Name: Securities and Exchange Commission v. Afriyie et al :: New York Southern District Court :: Federal Civil Lawsuit No. 1:16-cv-02777, Judge Jed S. Rakoff presiding
Creator: New York Southern District Court
Published: 2016-04-13
License: https://creativecommons.org/publicdomain/mark/1.0/
Keywords: court documents, legal case, docket, PACER, New York Southern District Court

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	Filed: 2/7/2020, Entered: 2/7/2020
	Transmission of USCA Mandate to the District Judge re: 87 USCA Mandate,..(nd)


87	Filed: 2/7/2020, Entered: 2/7/2020
	MANDATE of USCA (Certified Copy) as to 86 Notice of Appeal filed by B6EA479 USCA Case Number 19-0017-cv. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 02/07/2020..(nd)
	Request

	Filed: 1/2/2019, Entered: 1/2/2019
	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 86 Notice of Appeal filed by B6EA479 were transmitted to the U.S. Court of Appeals. (nd)


	Filed: 1/2/2019, Entered: 1/2/2019
	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 86 Notice of Appeal. (nd)


86	Filed: 12/27/2018, Entered: 1/2/2019
	NOTICE OF APPEAL from 83 Memorandum Order, 84 Clerk's Judgment,. Document filed by B6EA479. Filing fee $ 505.00, receipt number 465401225465. Form D-P is due within 14 days to the Court of Appeals, Second Circuit. (nd)
	Request

85	Filed: 11/28/2018, Entered: 11/29/2018
	LETTER addressed to Judge Jed S. Rakoff from John-Lawrence Afriye, dated 11/16/18 re: Plaintiff informs the Court that, due to his incarceration, he is unable to attend the Court's scheduled status conference on 12/3/18; and if the Court approves, he can obtain the necessary dial-in information from the Clerk's Office and make the arrangements to attend via teleconference. Document filed by B6EA479.(sc)
	Request

84	Filed: 11/27/2018, Entered: 11/27/2018
	CLERK'S JUDGMENT re: 83 Order on Motion for Summary Judgment. in favor of Securities and Exchange Commission against B6EA479 in the amount of $ 1,670,483.98, and $1,576,445.98. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Memorandum Order dated November 26, 2018, defendant's motion to dismiss is denied and plaintiff's motion for summary judgment is granted; Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, by using any means or instrumentally of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (i) to employ any device, scheme, or artifice to defraud; (ii) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in light if the circumstances under which they were made, not misleading; or (iii) to engage in any act, practice, or course of business that operates or would operate as a fraud or deceit upon any person; Defendant is ordered to disgorge his profits, with prejudgment interest, in the amount of $1,670,483.98, but this order shall be deemed satisfied if the corresponding criminal case orders are satisfied; Finally, defendant is ordered to pay a civil penalty of $1,576,445.98; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 11/27/2018) (Attachments: # 1 Notice of Right to Appeal)(dt)
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83	Filed: 11/26/2018, Entered: 11/26/2018
	MEMORANDUM ORDER granting 61 Motion for Summary Judgment. For the foregoing reasons, defendant's motion to dismiss is denied and plaintiff's motion for summary judgment is granted, and as further set forth in this Order. The Clerk of Court is directed to terminate all open docket entries and enter judgment closing the case. SO ORDERED. (Signed by Judge Jed S. Rakoff on 11/26/2018) (jca) Transmission to Orders and Judgments Clerk for processing. Modified on 11/26/2018 (jca).
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82	Filed: 11/19/2018, Entered: 11/19/2018
	ORDER re: 81 Letter, filed by B6EA479: The Court has received a letter from defendant asking for reconsideration of the October 24, 2018 Order, Dkt. 78, denying defendant's request for an order compelling the SEC to provide the originals of certain specified documents. Defendant appears to have misunderstood the basic point of that order. Plaintiff seeks summary judgment in this case solely on the grounds of collateral estoppel based on defendant's prior criminal conviction. The documents that defendant alleges were tampered with therefore have relevance to the pending motions only if they are sufficient to reopen the underlying criminal case. That is not a matter before this Court. Accordingly, defendant's request is denied. (Signed by Judge Jed S. Rakoff on 11/15/2018) (jwh)
	Request

81	Filed: 11/9/2018, Entered: 11/13/2018
	LETTER addressed to Judge Jed S. Rakoff from John-Lawrence Afriye, dated 11/5/18 re: Plaintiff writes that this letter is a request for reconsideration of the Order issued by the Court on 10/24/18; and he requests that this Court compel MSD Capital L.P. to make this crucial evidence(as previously indicated) available for inspection or, alternatively, establish a discovery process to ascertain the veracity of the questioned documents. Document filed by B6EA479.(sc)
	Request

80	Filed: 11/6/2018, Entered: 11/6/2018
	CERTIFICATE OF SERVICE of Notice of Court Conference served on B6EA479 on November 6, 2018. Service was made by Mail. Document filed by Securities and Exchange Commission. (Newell, Walker)
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79	Filed: 11/6/2018, Entered: 11/6/2018
	NOTICE OF COURT CONFERENCE: Initial Conference set for 12/3/2018 at 11:00 AM in Courtroom 14B, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff, as further set forth in this order. (Signed by Judge Jed S. Rakoff on 11/6/2018) (jwh)
	Request

	Filed: 10/24/2018, Entered: 10/24/2018
	Mailed a copy of 78 Order, to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472.(vba)


78	Filed: 10/24/2018, Entered: 10/24/2018
	ORDER: The Court is in receipt of a letter from Defendant alleging that he has "a good faith basis to believe that key documents that were heavily relied upon in both [his] criminal and civil proceedings were tampered with[,]" and requesting that the Court "compel[] the SEC to provide the originals" of those documents. (Doc. No. 77.) However, Defendant does not explain why he believes that these documents were relied upon by Plaintiff in this case, nor does he allege that Plaintiff is actually in possession of the original copies of the documents. Indeed, Plaintiff seeks summary judgment in this case solely on the basis of Defendant's criminal conviction, and the Court has not set a discovery schedule. Accordingly, IT IS HEREBY ORDERED THAT Defendant's request is DENIED. If Defendant wishes to challenge the authenticity of documents relied upon by the government at his criminal trial, he must do so in his criminal case. The Clerk of Court is respectfully requested to mail a copy of this Order to Defendant. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/24/2018) (ne) Transmission to Docket Assistant Clerk for processing.
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	Filed: 10/24/2018, Entered: 10/24/2018
	NOTICE OF CASE REASSIGNMENT to Judge Jed S. Rakoff. Judge Richard J. Sullivan is no longer assigned to the case. (sjo)


77	Filed: 10/19/2018, Entered: 10/22/2018
	LETTER addressed to Judge Richard J. Sullivan from B6EA479, re: Defendant has a good faith basis to believe that key documents which were heavily relied upon in both his criminal and civil proceedings were tampered with; and that he seeks the Court's assistance in compelling the SEC to provide the originals from which the documents they provided were derived for inspection. Document filed by B6EA479.(sc)
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76	Filed: 10/4/2018, Entered: 10/4/2018
	SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: 61 MOTION for Summary Judgment . . Document filed by Securities and Exchange Commission. (Attachments: # 1 Certificate of Service)(Katz, Marc)
	Request

	Filed: 9/21/2018, Entered: 9/21/2018
	Mailed a copy of 75 Memo Endorsement, Set Deadlines, to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472. (vba)


75	Filed: 9/21/2018, Entered: 9/21/2018
	MEMO ENDORSEMENT on re: 73 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The Court is now in receipt of Defendant's opposition brief. (Doc. No. 74.) Although that brief is woefully late, the Court will nevertheless accept it given Defendant's pro se and incarcerated status. Accordingly, IT IS HEREBY ORDERED THAT Plaintiff shall submit a reply brief no later than October 5, 2018. The Clerk of Court is respectfully requested to mail a copy of this order to Defendant. SO ORDERED. (Replies due by 10/5/2018.) (Signed by Judge Richard J. Sullivan on 9/21/2018) (ne) Transmission to Docket Assistant Clerk for processing.
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74	Filed: 9/18/2018, Entered: 9/20/2018
	MEMORANDUM OF LAW in Opposition re: 61 MOTION for Summary Judgment .. Document filed by B6EA479. (kv)
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73	Filed: 9/11/2018, Entered: 9/11/2018
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated September 11, 2018 re: Email to Court from Courtney B6EA479 or 5F6EC1A. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

72	Filed: 9/4/2018, Entered: 9/4/2018
	CERTIFICATE OF SERVICE of Reply memo served on B6EA479 on 09/04/2018. Service was made by Mail. Document filed by Securities and Exchange Commission. (Katz, Marc)
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71	Filed: 9/4/2018, Entered: 9/4/2018
	REPLY MEMORANDUM OF LAW in Support re: 61 MOTION for Summary Judgment . . Document filed by Securities and Exchange Commission. (Katz, Marc)
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	Filed: 7/26/2018, Entered: 7/26/2018
	Mailed a copy of 70 Memo Endorsement, Set Motion and R&R Deadlines/Hearings to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472. (rro)


	Filed: 7/26/2018, Entered: 7/26/2018
	Transmission to Docket Assistant Clerk. Transmitted re: 70 Memo Endorsement, Set Motion and R&R Deadlines/Hearings to the Docket Assistant Clerk for case processing. (ne)


70	Filed: 7/26/2018, Entered: 7/26/2018
	MEMO ENDORSEMENT on re: 69 Letter, filed by B6EA479. ENDORSEMENT: IT IS HEREBY ORDERED THAT Defendant's time to file his opposition to Plaintiff's motion for summary judgment is extended to August 20, 2018. IT IS FURTHER ORDERED THAT Plaintiff's time to file its reply is extended to September 4, 2018. The Clerk of Court is respectfully requested to mail a copy of this order to Defendant. SO ORDERED. Set Deadlines/Hearing as to 69 Letter, 61 MOTION for Summary Judgment. :(Responses due by 8/20/2018, Replies due by 9/4/2018.) (Signed by Judge Richard J. Sullivan on 7/26/2018) (ne)
	Request

69	Filed: 7/25/2018, Entered: 7/26/2018
	LETTER addressed to Judge Richard J. Sullivan from John-Lawrence Afriye, dated 7/18/18 re: Defendant John Lawrence-Afriye requests that the Court grant him an extension of thirty(30) days in which to fully respond to Plaintiff's Motion for Summary Judgment because he is now incarcerated in a satellite camp at USP Canaan, and it has taken him longer to receive materials including discovery etc. Document filed by B6EA479.(sc)
	Request

	Filed: 6/27/2018, Entered: 6/27/2018
	Mailed a copy of 68 Memo Endorsement, Set Motion and R&R Deadlines/Hearings to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472. (mhe)


	Filed: 6/26/2018, Entered: 6/27/2018
	Transmission to Docket Assistant Clerk. Transmitted re: 68 Memo Endorsement, Set Motion and R&R Deadlines/Hearings to the Docket Assistant Clerk for case processing. (rro)


68	Filed: 6/26/2018, Entered: 6/27/2018
	MEMO ENDORSEMENT on re: 67 Letter filed by Securities and Exchange Commission. ENDORSEMENT: IT IS HEREBY ORDERED THAT Defendant's time to file his opposition to Plaintiff's motion for summary judgement is extended to July 19, 2018. IT IS FURTHER ORDERED THAT Plaintiff's time to file its reply is extended to August 2, 2018. The Clerk of Court is respectfully requested to mail a copy of this order to Defendant. (Set Deadlines/Hearing as to 67 Letter, 61 MOTION for Summary Judgment. (Responses due by 7/19/2018, Replies due by 8/2/2018.) (Signed by Judge Richard J. Sullivan on 6/26/2018) (rro)
	Request

67	Filed: 6/26/2018, Entered: 6/26/2018
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated June 26, 2018 re: MSJ Service. Document filed by Securities and Exchange Commission.(Katz, Marc)
	Request

	Filed: 6/20/2018, Entered: 6/20/2018
	As per chambers instructions a copy of 59 Order, Set Deadlines was mailed to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472. (mhe)


66	Filed: 6/13/2018, Entered: 6/13/2018
	CERTIFICATE OF SERVICE of Motion for Summary Judgment and Supporting Documents including Notice to Pro Se Litigant served on B6EA479 on June 13, 2018. Service was made by MAIL. Document filed by Securities and Exchange Commission. (Katz, Marc)
	Request

65	Filed: 6/13/2018, Entered: 6/13/2018
	NOTICE of Notice of Pro Se Litigant re 61 Motion for Summary Judgment re: 61 MOTION for Summary Judgment .. Document filed by Securities and Exchange Commission. (Katz, Marc)
	Request

64	Filed: 6/13/2018, Entered: 6/13/2018
	DECLARATION of Walker Newell in Support re: 61 MOTION for Summary Judgment .. Document filed 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)(Newell, Walker)
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63	Filed: 6/13/2018, Entered: 6/13/2018
	RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Katz, Marc)
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62	Filed: 6/13/2018, Entered: 6/13/2018
	MEMORANDUM OF LAW in Support re: 61 MOTION for Summary Judgment . . Document filed by Securities and Exchange Commission. (Katz, Marc)
	Request

61	Filed: 6/13/2018, Entered: 6/13/2018
	MOTION for Summary Judgment . Document filed by Securities and Exchange Commission. Responses due by 7/12/2018(Katz, Marc)
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60	Filed: 6/6/2018, Entered: 6/6/2018
	MEMORANDUM OF LAW in Opposition re: 59 Order, Set Deadlines,,,,,,,, Opposition to Defendant's Motion to Dismiss. Document filed by Securities and Exchange Commission. (Katz, Marc)
	Request

59	Filed: 5/23/2018, Entered: 5/23/2018
	ORDER: The Court is in receipt of the attached letter from Defendant, which purports to be a "response to plaintiff Securities and Exchange Commission's... complaint[,]" but appears to be a motion to dismiss the complaint. Accordingly, IT IS HEREBY ORDERED THAT the Court deems Defendant's letter to be a motion to dismiss. However, the Court notes that Defendant did not follow the proper procedure for filing a document with the Court, which requires that he submit any letters or motions to the Court's Pro Se office. Accordingly, IT IS FURTHER ORDERED THAT Defendant shall submit all future correspondence with the Court directly to the Pro Se office. IT IS FURTHER ORDERED THAT Plaintiff shall respond to Defendant's motion to dismiss by June 6, 20 18. IT IS FURTHER ORDERED THAT Plaintiff may reply to Defendant's opposition no later than June 15, 2018. IT IS FURTHER ORDERED THAT the briefing schedule previously set for Plaintiff's contemplated motion for summary judgment remains in force. (See Doc. No. 58.) (Responses due by 6/6/2018. Replies due by 6/15/2018.) (Signed by Judge Richard J. Sullivan on 5/22/2018) (ras)
	Request

	Filed: 3/19/2018, Entered: 3/19/2018
	Mailed a copy of 58 Memo Endorsement, Set Deadlines to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary Satellite Camp, P.O. Box 200, Waymart, PA 18472. (rro)


	Filed: 3/19/2018, Entered: 3/19/2018
	Transmission to Docket Assistant Clerk. Transmitted re: 58 Memo Endorsement to the Docket Assistant Clerk for case processing. (ras)


58	Filed: 3/19/2018, Entered: 3/19/2018
	MEMO ENDORSEMENT on re: 56 Endorsed Letter. ENDORSEMENT: IT IS HEREBY ORDERED THAT Defendant's time to answer the complaint is extended to May 14, 2018. IT IS FURTHER ORDERED THAT the parties shall brief Plaintiff's contemplated motion for summary judgment on the following revised schedule: (1) Plaintiff's motion and opening brief shall be filed by June 14, 2018; (2) Defendant's opposition shall be filed by July 12, 2018; and (3) Plaintiff's reply shall be filed by July 26, 2018. No further extensions will be granted. The Clerk of Court is respectfully directed to mail a copy of this order to Defendant B6EA479. (B6EA479 answer due 5/14/2018.) (Motions due by 6/14/2018. Responses due by 7/12/2018. Replies due by 7/26/2018.) (Signed by Judge Richard J. Sullivan on 3/19/2018) (ras) Modified on 3/19/2018 (ras).
	Request

57	Filed: 3/16/2018, Entered: 3/16/2018
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated March 16, 2018 re: March 15, 2018 Order. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

56	Filed: 3/15/2018, Entered: 3/15/2018
	ENDORSED LETTER addressed to Judge Richard J. Sullivan from John-Lawrence B6EA479 or 5F6EC1A dated [undated] re: an extension of 60 days to fully respond to Plaintiff's complaint. ENDORSEMENT: IT IS HEREBY ORDERED THAT the SEC shall respond to this letter no later than March 19, 2018.. (Signed by Judge Richard J. Sullivan on 3/15/2018) (jwh)
	Request

55	Filed: 2/28/2018, Entered: 2/28/2018
	NOTICE OF VOLUNTARY DISMISSAL OF RELIEF DEFENDANT 5F6EC1A: Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, plaintiff United States Securities and Exchange Commission hereby gives notice that the above captioned action is voluntarily dismissed without prejudice against relief defendant 5F6EC1A. (5F6EC1A terminated.) (Signed by Judge Richard J. Sullivan on 2/28/2018) (ras)
	Request

	Filed: 2/28/2018, Entered: 2/28/2018
	***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Walker Newell for noncompliance with Section 18.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 54 Notice of Voluntary Dismissal to: judgments@nysd.uscourts.gov. (km)


54	Filed: 2/27/2018, Entered: 2/27/2018
	FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) 5F6EC1A. Document filed by Securities and Exchange Commission. (Newell, Walker) Modified on 2/28/2018 (km).
	Request

53	Filed: 2/26/2018, Entered: 2/26/2018
	CERTIFICATE of Counsel by Walker Newell on behalf of Securities and Exchange Commission. Re: 52 Order Lifting Stay, Set Deadlines,,,,,,. (Newell, Walker)
	Request

52	Filed: 2/22/2018, Entered: 2/23/2018
	ORDER: After reviewing the parties' submissions and arguments IT IS HEREBY ORDERED THAT the stay in this matter is lifted. IT IS FURTHER ORDERED THAT Defendant shall answer Plaintiff's complaint no later than March 15, 2018. IT IS FURTHER ORDERED THAT the parties shall brief Plaintiff's contemplated motion for summary judgment on the following schedule: (1) Plaintiff's motion and opening brief shall be filed by April 16, 2018; (2) Defendant's opposition shall be filed by May 14, 2018; and (3) Plaintiff's reply shall be filed by May 21, 2018. B6EA479 answer due 3/15/2018. (Motions due by 4/16/2018. Responses due by 5/14/2018. Replies due by 5/21/2018.) (Signed by Judge Richard J. Sullivan on 2/22/2018) (ap) Modified on 2/26/2018 (ap).
	Request

51	Filed: 1/25/2018, Entered: 1/25/2018
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated January 25, 2018 re: January 11, 2018 Order. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

50	Filed: 1/11/2018, Entered: 1/11/2018
	MEMO ENDORSEMENT on re: 49 Letter, filed by B6EA479. ENDORSEMENT: Plaintiff shall respond to this letter no later than January 26, 2018. (Signed by Judge Richard J. Sullivan on 1/11/2018) (ras)
	Request

49	Filed: 1/10/2018, Entered: 1/11/2018
	LETTER addressed to Judge Richard J. Sullivan from John-Lawrence Afriye, re: Plaintiff writes that, for the reasons set forth(as indicated previously), the Court should continue the existing stay pending the outcome of his criminal appeal. Document filed by B6EA479.(sc)
	Request

	Filed: 12/6/2017, Entered: 12/6/2017
	Mailed a copy of 48 Memo Endorsement, to B6EA479, Register Number 77354-054, USP Canaan U.S. Penitentiary, Satellite Camp, P.O. Box 200, Waymart, PA 18472; 5F6EC1A, Quality Inn, 351 Franklin St., East Windsor, NJ 08520; Lawrencia Ariyie, P.O. Box 6246, Freehold, NJ 07728; 5F6EC1A, MediData Solutions, 350 Hudson St., 9th Floor, New York, NY 10014. (jgo)


	Filed: 12/6/2017, Entered: 12/6/2017
	Transmission to Docket Assistant Clerk. Transmitted re: 48 Memo Endorsement, to the Docket Assistant Clerk for case processing. (mro)


48	Filed: 12/5/2017, Entered: 12/6/2017
	MEMO ENDORSEMENT on re: 47 Letter filed by Securities and Exchange Commission. ENDORSEMENT: IT IS HEREBY ORDERED THAT, no later than January 5, 2017, Defendant B6EA479 shall file a letter of no more than three pages opposing Plaintiff's request to lift the stay. The Clerk of Court is respectfully directed to mail a copy of this order to Defendants John and 5F6EC1A at the four addresses listed on the following page. (Signed by Judge Richard J. Sullivan on 12/5/2017) (mro) Modified on 1/26/2018 (mro).
	Request

47	Filed: 12/5/2017, Entered: 12/5/2017
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated December 5, 2017 re: July 27, 2017 and October 6, 2017 Orders. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

46	Filed: 10/6/2017, Entered: 10/10/2017
	MEMO ENDORSEMENT on re: 45 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The request to continue the stay for sixty days is GRANTED. The parties shall submit a joint update to the Court no later than December 5, 2017. (Signed by Judge Richard J. Sullivan on 10/6/2017) (mro)
	Request

45	Filed: 10/6/2017, Entered: 10/6/2017
	LETTER addressed to Judge Richard J. Sullivan from Securities and Exchange Commission dated October 6, 2017 re: August 11, 2017 Order. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

44	Filed: 8/11/2017, Entered: 8/14/2017
	MEMO ENDORSED on re: 43 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The parties' joint request to continue the stay is Granted. The parties shall submit a joint letter updating the Court on the status of the case no later than October 9, 2017. So Ordered. (Signed by Judge Richard J. Sullivan on 8/11/2017) (js)
	Request

43	Filed: 8/11/2017, Entered: 8/11/2017
	LETTER addressed to Judge Richard J. Sullivan from SECURITIES AND EXCHANGE COMMISSION, B6EA479 dated 08/11/2017 re: July 27, 2017 Order. Document filed by Securities and Exchange Commission.(Newell, Walker)
	Request

42	Filed: 7/27/2017, Entered: 7/28/2017
	MEMO ENDORSEMENT on re: 41 Letter updating the Court on the status of the criminal case, filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: The parties shall submit a joint letter to the Court, no later than August 11, 2017, setting forth their views as to the impact that the conclusion of the related criminal case will have on the pending civil case. In particular, the letter should address all issues of mootness and claim preclusion. In addition, the joint letter should clearly indicate all remaining issues requiring resolution and include proposed dates for next steps. So Ordered. (Signed by Judge Richard J. Sullivan on 7/27/17) (yv)
	Request

41	Filed: 7/27/2017, Entered: 7/27/2017
	LETTER addressed to Judge Richard J. Sullivan from Edward Imperatore dated 7/27/2017 re: status of criminal case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

40	Filed: 6/10/2017, Entered: 6/12/2017
	MEMO ENDORSEMENT on re: 39 Letter filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: IT IS HEREBY ORDERED THAT: (1) the stay in this matter shall continue through August 1, 2017, and (2) the government shall submit a letter regarding the status of the criminal case before Judge Engelmayer no later than August 1, 2017. (Signed by Judge Richard J. Sullivan on 6/10/2017) (mro)
	Request

39	Filed: 6/10/2017, Entered: 6/10/2017
	LETTER addressed to Judge Richard J. Sullivan from Edward Imperatore dated 6/10/2017 re: status of criminal case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

38	Filed: 5/8/2017, Entered: 5/8/2017
	MEMO ENDORSEMENT on re: 37 Letter filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: IT IS HEREBY ORDERED THAT: (1) the stay in this matter shall continue until June 9, 2017, and (2) the government shall submit a letter regarding the status of the criminal matter before Judge Engelmayer no later than June 9, 2017, or within three days of Defendant's sentencing, and every thirty days thereafter. (Signed by Judge Richard J. Sullivan on 5/8/2017) (ras)
	Request

37	Filed: 5/8/2017, Entered: 5/8/2017
	LETTER addressed to Judge Richard J. Sullivan from Edward Imperatore dated 5/8/2017 re: status of criminal case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

36	Filed: 2/23/2017, Entered: 2/23/2017
	MEMO ENDORSEMENT on re: 35 Letter re: status of Criminal Case filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: IT IS HEREBY ORDERED that: (1) the stay in this matter shall continue until May 10, 2017, and (2) the government shall submit a letter regarding the status of the criminal matter before Judge Engelmayer no later than that date and every thirty days thereafter. (Signed by Judge Richard J. Sullivan on 2/23/2017) (cla)
	Request

35	Filed: 2/23/2017, Entered: 2/23/2017
	LETTER addressed to Judge Richard J. Sullivan from Edward Imperatore dated 2/23/2017 re: status of Criminal Case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

34	Filed: 12/22/2016, Entered: 12/22/2016
	MEMO ENDORSEMENT on re: 33 Letter re: status update, filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: IT IS HEREBY ORDERED that: (1) the stay in this matter shall continue until February 22, 2017, and (2) the government shall submit a letter regarding the criminal matter before Judge Engelmayer no later than that date. (Signed by Judge Richard J. Sullivan on 12/22/2016) (cla)
	Request

33	Filed: 12/22/2016, Entered: 12/22/2016
	LETTER addressed to Judge Richard J. Sullivan from Edward A. Imperatore dated 12/22/2016 re: status update. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

32	Filed: 10/23/2016, Entered: 10/24/2016
	MEMO ENDORSEMENT on re: 31 Letter filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: Pursuant to the Court's order, dated August 25, 2016 (Doc. No. 30), the government shall submit a letter no later than December 23, 2016, and every sixty days thereafter, apprising the Court of the status of the parallel criminal case. (Signed by Judge Richard J. Sullivan on 10/23/2016) (mro)
	Request

31	Filed: 10/23/2016, Entered: 10/23/2016
	LETTER addressed to Judge Richard J. Sullivan from Edward A. Imperatore dated 10/23/16 re: status of criminal case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

30	Filed: 8/25/2016, Entered: 8/26/2016
	MEMO ENDORSEMENT on re: 29 Letter filed by U.S. Attorney's Office for the Southern District of New York. ENDORSEMENT: IT IS HEREBY ORDERED that the government shall submit a letter, no later than October 24, 2016 and every 60 days thereafter, apprising the Court of the status of the parallel criminal case. (Signed by Judge Richard J. Sullivan on 8/25/2016) (cla)
	Request

29	Filed: 8/25/2016, Entered: 8/25/2016
	LETTER addressed to Judge Richard J. Sullivan from Edward A. Imperatore dated 8/25/2016 re: status of criminal case. Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

	Filed: 7/27/2016, Entered: 7/27/2016
	Mailed a copy of 28 Order on Motion to Stay, to B6EA479 311 Church Street Apt. #4 New York, NY 10013. (ca)


	Filed: 7/26/2016, Entered: 7/26/2016
	Transmission to Docket Assistant Clerk. Transmitted re: 28 Order on Motion to Stay to the Docket Assistant Clerk for case processing. (kko)


28	Filed: 7/26/2016, Entered: 7/26/2016
	ORDER granting 25 Motion to Stay. Accordingly, IT IS HEREBY ORDERED that the government's motion to intervene and to stay this matter is granted. IT IS FURTHER ORDERED that Defendants' deadline to submit the answer, previously July 25, 2016, is adjourned sine die. IT IS FURTHER ORDERED that on August 25, 2016, and every thirty days thereafter, the government shall submit a letter apprising the Court of the progress of the Criminal Matter. The Clerk is respectfully directed to terminate the motion pending at docket number 25 and to mail a copy of this order to Defendants. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 7/26/2016) (kko) Modified on 7/26/2016 (kko).
	Request

27	Filed: 7/20/2016, Entered: 7/20/2016
	RESPONSE to Motion re: 25 MOTION to Stay . . Document filed by Securities and Exchange Commission. (Newell, Walker)
	Request

26	Filed: 7/20/2016, Entered: 7/20/2016
	MEMORANDUM OF LAW in Support re: 25 MOTION to Stay . . Document filed by U.S. Attorney's Office for the Southern District of New York. (Imperatore, Edward)
	Request

25	Filed: 7/20/2016, Entered: 7/20/2016
	MOTION to Stay . Document filed by U.S. Attorney's Office for the Southern District of New York.(Imperatore, Edward)
	Request

24	Filed: 7/20/2016, Entered: 7/20/2016
	NOTICE OF APPEARANCE by Edward Arthur Imperatore on behalf of U.S. Attorney's Office for the Southern District of New York. (Imperatore, Edward)
	Request

23	Filed: 5/31/2016, Entered: 5/31/2016
	LETTER addressed to Judge Richard J. Sullivan from Andrew J. Levander dated May 31, 2016 Document filed by 5F6EC1A.(Levander, Andrew)
	Request

22	Filed: 5/24/2016, Entered: 5/25/2016
	ORDER granting 21 Letter Motion for Extension of Time to Answer. IT IS HEREBY ORDERED that Defendants shall answer, move, or otherwise respond no later than July 25, 2016. B6EA479 answer due 7/25/2016; 5F6EC1A answer due 7/25/2016. (Signed by Judge Richard J. Sullivan on 5/24/2016(as per Chambers)) (mro) Modified on 5/25/2016 (mro).
	Request

21	Filed: 5/24/2016, Entered: 5/24/2016
	LETTER MOTION for Extension of Time to File Answer re: 1 Complaint addressed to Judge Richard J. Sullivan from Andrew J. Levander dated May 24, 2016. Document filed by 5F6EC1A.(Levander, Andrew)
	Request

	Filed: 5/5/2016, Entered: 5/5/2016
	Set/Reset Deadlines: B6EA479 answer due 5/25/2016. (cf)


20	Filed: 5/5/2016, Entered: 5/5/2016
	ORDER granting 19 Letter Motion for Extension of Time. IT IS HEREBY ORDERED that Defendants' deadline to answer, move, or otherwise respond to the complaint is hereby adjourned to May 25, 2016. (Signed by Judge Richard J. Sullivan on 5/4/2016) (cf)
	Request

19	Filed: 5/4/2016, Entered: 5/4/2016
	LETTER MOTION for Extension of Time addressed to Judge Richard J. Sullivan from Amy Gallicchio dated 5/4/16. Document filed by B6EA479.(Gallicchio, Amy)
	Request

	Filed: 5/2/2016, Entered: 5/2/2016
	***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Jina Lee Choi. The party information for the following party/parties has been modified: Securities and Exchange Commisison. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error;. (dgo)


18	Filed: 4/29/2016, Entered: 4/29/2016
	CERTIFICATE OF SERVICE of Summons and Complaint. 5F6EC1A served on 4/18/2016, answer due 5/9/2016. Service was accepted by Shay Bascomb. Service was made by Mail. Document filed by Securities and Exchange Commisison. (Newell, Walker)
	Request

17	Filed: 4/29/2016, Entered: 4/29/2016
	CERTIFICATE OF SERVICE of Summons and Complaint. B6EA479 served on 4/15/2016, answer due 5/6/2016. Service was accepted by B6EA479, Defendant. Document filed by Securities and Exchange Commisison. (Newell, Walker)
	Request

16	Filed: 4/18/2016, Entered: 4/18/2016
	NOTICE OF APPEARANCE by Marc Katz on behalf of Securities and Exchange Commisison. (Katz, Marc)
	Request

15	Filed: 4/18/2016, Entered: 4/18/2016
	NOTICE OF APPEARANCE by Walker Newell on behalf of Securities and Exchange Commisison. (Newell, Walker)
	Request

14	Filed: 4/18/2016, Entered: 4/18/2016
	NOTICE OF APPEARANCE by Jina Lee Choi on behalf of Securities and Exchange Commisison. (Choi, Jina)
	Request

13	Filed: 4/18/2016, Entered: 4/18/2016
	MEMO ENDORSEMENT granting 12 Motion for Marc Katz to Appear Pro Hac Vice. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 4/15/2016) (mro)
	Request

	Filed: 4/15/2016, Entered: 4/15/2016
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 12 MOTION for Marc Katz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)


12	Filed: 4/15/2016, Entered: 4/15/2016
	MOTION for Marc Katz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Marc, Katz)
	Request

11	Filed: 4/15/2016, Entered: 4/15/2016
	MEMO ENDORSEMENT granting 9 Motion for Elena Ro to Appear Pro Hac Vice. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 4/15/2016) (mro)
	Request

10	Filed: 4/15/2016, Entered: 4/15/2016
	MEMO ENDORSEMENT granting 8 Motion for Walker Newell to Appear Pro Hac Vice. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 4/15/2016) (mro)
	Request

	Filed: 4/15/2016, Entered: 4/15/2016
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 9 MOTION for Elena Ro to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)


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9	Filed: 4/14/2016, Entered: 4/14/2016
	MOTION for Elena Ro to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Ro, Elena)
	Request

	Filed: 4/14/2016, Entered: 4/14/2016
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 8 AMENDED MOTION to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)


8	Filed: 4/14/2016, Entered: 4/14/2016
	AMENDED MOTION to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Newell, Walker)
	Request

	Filed: 4/14/2016, Entered: 4/14/2016
	Case Designated ECF. (rch)


	Filed: 4/14/2016, Entered: 4/14/2016
	Magistrate Judge Kevin Nathaniel Fox is so designated. (rch)


	Filed: 4/14/2016, Entered: 4/14/2016
	CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Richard J. Sullivan. Please download and review the Individual Practices of the assigned District Judge, located at http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at http://nysd.uscourts.gov/ecf_filing.php. (rch)


7	Filed: 4/14/2016, Entered: 4/14/2016
	ELECTRONIC SUMMONS ISSUED as to 5F6EC1A. (rch)
	Request

6	Filed: 4/14/2016, Entered: 4/14/2016
	ELECTRONIC SUMMONS ISSUED as to B6EA479. (rch)
	Request

	Filed: 4/14/2016, Entered: 4/14/2016
	***NOTICE TO ATTORNEY REGARDING CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Jina Lee Choi. The following case opening statistical information was erroneously selected/entered: County code New York; Fee Status code wv (waived). The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State; the Fee Status code has been modified to none (no fee required). (rch)


	Filed: 4/14/2016, Entered: 4/14/2016
	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 5 MOTION for Walker Newell to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu)


5	Filed: 4/14/2016, Entered: 4/14/2016
	FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Walker Newell to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Newell, Walker) Modified on 4/14/2016 (bcu).
	Request

4	Filed: 4/13/2016, Entered: 4/13/2016
	REQUEST FOR ISSUANCE OF SUMMONS as to 5F6EC1A, re: 1 Complaint. Document filed by Securities and Exchange Commisison. (Choi, Jina)
	Request

3	Filed: 4/13/2016, Entered: 4/13/2016
	REQUEST FOR ISSUANCE OF SUMMONS as to B6EA479, re: 1 Complaint. Document filed by Securities and Exchange Commisison. (Choi, Jina)
	Request

2	Filed: 4/13/2016, Entered: 4/13/2016
	CIVIL COVER SHEET filed. (Choi, Jina)
	Request

1	Filed: 4/13/2016, Entered: 4/13/2016
	COMPLAINT against B6EA479Document filed by Securities and Exchange Commisison.(Choi, Jina)
	Request

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