu whether an agreement was reached via email at DMRsettlement@cand.uscourts.gov. Rothenberg Ventures shall provide a Plan B framework to the SEC by 12:00 PM on 5/3/2019. The SEC commits to discussing Plan B internally by 5/9/2019, and shall promptly notify Rothenberg Ventures and Judge Ryu of the results of the internal discussion. After reviewing the notifications, Judge Ryu will convene a further settlement conference call if appropriate.The parties agreed that Michael Rothenberg shall appear for his deposition on 5/7/2019 9:00 AM at the SEC offices. FTR Time: Not Recorded. For Plaintiff: Barrett Atwood; Andrew Hefty; C. Dabney O'Riordan; Eric BrooksFor Defendant Michael Rothenberg: Robert Lott; Michael RothenbergFor Rothenberg Ventures, LLC: Jahan Raissi; J.R. Eppler (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Date Filed: 4/30/2019)


76	Filed: 4/25/2019, Entered: 4/25/2019	Notice - Other
	NOTICE by Securities and Exchange Commission re [74] Order : Notice of Filing of Discovery (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Atwood, E.) (Filed on 4/25/2019)
	Request

75	Filed: 4/23/2019, Entered: 4/23/2019	Certificate of service
	CERTIFICATE OF SERVICE filed by Securities and Exchange Commission re ORDER RE JOINT DISCOVERY LETTER BRIEF (Atwood, E.) (Filed on 4/23/2019)
	Request

74	Filed: 4/22/2019, Entered: 4/22/2019	Order
	ORDER RE JOINT DISCOVERY LETTER BRIEF re [73] Discovery Letter Brief filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on April 22, 2019. (wsnS, COURT STAFF) (Filed on 4/22/2019)
	Request

73	Filed: 4/19/2019, Entered: 4/19/2019, Terminated: 5/9/2019	Discovery Letter Brief
	Discovery Letter Brief from Plaintiff Securities and Exchange Commission and Defendant Michael B. Rothenberg REGARDING DISCOVERY DISPUTE. (Atwood, E.) (Filed on 4/19/2019)
	Request

72	Filed: 3/21/2019, Entered: 3/21/2019	set/reset hearings
	Order. Given Mr. Rothenberg's entry of his appearance, the court vacates the status hearing. The court will notify Mr. Rothenberg separately but asks withdrawing counsel to notify him that the appearance is vacated. (Beeler, Laurel) (Filed on 3/21/2019) (ejkS, COURT STAFF).
	Request

71	Filed: 3/20/2019, Entered: 3/20/2019	Notice of Appearance
	Notice of Withdrawal of Counsel & Pro Se Appearance by Michael B. Rothenberg (Dooley, Elizabeth) (Filed on 3/20/2019)
	Request

70	Filed: 3/18/2019, Entered: 3/18/2019	Certificate of service
	CERTIFICATE OF SERVICE by Michael B. Rothenberg re [69] Clerk's Notice, (Dooley, Elizabeth) (Filed on 3/18/2019)
	Request

69	Filed: 3/18/2019, Entered: 3/18/2019	Clerks Notice
	CLERK'S NOTICE RESETTING STATUS CONFERENCE TIME: Status Conference set for 3/21/2019 at 9:30 AM is reset to 10:00 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ejkS, COURT STAFF) (Filed on 3/18/2019)


68	Filed: 3/14/2019, Entered: 3/14/2019	Declaration in Support
	Declaration of Elizabeth A. Dooley Regarding Service re [67] Order filed by Michael B. Rothenberg. (Related document(s)[67]) (Dooley, Elizabeth) (Filed on 3/14/2019)
	Request

67	Filed: 3/7/2019, Entered: 3/7/2019	Order
	ORDER.In the attached order, the court sets a hearing on March 21, 2018 at 9:30 a.m., orders Mr. Rothenberg to appear at the hearing, either through a new lawyer or in person if he has not been able to hire a lawyer yet, and warns him that if he does not, he risks sanctions. Under Civil Local Rule 11-5(b), withdrawing counsel must send all filings in the case including a copy of this order to Mr. Rothenberg until substitute counsel appears or Mr. Rothenberg appears pro se. (Beeler, Laurel) (Filed on 3/7/2019)
	Request

66	Filed: 3/7/2019, Entered: 3/7/2019	Status Conference
	Minute Entry for proceedings held before Magistrate Judge Laurel Beeler: Status Conference held on 3/7/2019. Court to issue order. Status Conference set for 3/21/2019 at 9:30 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler.FTR Time: 9:38-9:41. Plaintiff's Attorney: Andrew Hefty. Defendant Michael B. Rothenberg not appearing. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ejkS, COURT STAFF) (Date Filed: 3/7/2019)


65	Filed: 3/5/2019, Entered: 3/5/2019	Certificate of service
	CERTIFICATE OF SERVICE filed by Michael B. Rothenberg of re [64] Order, re [62] Clerk's Notice (Dooley, Elizabeth) (Filed on 3/5/2019)
	Request

64	Filed: 3/5/2019, Entered: 3/5/2019	Order
	ORDER. On March 4, 2019, the court reset the start time for the status conference from 11:00 a.m. to 9:30 a.m. to accommodate another hearing. The court assumes that withdrawing counsel notified Mr. Rothenberg, but in case not, asks that counsel do so. In any event, the court asks counsel to file a proof of service (or notification) so that the record is clear. (This is a text-only entry generated by the court. There is no document associated with this entry.) (Beeler, Laurel) (Filed on 3/5/2019)


63	Filed: 3/5/2019, Entered: 3/5/2019	Order Setting Settlement Conference.
	NOTICE OF RESCHEDULED SETTLEMENT CONFERENCE AND SETTLEMENT CONFERENCE ORDER: Settlement Conference rescheduled to 4/30/2019 11:00 AM before Magistrate Judge Donna M. Ryu in Oakland, Courtroom 4, 3rd Floor. Signed by Magistrate Judge Donna M. Ryu on 3/5/19. (ig, COURT STAFF) (Filed on 3/5/2019)
	Request

62	Filed: 3/4/2019, Entered: 3/4/2019	Clerks Notice
	CLERK'S NOTICE RESETTING STATUS CONFERENCE TIME: Status Conference set for 3/7/2019 at 11:00 AM is reset to 9:30 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ejkS, COURT STAFF) (Filed on 3/4/2019)


61	Filed: 2/25/2019, Entered: 2/25/2019	terminate hearings
	Minute Entry for proceedings held before Magistrate Judge Donna M. Ryu: Further telephonic settlement planning call held on 2/25/2019. Results: By 2/27/2019 5:00 PM, counsel shall confirm availability for an 4/30/2019 settlement conference via email (DMRsettlement@cand.uscourts.gov). By 3/29/2019, SEC and Rothenberg Ventures shall provide a status report regarding settlement negotiations via the same email address. FTR Time: Not Recorded. For Plaintiff: Barrett Atwood; Andrew Hefty.For Michael B. Rothenberg (courtesy appearance): Marc Fagel; Elizabeth Dooley For Rothenberg Ventures, LLC: Jahan Raissi. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Date Filed: 2/25/2019)


60	Filed: 2/22/2019, Entered: 2/22/2019	Order on Motion to Withdraw
	Order granting [56] Motion to Withdraw entered by Magistrate Judge Laurel Beeler.
	Request

59	Filed: 2/22/2019, Entered: 2/22/2019	Order
	ORDER re [58] Notice of Withdrawal and Substitution of Counsel for Defendant Rothenberg Ventures LLC. Signed by Judge Laurel Beeler on 02/22/2019. (ejkS, COURT STAFF) (Filed on 2/22/2019)
	Request

58	Filed: 2/22/2019, Entered: 2/22/2019	Notice - Other
	NOTICE OF WITHDRAWAL AND SUBSTITUTION OF COUNSEL FOR DEFENDANT ROTHENBERG VENTURES LLC; [PROPOSED] ORDER filed by Rothenberg Ventures LLC. (Raissi, Jahan) (Filed on 2/22/2019)
	Request

57	Filed: 2/21/2019, Entered: 2/21/2019	Motion Hearing
	Minute Entry for proceedings held before Magistrate Judge Laurel Beeler: Motion Hearing held on 2/21/2019. Mr. Fagel states that the LLC has obtained counsel and grants the Unopposed Motion to Withdraw as Counsel for Defendant Michael B. Rothenberg. Parties to file notice of substitution of counsel. Status Conference set for 3/7/2019 at 11:00 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler.FTR Time: 10:33-10:41. Plaintiff's Attorney: Barrett Atwood. Defendants' Attorney: Marc Fagel. Also appearing: Defendant Michael Rothenberg. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ejkS, COURT STAFF) (Date Filed: 2/21/2019)


56	Filed: 2/20/2019, Entered: 2/20/2019, Terminated: 2/22/2019	Motion to Withdraw
	Unopposed Motion to Withdraw as Counsel for Defendant Michael B. Rothenberg re [55] Order filed by Michael B. Rothenberg, Rothenberg Ventures LLC. Motion Hearing set for 2/21/2019 09:30 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler. Responses due by 2/20/2019. Replies due by 2/20/2019. (Attachments: #(1) Proposed Order Granting Unopposed Motion to Withdraw, #(2) Certificate/Proof of Service)(Fagel, Marc) (Filed on 2/20/2019)
	Request

55	Filed: 2/20/2019, Entered: 2/20/2019	Order
	ORDER. In cases where there is not a simultaneous substitution of counsel, usually the individual defendants appear in court for the motions hearing. It may be too late for that to happen tomorrow, although perhaps telephone participation can be arranged. The court in any event reminds counsel of the requirement under Civil L. R. 11-5(b) for continued service when withdrawal is granted but there is no substitution of counsel or (in the case of an individual defendant) an appearance pro se. There also needs to be some generic motion filed on the docket to reflect the motion to withdraw. Similarly, usually there is a proposed order filed on the public docket. (This is a text-only entry generated by the court. There is no document associated with this entry.) (Beeler, Laurel) (Filed on 2/20/2019)


54	Filed: 2/19/2019, Entered: 2/19/2019	Clerks Notice
	CLERK'S NOTICE SETTING MOTION TO WITHDRAW HEARING: Motion Hearing set for 2/21/2019 at 09:30 AM in San Francisco, Courtroom B, 15th Floor before Magistrate Judge Laurel Beeler. (This is a text-only entry generated by the court. There is no document associated with this entry.), Set/Reset Deadlines as to (ejkS, COURT STAFF) (Filed on 2/19/2019)


53	Filed: 2/15/2019, Entered: 2/15/2019	Notice - Other
	NOTICE filed by Michael B. Rothenberg, Rothenberg Ventures LLC re [52] Order on Administrative Motion per Civil Local Rule 7-11 re Notice of Motion & Unopposed Motion to Withdraw As Counsel for Defendant Michael B. Rothenberg; Declaration of Marc J. Fagel; and [Proposed] Order [Lodged In Camera Pursuant to Court Order] (Fagel, Marc) (Filed on 2/15/2019)
	Request

52	Filed: 2/13/2019, Entered: 2/13/2019	Order on Administrative Motion per Civil Local Rule 7-11
	ORDER granting [50] Administrative Motion. The matter has been referred to the undersigned. Given the representation that the request is unopposed, the court grants it. The motion to withdraw may be noticed on a shortened time period and must be noticed for any available Thursday at 9:30 a.m. (Beeler, Laurel) (Filed on 2/13/2019)
	Request

51	Filed: 2/13/2019, Entered: 2/13/2019	Order Referring Case to Magistrate Judge for Report and Recommendation
	ORDER RE: MOTION FOR LEAVE TO FILE MOTION TO WITHDRAW IN CAMERA AND TO SHORTEN TIME as to [50] ADMINISTRATIVE MOTION Counsel for Defendant Michael B. Rothenberg Requests to Submit its Unopposed Motion to Withdraw In Camera. Signed by Judge Jon S. Tigar on February 13, 2019. (wsn, COURT STAFF) (Filed on 2/13/2019)
	Request

	Filed: None, Entered: None	Case Referred to Magistrate Judge for Report and Recommendation
	Motion referred to Magistrate Judge Laurel Beeler (ahm, COURT STAFF) (Filed on 2/13/2019) Modified on 2/21/2019 (ahm, COURT STAFF).


50	Filed: 2/12/2019, Entered: 2/12/2019, Terminated: 2/13/2019	Administrative Motion per Civil Local Rule 7-11
	ADMINISTRATIVE MOTION to Submit Its Unopposed Motion to Withdraw in Camera and Shorten Time to Hear the Motion - Counsel for Defendant Michael B. Rothenberg Requests to Submit its Unopposed Motion to Withdraw In Camera and Shorten Time to Hear The Motion filed by Michael B. Rothenberg, Rothenberg Ventures LLC. Responses due by 2/13/2019. (Attachments: #(1) Declaration of Marc J. Fagel in Support, #(2) [Proposed] Order Granting Administrative Motion to File Unopposed Motion to Withdraw In Camera and Shorten Time)(Fagel, Marc) (Filed on 2/12/2019) Modified on 2/21/2019 (ahm, COURT STAFF). Modified on 2/21/2019 (ahm, COURT STAFF).
	Request

49	Filed: 2/6/2019, Entered: 2/6/2019	Clerks Notice
	CLERK'S NOTICE: Notice is hereby given to all parties that due to a scheduling conflict, the 2/21/2019 11:00 AM pre-settlement phone call is vacated and continued to 2/25/2019 11:00 AM before Magistrate Judge Donna M. Ryu. Lead Counsel for all parties shall participate. Counsel will receive the call-in information via e-mail from Judge Ryu's courtroom deputy. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 2/6/2019)


48	Filed: 2/5/2019, Entered: 2/5/2019	Stipulation and Order
	STIPULATION AND ORDER re [47] STIPULATION WITH PROPOSED ORDER TO MODIFY SCHEDULING ORDER filed by Securities and Exchange Commission. Fact discovery cut-off 5/1/2019. Expert disclosures 5/23/2019. Expert discovery cut-off 7/3/2019. SECs Motion due by 7/31/2019. Defendants' opposition due by 8/21/2019. SEC reply due 9/4/2019 by 2:00 PM. Motion Hearing set for 10/3/2019 at 2:00 PM in San Francisco, Courtroom 9, 19th Floor before Judge Jon S. Tigar. Signed by Judge Jon S. Tigar on February 5, 2019. (wsn, COURT STAFF) (Filed on 2/5/2019)
	Request

47	Filed: 2/4/2019, Entered: 2/4/2019, Terminated: 2/5/2019	stipulation
	STIPULATION AND [PROPOSED] ORDER TO MODIFY SCHEDULING ORDER filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 2/4/2019)
	Request

46	Filed: 1/18/2019, Entered: 1/18/2019	Stipulation and Order
	STIPULATION AND ORDER re [44] STIPULATION AND [PROPOSED] ORDER to Temporarily Stay Litigation filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on January 18, 2019. (wsn, COURT STAFF) (Filed on 1/18/2019)
	Request

45	Filed: 1/18/2019, Entered: 1/18/2019	Stipulation and Order
	STIPULATION AND ORDER re [42] STIPULATION AND [PROPOSED] ORDER re: Discovery of Electronically Stored Information filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on January 18, 2019. (wsn, COURT STAFF) (Filed on 1/18/2019)
	Request

44	Filed: 1/17/2019, Entered: 1/17/2019, Terminated: 1/18/2019	stipulation
	STIPULATION AND [PROPOSED] ORDER to Temporarily Stay Litigation filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 1/17/2019)
	Request

43	Filed: 1/17/2019, Entered: 1/17/2019	Declaration in Support
	Declaration of E. Barrett Atwood in Support of [42] STIPULATION AND [PROPOSED] ORDER re: Discovery of Electronically Stored Information filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit 1)(Related document(s)[42]) (Atwood, E.) (Filed on 1/17/2019)
	Request

42	Filed: 1/17/2019, Entered: 1/17/2019, Terminated: 1/18/2019	stipulation
	STIPULATION AND [PROPOSED] ORDER re: Discovery of Electronically Stored Information filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 1/17/2019)
	Request

41	Filed: 1/10/2019, Entered: 1/10/2019	Order on Stipulation
	ORDER by Magistrate Judge Donna M. Ryu granting [39] Stipulation to Continue: Settlement Conference continued to 6/14/2019 11:00 AM in Oakland, Courtroom 4, 3rd Floor. (ig, COURT STAFF) (Filed on 1/10/2019)
	Request

40	Filed: 1/10/2019, Entered: 1/10/2019	Clerks Notice
	AMENDED CLERK'S NOTICE: Notice is hereby given to all parties that Magistrate Judge Donna M. Ryu will convene a further pre-settlement conference call to discuss preparation for an in-person settlement conference. Judge Ryu anticipates that the phone call will last approximately 20-30 minutes. The further conference call shall take place on 2/21/2019 11:00 AM. Lead Counsel for all parties shall participate. Counsel shall use the same call-in credentials that they used on 1/7/2019. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 1/10/2019)


39	Filed: 1/10/2019, Entered: 1/10/2019, Terminated: 1/10/2019	stipulation
	STIPULATION AND [PROPOSED] ORDER TO CONTINUE SETTLEMENT CONFERENCE filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 1/10/2019)
	Request

38	Filed: 1/7/2019, Entered: 1/7/2019	Order Setting Settlement Conference.
	ORDER SETTING SETTLEMENT CONFERENCE: Settlement Conference set for 6/7/2019 11:00 AM before Magistrate Judge Donna M. Ryu in Oakland, Courtroom 4, 3rd Floor. Signed by Magistrate Judge Donna M. Ryu on 1/7/19. (ig, COURT STAFF) (Filed on 1/7/2019)
	Request

37	Filed: 1/7/2019, Entered: 1/7/2019	Clerks Notice
	CLERK'S NOTICE: Notice is hereby given to all parties that Magistrate Judge Donna M. Ryu will convene a further pre-settlement conference call to discuss preparation for an in-person settlement conference. Judge Ryu anticipates that the phone call will last approximately 20-30 minutes. The further conference call shall take place on 2/21/2019 10:00 AM. Lead Counsel for all parties shall participate. Counsel shall use the same call-in credentials that they used on 1/7/2019. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 1/7/2019)


36	Filed: 1/7/2019, Entered: 1/7/2019	terminate hearings
	Minute Entry for proceedings held before Magistrate Judge Donna M. Ryu: Planning call held on 1/7/2019 in advance of 6/7/2019 settlement conference. Judge Ryu will host a further planning call on 2/21/2019 to assess whether it is feasible to convene an earlier settlement conference. (Please use the same call-in credentials that you used today). FTR Time: Not Recorded. Attachment: Civil Conference Minute Order. (ig, COURT STAFF) (Date Filed: 1/7/2019)
	Request

35	Filed: 12/18/2018, Entered: 12/18/2018	Stipulation and Order
	STIPULATED PROTECTIVE ORDER re [34] STIPULATION WITH [PROPOSED] ORDER filed by Rothenberg Ventures LLC, Michael B. Rothenberg. Signed by Judge Jon S. Tigar on December 18, 2018. (wsn, COURT STAFF) (Filed on 12/18/2018)
	Request

34	Filed: 12/14/2018, Entered: 12/14/2018, Terminated: 12/18/2018	stipulation
	STIPULATION WITH [PROPOSED] ORDER re Stipulated Protective Order filed by Michael B. Rothenberg, Rothenberg Ventures LLC. (Attachments: # (1) Exhibit B in Support, # (2) Declaration of Marc J. Fagel in Support of Stipulated Protective Order, # (3) Exhibit 1 in Support of Fagel Declaration)(Fagel, Marc) (Filed on 12/14/2018)
	Request

33	Filed: 12/4/2018, Entered: 12/4/2018	Clerks Notice
	CLERK'S NOTICE: Notice is hereby given to all parties that Magistrate Judge Donna M. Ryu will convene a pre-settlement conference call to discuss timing and preparation for an in-person settlement conference. Judge Ryu anticipates that the phone call will last approximately 20-30 minutes. The conference call shall take place on 1/7/19 11:30 AM. Lead Counsel for all parties shall participate. Counsel will receive the call-in information via e-mail from Judge Ryu's courtroom deputy. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 12/4/2018)


32	Filed: 12/3/2018, Entered: 12/3/2018	Notice - Other
	NOTICE filed by Securities and Exchange Commission of Notice of Withdrawal of Counsel (Atwood, E.) (Filed on 12/3/2018)
	Request

31	Filed: 11/28/2018, Entered: 11/28/2018	Order Referring Case to Magistrate Judge for Settlement
	ORDER OF REFERENCE TO MAGISTRATE JUDGE FOR SETTLEMENT. Signed by Judge Jon S. Tigar on November 28, 2018. (wsn, COURT STAFF) (Filed on 11/28/2018)
	Request

30	Filed: 11/28/2018, Entered: 11/28/2018	Order
	SCHEDULING ORDER. Deadline to add parties or amend the pleadings 12/7/2018. Fact discovery cut-off 4/1/2019. Expert disclosures 4/23/2019. Expert discovery cut-off 6/3/2019. SEC motion to determine amounts of disgorgement and civil monetary penalties due 7/1/2019. Responses due by 7/22/2019. Replies due by 8/1/2019 by 2:00 PM. Motion Hearing set for 8/29/2019 at 2:00 PM in San Francisco, Courtroom 9, 19th Floor before Judge Jon S. Tigar. Signed by Judge Jon S. Tigar on November 28, 2018. (wsn, COURT STAFF) (Filed on 11/28/2018)
	Request

29	Filed: 11/28/2018, Entered: 11/28/2018	Case Management Conference - Initial
	Minute Entry for proceedings held before Judge Jon S. Tigar: Initial Case Management Conference held on 11/28/2018. Total Time in Court: 4 minutes. Court Reporter: Not reported. (wsn, COURT STAFF) (Date Filed: 11/28/2018)
	Request

	Filed: None, Entered: None	Case Referred to Magistrate Judge for Settlement
	CASE REFERRED to Magistrate Judge Donna M. Ryu for Settlement (ahm, COURT STAFF) (Filed on 11/28/2018)


28	Filed: 11/15/2018, Entered: 11/15/2018	Stipulation and Order
	STIPULATION AND ORDER re [27] STIPULATION and Proposed Order selecting Early Settlement Conference with a Magistrate Judge by Securities and Exchange Commission filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on November 15, 2018. (wsn, COURT STAFF) (Filed on 11/15/2018)
	Request

27	Filed: 11/14/2018, Entered: 11/14/2018, Terminated: 11/15/2018	Stipulation and Proposed Order selecting Early Settlement Conference with a Magistrate Judge
	STIPULATION and Proposed Order selecting Early Settlement Conference with a Magistrate Judge by Securities and Exchange Commission filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 11/14/2018)
	Request

26	Filed: 11/14/2018, Entered: 11/14/2018	Case Management Statement
	CASE MANAGEMENT STATEMENT & [Proposed] Order filed by Securities and Exchange Commission. (Atwood, E.) (Filed on 11/14/2018)
	Request

25	Filed: 11/7/2018, Entered: 11/7/2018	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options as to Defendant Rothenberg Ventures LLC (Fagel, Marc) (Filed on 11/7/2018)
	Request

24	Filed: 11/7/2018, Entered: 11/7/2018	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options as to Defendant Michael B. Rothenberg (Fagel, Marc) (Filed on 11/7/2018)
	Request

23	Filed: 11/7/2018, Entered: 11/7/2018	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
	ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options (Atwood, E.) (Filed on 11/7/2018)
	Request

22	Filed: 10/26/2018, Entered: 10/26/2018	Certificate of Interested Entities
	Corporate Disclosure Statement filed by Michael B. Rothenberg, Rothenberg Ventures LLC identifying Other Affiliate Rothenberg Ventures 2014 Fund, LLC, Other Affiliate Rothenberg Ventures 2013 Fund, LLC, Other Affiliate Rothenberg Ventures 2015 Fund, LLC, Other Affiliate Rothenberg Ventures 2016 Fund, LP, Other Affiliate potentially certain co-investment funds also under the management of Defendant, Rothenberg Ventures LLC for Michael B. Rothenberg, Rothenberg Ventures LLC. - Defendants Michael B. Rothenberg & Rothenberg Ventures LLC's Certification of Interested Entities & Corporate Disclosure Statement (Fagel, Marc) (Filed on 10/26/2018)
	Request

21	Filed: 10/24/2018, Entered: 10/24/2018	Clerks Notice
	CLERK'S NOTICE CONTINUING CASE MANAGEMENT CONFERENCE. Due to a change in the Court's availability, the Initial Case Management Conference set for 11/21/2018 is continued to 11/28/2018 at 2:00 PM in San Francisco, Courtroom 9, 19th Floor. A Joint Case Management Statement is due 11/19/2018. (This is a text-only entry generated by the court. There is no document associated with this entry.) (wsn, COURT STAFF) (Filed on 10/24/2018)


20	Filed: 10/17/2018, Entered: 10/17/2018	judgment
	JUDGMENT AS TO DEFENDANT ROTHENBERG VENTURES LLC. Signed by Judge Jon S. Tigar on October 17, 2018. (wsn, COURT STAFF) (Filed on 10/17/2018)
	Request

19	Filed: 10/17/2018, Entered: 10/17/2018	judgment
	JUDGMENT AS TO DEFENDANT MICHAEL B. ROTHENBERG. Signed by Judge Jon S. Tigar on October 17, 2018. (wsn, COURT STAFF) (Filed on 10/17/2018)
	Request

18	Filed: 10/16/2018, Entered: 10/16/2018	order on motion for settlement
	ORDER GRANTING MOTION FOR APPROVAL OF CONSENT JUDGMENTS by Judge Jon S. Tigar; granting [16] Joint MOTION for Approval of Proposed Settlements. (wsn, COURT STAFF) (Filed on 10/16/2018)
	Request

17	Filed: 10/16/2018, Entered: 10/16/2018	Order
	ORDER VACATING HEARING re [16] Joint MOTION for Approval of Proposed Settlements filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on October 16, 2018. (wsn, COURT STAFF) (Filed on 10/16/2018)
	Request

16	Filed: 9/6/2018, Entered: 9/6/2018, Terminated: 10/16/2018	motion for settlement
	Joint MOTION for Approval of Proposed Settlements filed by Securities and Exchange Commission. Responses due by 9/20/2018. Replies due by 9/27/2018. (Hefty, Andrew) (Filed on 9/6/2018)
	Request

	Filed: None, Entered: None	Set Motion and Deadlines/Hearings
	Set/Reset Deadlines as to [16] Joint MOTION for Settlement (Approval of Proposed Settlements). Responses due by 9/20/2018. Replies due by 9/27/2018. Motion Hearing set for 10/25/2018 at 2:00 PM in San Francisco, Courtroom 9, 19th Floor before Judge Jon S. Tigar. (wsn, COURT STAFF) (Filed on 9/6/2018)


15	Filed: 9/5/2018, Entered: 9/5/2018	Stipulation and Order
	STIPULATION AND ORDER re [10] STIPULATION AND [PROPOSED] ORDER Permitting Limited Expedited Discovery filed by Securities and Exchange Commission. Signed by Judge Jon S. Tigar on September 5, 2018. (wsn, COURT STAFF) (Filed on 9/5/2018)
	Request

14	Filed: 9/5/2018, Entered: 9/5/2018	Telephone Conference
	Minute Entry for proceedings held before Judge Jon S. Tigar: Telephone Conference held on 9/5/2018. FTR Time: 2:02 - 2:06 PM. (wsn, COURT STAFF) (Date Filed: 9/5/2018)
	Request

13	Filed: 9/4/2018, Entered: 9/4/2018	Notice of Appearance
	NOTICE of Appearance by Elizabeth A. Dooley - Notice of Appearance of Counsel for Defendants Michael B. Rothenberg, et al. (Dooley, Elizabeth) (Filed on 9/4/2018)
	Request

12	Filed: 9/4/2018, Entered: 9/4/2018	Joint Case Management Statement
	JOINT CASE MANAGEMENT CONFERENCE STATEMENT filed by Securities and Exchange Commission. (Hefty, Andrew) (Filed on 9/4/2018)
	Request

Save 25% on a pre-paid one year subscription.

11	Filed: 8/31/2018, Entered: 8/31/2018	Order
	ORDER RE: PROPOSED CONSENT JUDGMENTS AND LIMITED EXPEDITED DISCOVERY re [5] Notice of Acceptance with Offer of Judgment, filed by Securities and Exchange Commission, [10] STIPULATION WITH PROPOSED ORDER Permitting Limited Expedited Discovery filed by Securities and Exchange Commission, [6] Notice of Acceptance with Offer of Judgment, filed by Securities and Exchange Commission. Case Management Statement due by 9/4/2018. Telephone Conference set for 9/5/2018 at 2:00 PM before Judge Jon S. Tigar. Signed by Judge Jon S. Tigar on August 31, 2018. (wsn, COURT STAFF) (Filed on 8/31/2018)
	Request

10	Filed: 8/27/2018, Entered: 8/27/2018, Terminated: 9/5/2018	stipulation
	STIPULATION AND [PROPOSED] ORDER Permitting Limited Expedited Discovery filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of E. Barrett Atwood)(Atwood, E.) (Filed on 8/27/2018)
	Request

9	Filed: 8/27/2018, Entered: 8/27/2018	Notice of Appearance
	NOTICE of Appearance by Marc J. Fagel - Notice of Appearance of Counsel for Defendants Michael B. Rothenberg, et al. (Fagel, Marc) (Filed on 8/27/2018)
	Request

8	Filed: 8/21/2018, Entered: 8/21/2018	Summons issued
	Summons Issued as to Defendants Michael B. Rothenberg & Rothenberg Ventures LLC. (tnS, COURT STAFF) (Filed on 8/21/2018)
	Request

7	Filed: 8/21/2018, Entered: 8/21/2018	Initial Case Management Scheduling Order with ADR Deadlines
	Initial Case Management Scheduling Order with ADR Deadlines: This case is assigned to a judge who participates in the Cameras in the Courtroom Pilot Project. See General Order 65 and http://cand.uscourts.gov/cameras. Joint Case Management Statement due by 11/14/2018. Initial Case Management Conference set for 11/21/2018 at 2:00 PM in San Francisco, Courtroom 09, 19th Floor. (Attachments: #(1) Standing Order for All Civil Cases Before District Judge Jon S. Tigar, #(2) Standing Order for All Judges, #(3) Notice of Eligibility for Video Recording) (tnS, COURT STAFF) (Filed on 8/21/2018)
	Request

6	Filed: 8/20/2018, Entered: 8/20/2018	Notice of Acceptance with Offer of Judgment
	NOTICE of Acceptance with Offer of Judgment filed by Securities and Exchange Commission s to Defendant Rothenberg Ventures LLC - Consent by Rothenberg Ventures LLC to Judgment (Attachments: #(1) [Proposed] Judgment)(Brooks, Eric) (Filed on 8/20/2018)
	Request

5	Filed: 8/20/2018, Entered: 8/20/2018	Notice of Acceptance with Offer of Judgment
	NOTICE of Acceptance with Offer of Judgment filed by Securities and Exchange Commission as to Defendant Michael B. Rothenberg - Consent by Michael B. Rothenberg to Judgment (Attachments: #(1) [Proposed] Judgment)(Brooks, Eric) (Filed on 8/20/2018)
	Request

4	Filed: 8/20/2018, Entered: 8/20/2018	Case Assigned by Intake
	Case assigned to Judge Jon S. Tigar. Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E-Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening.Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. Counsel is required to send chambers a copy of the initiating documents pursuant to L.R. 5-1(e)(7). A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (as, COURT STAFF) (Filed on 8/20/2018)


3	Filed: 8/20/2018, Entered: 8/20/2018	Proposed Summons
	Proposed Summons. (Brooks, Eric) (Filed on 8/20/2018)
	Request

2	Filed: 8/20/2018, Entered: 8/20/2018	Consent/Declination to Proceed Before a US Magistrate Judge
	CONSENT/DECLINATION to Proceed Before a United States Magistrate Judge filed by Securities and Exchange Commission. (Brooks, Eric) (Filed on 8/20/2018)
	Request

1	Filed: 8/20/2018, Entered: 8/20/2018	Complaint
	COMPLAINT against Michael B. Rothenberg & Rothenberg Ventures LLC, (Filing Fee: Waived/United States Government). Filed by Securities and Exchange Commission. (Attachments: #(1) Civil Cover Sheet)(Brooks, Eric) (Filed on 8/20/2018) Modified on 8/21/2018 (tnS, COURT STAFF).

AI text generation	None
AI document summarization	None
AI-augmented search	None
AI-generated images	None
AI chat or Q&A interface	Linkable via MCP
Third party AI contribution in government documents	Possible