District Appellate Supreme
Federal
New Jersey District Court Court of Appeals for the Third Circuit United States Supreme Court

GENTILE v. SECURITIES AND EXCHANGE COMMISSION
Federal Civil Lawsuit New Jersey District Court, Case No. 2:19-cv-05155-JLL-JAD
District Judge Jose L. Linares, presiding

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Last Updated March 22, 2021 at 5:22 PM DT (3 months ago) Request Update Request UpdateSpaceE-Mail Alert Get E-Mail Alerts

No Logo Gentile, Guy, Plaintiff
Officially listed as "GUY GENTILE"

Toggle Switch Represented by FORD O'BRIEN LLP

Name Phone Fax E-Mail
Space ADAM C. FORD +1 212 858 0040 aford@fordobrien.com
v.
United States Securities and Exchange Commission United States Securities and Exchange Commission, Defendant
Officially listed as "SECURITIES AND EXCHANGE COMMISSION"

Toggle Switch Represented by United States Securities and Exchange Commission

Name Phone Fax E-Mail
Space Matthew S. Ferguson +1 202 551 3840 fergusonma@sec.gov
Office Newark
Filed 2/8/2019
Jury Demand Plaintiff
Demand
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
Cause Section 15 U.S.C. § 78m(a) Securities Exchange Act
Jurisdiction U.S. Government Defendant
Disposition Dismissed - Lack of Jurisdiction
County Essex
Terminated 5/14/2019
Origin 1
Reopened
Lead Case
None
Related Case
None
Other Court Case 19-2252[Third Circuit]
Defendant Custody Status
Flag CLOSED
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Legal Document (Payment Possibly Required) 25 Filed: 11/2/2020, Entered: 11/2/2020 USCA Mandate
MANDATE of USCA as to [22] Notice of Appeal (USCA), filed by GUY GENTILE (Finance notified) (Attachments: # (1) Clerk's letter to District Court, # (2) Opinion)(lr)
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    Blank  Mandate Notice
    Pursuant to Local Rule 79.4, notice is hereby given of the Appellate ruling filed on 11/2/2020. In the event that the mandate or judgment provides for costs or directs a disposition other than an affirmance, the prevailing party shall prepare and submit an order implementing the mandate or judgment. (qa, )
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      Legal Document (Payment Possibly Required) 24 Filed: 9/10/2020, Entered: 9/10/2020 USCA Judgment (Use if Mandate will follow)
      USCA JUDGMENT affirming Order/Judgment of the District Court as to [22] Notice of Appeal (USCA), filed by GUY GENTILE. (ca3cjg)
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        Legal Document (Payment Possibly Required) 23 Filed: 5/31/2019, Entered: 5/31/2019 USCA Case Number
        USCA Case Number 19-2252 for [22] Notice of Appeal (USCA), filed by GUY GENTILE. USCA Case Manager Caitlyn (CJG) (Document Restricted - Court Only). (ca3cjg)
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          Legal Document (Payment Possibly Required) 22 Filed: 5/30/2019, Entered: 5/30/2019, Terminated: 11/2/2020 Notice of Appeal (USCA)
          NOTICE OF APPEAL as to [20] OPINION, and [21] ORDER by GUY GENTILE. Filing fee $ 505, receipt number 0312-9704971. The Clerk's Office hereby certifies the record and the docket sheet available through ECF to be the certified list in lieu of the record and/or the certified copy of the docket entries. (FORD, ADAM) Modified on 5/31/2019 (dam, ).
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            Legal Document (Payment Possibly Required) 21 Filed: 5/14/2019, Entered: 5/14/2019 Order on Motion to DismissCourt Filing
            ORDER granting [11] SEC's Motion to Dismiss. Plaintiff's motion for a preliminary injunction is DENIED as moot. etc. *** CIVIL CASE TERMINATED *** Signed by Chief Judge Jose L. Linares on 5/14/2019. (dam, )
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              Legal Document (Payment Possibly Required) 20 Filed: 5/14/2019, Entered: 5/14/2019 OpinionCourt Filing
              OPINION. Signed by Chief Judge Jose L. Linares on 5/14/2019. (dam, )
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                Legal Document (Payment Possibly Required) 19 Filed: 4/24/2019, Entered: 4/24/2019 letter
                Letter from Matthew S. Ferguson re [18] Letter. (FERGUSON, MATTHEW)
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                  Legal Document (Payment Possibly Required) 18 Filed: 4/24/2019, Entered: 4/24/2019 letter
                  Letter from Adam C. Ford. (Attachments: # (1) Exhibit A)(FORD, ADAM)
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                    Blank 17 Filed: 4/17/2019, Entered: 4/17/2019 OrderCourt Filing
                    TEXT ORDER: Currently pending before the Court are Plaintiff Guy Gentile's motion for a preliminary injunction, (ECF No. 5), and Defendant Securities and Exchange Commission's motion to dismiss, (ECF No. 11). The Commission has opposed Plaintiff's motion, (ECF No. 11), and Plaintiff has opposed the Commission's motion, (ECF No. 16). The Court will render a decision on both motions based on the papers currently before the Court, and no additional reply briefs shall be filed. So Ordered by Chief Judge Jose L. Linares on 04/17/2019. (lr, )
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                      Legal Document (Payment Possibly Required) 16 Filed: 4/15/2019, Entered: 4/15/2019 Memorandum in Opposition of Motion
                      MEMORANDUM in Opposition filed by GUY GENTILE re [11] MOTION to Dismiss Plaintiff's Complaint (Attachments: # (1) Declaration Adam C. Ford, # (2) Exhibit 1, # (3) Exhibit 2, # (4) Exhibit 3, # (5) Exhibit 4, # (6) Exhibit 5, # (7) Exhibit 6, # (8) Exhibit 7)(FORD, ADAM)
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                        Legal Document (Payment Possibly Required) 15 Filed: 4/3/2019, Entered: 4/3/2019 Order on Motion for Extension of Time to File Response / ReplyCourt Filing
                        ORDER granting [13] Motion for Extension of Time to File Response/Reply. Signed by Chief Judge Jose L. Linares on 4/3/2019. (ys, )
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                          Legal Document (Payment Possibly Required) 14 Filed: 4/3/2019, Entered: 4/3/2019 Notice of Pro Hac Vice to Receive NEF
                          Notice of Request by Pro Hac Vice Robert S. Landy to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number 0312-9550055.) (FORD, ADAM)
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                            Blank  Notice of Pro Hac Vice counsel added
                            Pro Hac Vice counsel, ROBERT S. LANDY, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (th, )
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                              Blank  Set/Reset Motion and R and R Deadlines/Hearings
                              Set Deadlines as to [11] MOTION to Dismiss Plaintiff's Complaint. Motion set for 5/6/2019 before Chief Judge Jose L. Linares. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (th, )
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                                Legal Document (Payment Possibly Required) 13 Filed: 4/2/2019, Entered: 4/2/2019, Terminated: 4/3/2019 motion for extension of time to file response/reply
                                MOTION for Extension of Time to File Response/Reply as to [11] MOTION to Dismiss Plaintiff's Complaint by GUY GENTILE. (FORD, ADAM)
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                                  Legal Document (Payment Possibly Required) 12 Filed: 4/2/2019, Entered: 4/2/2019 Order on Motion for Leave to AppearCourt Filing
                                  ORDER granting [4] Motion for Leave to Appear Pro Hac Vice as to Robert S. Landy, etc. Signed by Magistrate Judge Joseph A. Dickson on 4/1/2019. (ys, )
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                                    Legal Document (Payment Possibly Required) 11 Filed: 3/29/2019, Entered: 3/29/2019, Terminated: 5/14/2019 Motion to Dismiss
                                    MOTION to Dismiss Plaintiff's Complaint by SECURITIES AND EXCHANGE COMMISSION. (Attachments: # (1) Brief Defendant Securities and Exchange Commissions Memorandum (1) in Opposition to Plaintiffs Motion for Preliminary Injunction and (2) in Support of its Motion to Dismiss Plaintiffs Complaint, # (2) Declaration of Matthew S. Ferguson in Support of the Securities and Exchange Commissions (1) Opposition to Plaintiffs Motion for Preliminary Injunction and (2) Its Motion to Dismiss Plaintiffs Complaint, # (3) Exhibit 1: 4/28/17 Plaintiff Securities and Exchange Commissions Initial Disclosures in SEC v. Gentile, Civil Case No. 16-1619 (D.N.J.), # (4) Exhibit 2: Docket in SEC v. Gentile, Civil Case No. 16-1619 (D.N.J.), # (5) Exhibit 3: 9/1/17 Subpoena to C. Marin, In the Matter of Traders Cafe, FL-03848, # (6) Exhibit 4: 9/18/18 Opinion & Order in SEC v. Gentile, Civil Case No. 16-1619 (D.N.J.), # (7) Exhibit 5: 12/26/18 Litigation Release No. 24380, # (8) Supplement)(FERGUSON, MATTHEW)
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                                      Legal Document (Payment Possibly Required) 10 Filed: 3/21/2019, Entered: 3/21/2019 OrderCourt Filing
                                      ORDER Granting the SEC's [9] LETTER/MOTION for Extension of Time to File Reply. Pltf's reply is due on Monday, April 8, 2019 re [7] Order on Motion for Order to Show Cause why this Court should not enter a preliminary injunction against the SEC in this matter. filed by SECURITIES AND EXCHANGE COMMISSION. Signed by Chief Judge Jose L. Linares on 3/21/19. (th, )
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                                        Legal Document (Payment Possibly Required) 9 Filed: 3/20/2019, Entered: 3/20/2019, Terminated: 3/20/2019 motion for extension of time to file response/reply
                                        MOTION for Extension of Time to File Response/Reply as to [7] Order on Motion for TRO,, Order on Motion for Order to Show Cause, by SECURITIES AND EXCHANGE COMMISSION. (FERGUSON, MATTHEW)
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                                          Legal Document (Payment Possibly Required) 8 Filed: 3/20/2019, Entered: 3/20/2019 Notice of appearance
                                          NOTICE of Appearance by MATTHEW SCOTT FERGUSON on behalf of SECURITIES AND EXCHANGE COMMISSION (FERGUSON, MATTHEW)
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                                            Legal Document (Payment Possibly Required) 7 Filed: 3/8/2019, Entered: 3/8/2019 Order on Motion for TROCourt Filing
                                            ORDER denying [5] Motion for TRO; granting [5] Motion for Order to Show Cause why this Court should not enter a preliminary injunction against the SEC in this matter. The SECs opposition to Plaintiffs arguments in favor of a preliminary injunction, (ECF No. 5), is due on Friday, March 22, 2019. Plaintiffs reply to the SECs opposition is due on Monday, April 1, 2019, etc.. Signed by Chief Judge Jose L. Linares on 3/8/2019. (ys, )
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                                              Legal Document (Payment Possibly Required) 6 Filed: 3/8/2019, Entered: 3/8/2019 OpinionCourt Filing
                                              OPINION. Signed by Chief Judge Jose L. Linares on 3/8/2019. (ys, )
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                                                Legal Document (Payment Possibly Required) 5 Filed: 3/5/2019, Entered: 3/5/2019, Terminated: 3/8/2019 Motion for TROCourt Filing
                                                MOTION for Temporary Restraining Order , MOTION for Order to Show Cause for a Preliminary Injunction by GUY GENTILE. (Attachments: # (1) Declaration Guy Gentile Declaration, # (2) Declaration Adam Ford Declaration, # (3) Exhibit Exh. 1 copy of the Traders Cafe Formal Order, # (4) Exhibit Exh. 2 copy of a letter and subpoena from the SEC to Tipalti, Inc., # (5) Exhibit Exh. 3 copy of the SECs Application for an Order to Show Cause, # (6) Exhibit Exh. 4 copy of the SECs Application for an Order to Show Cause, # (7) Exhibit Exh. 5 copy of the SECs Notice of Pending Case, # (8) Exhibit Exh. 6 copy of a letter dated August 17, 2015 from the SEC Miami Regional Office to Guy Gentile, # (9) Exhibit Exh. 7 copy of the United States Department of Justices Indictment of Mr. Guy Gentile, # (10) Exhibit Exh. 8 copy of the original complaint dated March 23, 2016 in SEC v. Guy Gentile, # (11) Exhibit Exh. 9 copy of an Order of the United States District Court of the District of New Jersey dated May 13, 2016, # (12) Exhibit Exh. 10 copy of an order of the United States District Court of the District of New Jersey of May 12, 2017, # (13) Exhibit Exh. 11 copy of a letter request from the SEC dated April 26, 2017, # (14) Exhibit Exh. 12 copy of a SEC press release dated November 18, 2014, # (15) Exhibit Exh. 13 copy of an SEC order instituting administrative proceedings, # (16) Exhibit Exh. 14 copy of an SEC order making findings and imposing remedial sanctions pursuant to Section 15(b), # (17) Exhibit Exh. 15 copy of a subpoena dated August 24, 2015 from the SEC to Key Bank, # (18) Exhibit Exh. 16 copy of the May 9, 2017 SEC letter to Hon. Joseph A. Dickson, United States Magistrate Judge, # (19) Exhibit Exh. 17 copy of a letter dated May 25, 2017 from the SEC to Hon. Joseph A. Dickson, # (20) Exhibit Exh. 18 screen shot of the pop-up on the SureTrader website, # (21) Exhibit Exh. 19 copy of a March 30, 2016 subpoena from the SEC to Guy Gentile, # (22) Exhibit Exh. 20 copy of excerpts of an email chain dated May 27, 2016, # (23) Exhibit Exh. 21 copy of an excerpt of an email chain of July 6, 2017, # (24) Exhibit Exh. 22 copy of a text order of May 13, 2016 by Hon. Joseph A. Dickson, United States Magistrate Judge, # (25) Exhibit Exh. 23 copy of a letter dated May 25, 2017 from Adam Ford to the United States District Court, # (26) Exhibit Exh. 24 copy of an Overseas Regulators Request for Assistance, # (27) Exhibit Exh. 25 copies of two termination letters from Citibank to Mr. Nicolas Abadiotakis, # (28) Exhibit Exh. 26 copy of a SEC Litigation Release No. 24415, # (29) Exhibit Exh. 27 correct excerpt of an email chain from the SEC to Carla Marin dated October 13, 2017, # (30) Exhibit Exh. 28 copy of the SEC amended complaint that was filed in the U.S. District Court for the District of New Jersey, # (31) Exhibit Exh. 29 copy of an SEC subpoena to Carla Marin dated November 15, 2017, # (32) Exhibit Exh. 30 copy of a SEC subpoena to Carla Marin dated December 6, 2017, # (33) Exhibit Exh. 31 copy of a letter from Tipalti to Guy Gentile at Swiss America Securities Ltd. dated August 10, 2015, # (34) Exhibit Exh. 32 copy of a subpoena dated August 24, 2015 from the SEC to Key Bank, # (35) Exhibit Exh. 33 copy of an email dated May 19, 2017 from Checkbook.io to Mr. Guy Gentile, # (36) Exhibit Exh. 34 correct copy of an account termination notification from Chase Bank to Mr. Guy Gentile dated December 7, 2016, # (37) Exhibit Exh. 35 correct copy of an account termination notification from Chase Bank to Mr. Guy Gentile dated December 7, 2016, # (38) Exhibit Exh. 36 copy of the Complaint, # (39) Exhibit Exh. 37 copy of an email from Adam Ford, # (40) Brief Memorandum of Law)(FORD, ADAM)
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                                                  Blank  Set/Reset Motion and R and R Deadlines/Hearings
                                                  Set/Reset Deadlines as to [4] MOTION for Leave to Appear Pro Hac Vice as to Robert S. Landy. Motion set for 4/1/2019 before Chief Judge Jose L. Linares. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (ld, )
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                                                    Legal Document (Payment Possibly Required) 4 Filed: 3/4/2019, Entered: 3/4/2019, Terminated: 4/2/2019 Motion for Leave to Appear Pro Hac Vice
                                                    MOTION for Leave to Appear Pro Hac Vice as to Robert S. Landy by GUY GENTILE. (FORD, ADAM)
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                                                      Legal Document (Payment Possibly Required) 3 Filed: 2/26/2019, Entered: 2/26/2019 Summons Returned Executed as to USA
                                                      SUMMONS Returned Executed by GUY GENTILE. SECURITIES AND EXCHANGE COMMISSION served on 2/15/2019, answer due 4/16/2019. (FORD, ADAM)
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                                                        Legal Document (Payment Possibly Required) 2 Filed: 2/11/2019, Entered: 2/11/2019 Summons issued
                                                        SUMMONS ISSUED as to SECURITIES AND EXCHANGE COMMISSION. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (jr)
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                                                          Blank  Case Assigned/Reassigned
                                                          Case assigned to Chief Judge Jose L. Linares and Magistrate Judge Joseph A. Dickson. (jr)
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                                                            Legal Document (Payment Possibly Required) 1 Filed: 2/8/2019, Entered: 2/8/2019 Complaint
                                                            COMPLAINT against SECURITIES AND EXCHANGE COMMISSION ( Filing and Admin fee $ 400 receipt number 0312-9400207) with JURY DEMAND, filed by GUY GENTILE. (Attachments: # (1) Summons, # (2) Civil Cover Sheet)(FORD, ADAM)
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