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

Guy Gentile v. SEC
Appeal Court of Appeals for the Third Circuit, Case No. 19-2252

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Last Updated March 22, 2021 at 5:24 PM DT (4.4 months ago) Request Update Request UpdateSpaceE-Mail Alert Get E-Mail Alerts

No Logo Gentile, Guy, Plaintiff - Appellant
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
United States Securities and Exchange Commission United States Securities and Exchange Commission, Defendant - Appellee
Officially listed as "Sec"

Toggle Switch Represented by Unknown Firm

Name Phone Fax E-Mail
Space Samuel M. Forstein +1 202 942 0904 +9429 942 942 9537 forsteins@sec.gov

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
Nature of Suit 2850 - Securities Commodities Exchange
Case Type civil
Lower Court Case https://ecf.njd.uscourts.gov/cgi-bin/iquery.pl?caseNumber=2-19-cv-05155
Lower Court Case https://ecf.njd.uscourts.gov/cgi-bin/iquery.pl?caseNumber=2-19-cv-05155
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Legal Document (Payment Possibly Required) 003013707088 Filed: 11/2/2020, Entered: None ?
MANDATE ISSUED. (LMR)
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    Legal Document (Payment Possibly Required) 003013662120 Filed: 9/10/2020, Entered: None ?
    JUDGMENT, Affirmed. Costs taxed against Appellant. (CJG)
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      Legal Document 003013662113 Filed: 9/10/2020, Entered: None ?Court Filing
      PRECEDENTIAL OPINION. Coram: HARDIMAN, PORTER and PHIPPS, Circuit Judges. Total Pages: 17. Judge: PHIPPS Authoring. (CJG)
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        Blank  Filed: 1/15/2020, Entered: None ?
        ARGUED on Wednesday, January 15, 2020. Panel: HARDIMAN, PORTER and PHIPPS, Circuit Judges. Matthew S. Ferguson arguing for Appellee SEC; Adam C. Ford arguing for Appellant Guy Gentile. (TLG)
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          Legal Document (Payment Possibly Required) 003013459485 Filed: 1/15/2020, Entered: None ?
          COURT MINUTES OF ARGUED/SUBMITTED CASES. [18-2621, 18-2748, 18-2758, 19-2252] (TLG)
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            Blank  Filed: 1/6/2020, Entered: None ?
            ECF FILER: SUMMARY OF ORAL ARGUMENT submitted by Attorney Adam C. Ford, Esq. for Appellant Guy Gentile. Case Summary: Whether the lower court erred in dismissal for lack of SMJ; whether 15 USC 78u(c) is the only test of validity for SEC investigations; and whether the lower court has jurisdiction of SEC violations of issuing subpoenas without an authorized investigation.. Post Video: YES. [19-2252] (ACF)
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              Blank  Filed: 1/3/2020, Entered: None ?
              ECF FILER: SUMMARY OF ORAL ARGUMENT submitted by Attorney Matthew S. Ferguson, Esq. for Appellee SEC. Case Summary: Whether the district court properly dismissed for lack of subject matter jurisdiction Plaintiff-Appellant's complaint seeking to enjoin an ongoing Securities and Exchange Commission investigation into potential violations of the federal securities laws.. Post Video: YES. [19-2252] (MSF)
                LREF
                Legal Document (Payment Possibly Required) 003013446193 Filed: 12/30/2019, Entered: None ?
                Oral Argument Notification for Wednesday, 01/15/2020. Courtroom & Time: Seitz Courtroom/9:30am. Location: Philadelphia, PA. (TLG)
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                  Legal Document (Payment Possibly Required) 003013395535 Filed: 11/4/2019, Entered: None ?
                  ECF FILER: ARGUMENT ACKNOWLEDGMENT filed by Attorney Adam C. Ford, Esq. for Appellant Guy Gentile. Certificate of Service dated 11/04/2019. Service made by ECF. [19-2252] (ACF)
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                    Legal Document (Payment Possibly Required) 003013393692 Filed: 11/1/2019, Entered: None ?
                    ECF FILER: ARGUMENT ACKNOWLEDGMENT filed by Attorney Matthew S. Ferguson, Esq. for Appellee SEC. Certificate of Service dated 11/01/2019. Service made by ECF. [19-2252] (MSF)
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                      Legal Document (Payment Possibly Required) 003013389729 Filed: 10/29/2019, Entered: None ?
                      Calendared for Wednesday, 01/15/2020. (Rescheduled from Friday, 01/17/2020.) Calendar Clerk: TLG.--[Edited 12/30/2019 by TLG] (TLG)
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                        Blank  Filed: 10/17/2019, Entered: None ?
                        HARD COPY RECEIVED from Appellant Guy Gentile - Reply Brief. Copies: 7. (SJB)
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                          Legal Document (Payment Possibly Required) 003013376777 Filed: 10/16/2019, Entered: None ?
                          ECF FILER: ELECTRONIC REPLY BRIEF on behalf of Appellant Guy Gentile. Certificate of Service dated 10/16/2019 by ECF. [19-2252] (ACF)
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                            Blank  Filed: 9/30/2019, Entered: None ?
                            Appellant Guy Gentile verbally granted an extension of time to file reply brief until 10/16/2019 pursuant to Third Cir. LAR 31.4. (CJG)
                              LREF
                              Blank  Filed: 9/13/2019, Entered: None ?
                              HARD COPY RECEIVED from Appellee SEC - Brief. Copies: 7. (SJB)
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                                Legal Document (Payment Possibly Required) 003013345435 Filed: 9/11/2019, Entered: None ?
                                ECF FILER: ELECTRONIC BRIEF on behalf of Appellee SEC in 19-2252, filed. Certificate of Service dated 09/11/2019 by ECF, Email.--[Edited 09/13/2019 by MCW] (MSF)
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                                  Blank  Filed: 8/14/2019, Entered: None ?
                                  Appellee SEC verbally granted an extension of time to file brief until 09/11/2019 pursuant to Third Cir. LAR 31.4. (CJG)
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                                    Blank  Filed: 7/30/2019, Entered: None ?
                                    HARD COPY RECEIVED from Appellant Guy Gentile - Joint Appendix. Copies: 4. Volumes: 3 (Volume I attached to Brief). (MCW)
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                                      Blank  Filed: 7/30/2019, Entered: None ?
                                      HARD COPY RECEIVED from Appellant Guy Gentile - Brief with Volume I of Appendix attached. Copies: 7. (LM)
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                                        Legal Document (Payment Possibly Required) 003013305073 Filed: 7/29/2019, Entered: None ?
                                        ECF FILER: ELECTRONIC JOINT APPENDIX on behalf of Appellant Guy Gentile, filed. Certificate of service dated 07/29/2019 by ECF. [19-2252] (ACF)
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                                          Legal Document (Payment Possibly Required) 003013305060 Filed: 7/29/2019, Entered: None ?
                                          ECF FILER: ELECTRONIC BRIEF with Volume I of Appendix attached on behalf of Appellant Guy Gentile, filed. Certificate of Service dated 07/29/2019 by ECF. [19-2252] (ACF)
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                                            Legal Document (Payment Possibly Required) 003013266689 Filed: 6/18/2019, Entered: None ?
                                            BRIEFING NOTICE ISSUED. Brief on behalf of Appellant Guy Gentile due on or before 07/29/2019. Appendix due on or before 07/29/2019. (CJG)
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                                              Legal Document (Payment Possibly Required) 003013264884 Filed: 6/14/2019, Entered: None ?
                                              ECF FILER: Transcript Purchase Order Form (Part 1) filed by Appellant Guy Gentile advising this court that transcripts are not needed. [19-2252] (ACF)
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                                                Legal Document (Payment Possibly Required) 003013264881 Filed: 6/14/2019, Entered: None ?
                                                ECF FILER: Concise Summary of the Case filed by Appellant Guy Gentile, received. [19-2252] (ACF)
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                                                  Legal Document (Payment Possibly Required) 003013264878 Filed: 6/14/2019, Entered: None ?
                                                  ECF FILER: CIVIL INFORMATION STATEMENT on behalf of Appellant Guy Gentile, filed. [19-2252] (ACF)
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                                                    Legal Document (Payment Possibly Required) 003013264875 Filed: 6/14/2019, Entered: None ?
                                                    ECF FILER: ENTRY OF APPEARANCE from Adam C. Ford on behalf of Appellant(s) Guy Gentile. [19-2252] (ACF)
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                                                      Legal Document (Payment Possibly Required) 003013263336 Filed: 6/13/2019, Entered: None ?
                                                      ECF FILER: ENTRY OF APPEARANCE from Samuel M. Forstein on behalf of Appellee(s) SEC. [19-2252] (SMF)
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                                                        Legal Document (Payment Possibly Required) 003013262078 Filed: 6/12/2019, Entered: None ?
                                                        ECF FILER: ENTRY OF APPEARANCE from Matthew S. Ferguson on behalf of Appellee(s) U.S. Securities and Exchange Commission. [19-2252] (MSF)
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                                                          Blank  Filed: 5/31/2019, Entered: None ?
                                                          RECORD available on District Court CM/ECF. (CJG)
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                                                            Legal Document (Payment Possibly Required) 003013252752 Filed: 5/31/2019, Entered: None ?
                                                            CIVIL CASE DOCKETED. Notice filed by Appellant Guy Gentile in District Court No. 2-19-cv-05155. (CJG)
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