Securities and Exchange Commission v. Andrew L. Fassari
Federal Civil Lawsuit California Central District Court, Case No. 8:21-cv-00403-JVS-ADS
District Judge James V. Selna, presiding

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Last Updated March 15, 2021 at 6:37 PM DT (6.2 months ago) Request Update Request UpdateSpaceE-Mail Alert Get E-Mail Alerts

United States Securities and Exchange Commission United States Securities and Exchange Commission, Plaintiff
Officially listed as "Securities and Exchange Commission"

Toggle Switch Represented by United States Securities and Exchange Commission

Name Phone Fax E-Mail
Space Leslie J. Hughes +1 303 844 1086 +1 303 844 1068 hugheslj@sec.gov
Space Amy J Longo +1 323 965 3835 +1 323 965 3812 longoa@sec.gov
v.
No Logo Andrew L. Fassari, Defendant
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Legal Document (Payment Possibly Required) 23 Filed: 3/15/2021, Entered: 3/15/2021 Motion to Seal Case
APPLICATION to Seal Case Docket 5-1, which is unopposed by Defendant filed by plaintiff Securities and Exchange Commission. (Attachments: # (1) Proposed Order to Seal Docket Entry 5-1) (Hughes, Leslie)
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    Legal Document (Payment Possibly Required) 22 Filed: 3/15/2021, Entered: 3/15/2021 Order on Motion for orderCourt Filing
    ORDER GRANTING DEFENDANT ANDREW L. FASSARI'S APPLICATION TO SEAL DOCUMENTS [21] by Judge James V. Selna. (es)
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      Legal Document (Payment Possibly Required) 21 Filed: 3/15/2021, Entered: 3/15/2021, Terminated: 3/15/2021 Motion for order
      DEFENDANT ANDREW L. FASSARl'S EX PARTE APPLICATION FOR ORDER PERMITTING DOCUMENTS TO BE FILED UNDER SEAL; DECLARATION OF JESSICA C. MUNK filed by defendant Andrew L. Fassari. (es)
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        Sealed Legal Document 20 Filed: 3/15/2021, Entered: 3/15/2021 Sealed document
        SEALED - DEFENDANT ANDREW L. FASSARI'S SCHEDULE AND ACCOUNTING OF ASSETS; DECLARATION OF ANDREW L. FASSARI (bm)
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          Legal Document (Payment Possibly Required) 19 Filed: 3/15/2021, Entered: 3/15/2021 Notice of Manual Filing (G-92)
          NOTICE of Manual Filing filed by Defendant Andrew L. Fassari of Ex Parte Application for Leave to File Under Seal; Declaration of Jessica C. Munk; Defendant's Asset Schedule (Under Seal); Proposed Order. (Wiechert, David)
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            Legal Document (Payment Possibly Required) 18 Filed: 3/12/2021, Entered: 3/15/2021 Service of Summons and Complaint Returned Executed (21 days)
            PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Andrew L. Fassari served on 3/9/2021, answer due 3/30/2021. Service of the Summons and Complaint were executed upon David Wiechert, Attorney for Defendant by email sent at 2:36 p.m. MST through Acccellion. Original Summons NOT returned. (es)
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              Legal Document (Payment Possibly Required) 17 Filed: 3/12/2021, Entered: 3/12/2021 OrderCourt Filing
              ORDER GRANTING STIPULATION TO AMEND THE COURT'S ORDER FREEZING DEFENDANT'S ASSETS (DKT. NO. 11) PERMITTING LOANS AND/OR GIFTS FROM THIRD PARTIES FOR LEGAL FEES [16] by Judge James V. Selna, the Court hereby ORDERS as follows: 1. This Court's Order freezing Defendant Andrew L. Fassaris assets (Dkt. No. 11) is hereby amended to permit Mr. Fassari to receive loans and/or gifts from third parties for the payment of legal fees to defend this case and that any loans received by Mr. Fassari from third parties will not encumber any of his assets. (es)
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                Legal Document (Payment Possibly Required) 16 Filed: 3/11/2021, Entered: 3/12/2021 Stipulation to Amend/Correct
                STIPULATION TO AMEND THE COURT'S ORDER FREEZING DEFENDANT'S ASSETS (DKT.NO.11) PERMITTING LOANS AND/OR GIFTS FROM THIRD PARTIES FOR LEGAL FEES filed by defendant Andrew L. Fassari.(es)
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                  Legal Document (Payment Possibly Required) 15 Filed: 3/8/2021, Entered: 3/8/2021 Initial Order upon Filing of Complaint - form only
                  INITIAL ORDER FOLLOWING FILING OF COMPLAINT ASSIGNED TO JUDGE SELNA (lb)
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                    Legal Document (Payment Possibly Required) 14 Filed: 3/8/2021, Entered: 3/8/2021 OrderCourt Filing
                    REDACTED ORDER (1) FREEZING ASSETS; (2) PERMITTING ALTERNATIVE MEANS OF SERVICE (3) REQUIRING AN ACCOUNTING; (4) PERMITTING EXPEDITED DISCOVERY; (5) PROHIBITING DESTRUCTION OF DOCUMENTS; AND (6) TO SET HEARING ON ORDER TO SHOW CAUSE [4] by Judge James V. Selna. (es)
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                      Legal Document (Payment Possibly Required) 13 Filed: 3/8/2021, Entered: 3/8/2021 Order on Motion to appear pro hac viceCourt Filing
                      ORDER by Judge James V. Selna: Granting [12] Non-Resident Attorney Leslie J. Hughes APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff(s) Securities and Exchange Commission, designating Amy J. Longo as local counsel. (es)
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                        Legal Document (Payment Possibly Required) 12 Filed: 3/8/2021, Entered: 3/8/2021, Terminated: 3/8/2021 Motion to Appear Pro Hac Vice (G-64)
                        APPLICATION of Non-Resident Attorney Leslie J. Hughes to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission filed by plaintiff Securities and Exchange Commission. (es)
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                          Legal Document (Payment Possibly Required) 11 Filed: 3/8/2021, Entered: 3/8/2021 Order on Motion for orderCourt Filing
                          UNDER SEALED ORDER (1) FREEZING ASSETS; (2) PERMITTING ALTERNATIVE MEANS OF SERVICE (3) REQUIRING AN ACCCOUNTING; (4) PERMITTING EXPEDITED DISCOVERY; (5) PROHIBITING DESTRUCTION OF DOCUMENTS; AND (6) TO SET HEARING ON ORDER TO SHOW CAUSE [4] by Judge James V. Selna. (es)
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                            Legal Document (Payment Possibly Required) 10 Filed: 3/8/2021, Entered: 3/8/2021 Order on Motion for orderCourt Filing
                            ORDER RE PLAINTIFF SECURITIES AND EXCHANGE COMMISSION'S EX PARTE APPLICATION TO FILE COMPLAINT AND APPLICATION FOR AN ASSET FREEZE ORDER UNDER SEAL UNDER LOCAL RULE 79.5-1 [3] by Judge James V. Selna. (es)
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                              Legal Document (Payment Possibly Required) 9 Filed: 3/5/2021, Entered: 3/5/2021 Pro Hac Vice Application Due (G-109) - optional html form
                              NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Leslie J Hughes on behalf on Plaintiff. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. You have been removed as counsel of record from the docket in this case, and you will not be added back to the docket until your Pro Hac Vice status has been resolved. (ghap)
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                                Legal Document (Payment Possibly Required) 8 Filed: 3/5/2021, Entered: 3/5/2021 Notice to Parties of Court-Directed ADR Program (ADR-8) - optional html form
                                NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (ghap)
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                                  Legal Document (Payment Possibly Required) 7 Filed: 3/5/2021, Entered: 3/5/2021 Notice of Assignment to United States Judges (CV-18) - optional html formCourt Filing
                                  NOTICE OF ASSIGNMENT to District Judge James V. Selna and Magistrate Judge Autumn D. Spaeth. (ghap)
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                                    Legal Document (Payment Possibly Required) 2 Filed: 3/3/2021, Entered: 3/5/2021 Summons issued
                                    21 DAY Summons Issued re Complaint - (Discovery), [1] as to Defendant Andrew L. Fassari. (ghap) Modified on 3/5/2021 (ghap).
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                                      Legal Document 6 Filed: 3/2/2021, Entered: 3/5/2021 Declaration
                                      DECLARATION of John Dwyer filed by Plaintiff Securities and Exchange Commission. (ghap)
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                                        Legal Document (Payment Possibly Required) 5 Filed: 3/2/2021, Entered: 3/5/2021 memorandum in support of motion
                                        MEMORANDUM of Points and Authorities in Support of Ex Parte Application for an Order (1) Freezing Assets; (2) Permitting Alternative Means of Service; (3) Requiring an Accounting; (4) Permitting Expedited Discovery; (5) Prohibiting Documents; and (6) to Set Hearing on Order to Show Cause filed by Plaintiff Securities and Exchange Commission. (Attachments: # (1) Lodged Proposed Order (1) Freezing Assets; (2) Permitting Alternative Means of Service; (3) Requiring an Accounting; (4) Permitting Expedited Discovery; (5) Prohibiting Documents; and (6) to Set Hearing on Order to Show Cause)(ghap)
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                                          Legal Document (Payment Possibly Required) 4 Filed: 3/2/2021, Entered: 3/5/2021 Motion for order
                                          EX PARTE APPLICATION for Order (1) Freezing Assets; (2) Permitting Alternative Means of Service; (3) Requiring an Accounting; (4) Permitting Expedited Discovery; (5) Prohibiting Destruction of Documents; and (6) to Set Hearing on Order to Show Cause, filed by plaintiff Securities and Exchange Commission. (Attachments: # (1) Lodged Proposed Order (1) Freezing Assets; (2) Permitting Alternative Means of Service; (3) Requiring an Accounting; (4) Permitting Expedited Discovery; (5) Prohibiting Destruction of Documents; and (6) to Set Hearing on Order to Show Cause) (ghap)
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                                            Legal Document (Payment Possibly Required) 3 Filed: 3/2/2021, Entered: 3/5/2021 Motion for order
                                            EX PARTE APPLICATION to File Complaint and Application for and Asset Freeze Order Under Seal Under Local Rule 79.5-1, filed by plaintiff Securities and Exchange Commission. (Attachments: # (1) Lodged Proposed Order to Filed Complaint and Application for an Asset Freeze Order Under Seal Under Local Rule 79.5-1) (ghap)
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                                              Legal Document 1 Filed: 3/2/2021, Entered: 3/5/2021 Complaint - (Discovery)Court Filing
                                              COMPLAINT against Defendant Andrew L. Fassari.Case assigned to Judge James V. Selna for all further proceedings. Discovery referred to Magistrate Judge Autumn D. Spaeth.(Filing fee $ 402: No Fee) Jury Demanded., filed by plaintiff Securities and Exchange Commission. (Attachments: # (1) CV-71) (ghap)
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