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 244 |
Filed: 5/19/2014, Entered: None |
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OPINION of USCA as to 235 Notice of Appeal filed by Frederick O'Meally USCA Case Number 13-1116. The SEC asks us to affirm that O'Meally negligently performed an intentional act that is otherwise legal. The evidence, however, establishes without contradiction that the funds were inconsistent in their proscriptions on market timing and that Prudential supported O'Meally's practicesand the jury could not find negligence in these circumstances without evidence as to an appropriate standard of care. For the foregoing reasons, we reverse and remand for the district court to dismiss the complaint against Mr. O'Meally. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 05/19/2014. (nd) (Entered: 05/19/2014)
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 243 |
Filed: 7/11/2013, Entered: None |
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LETTER addressed to The Jury from Judge Laura Taylor Swain dated 12/13/2011 re: With this note, we are providing copies of the jury charge, as you requested. Your note has been marked as Court Exhibit 2. (ft) (Entered: 07/11/2013)
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| 242 |
Filed: 7/11/2013, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Andrew J. Frisch dated 7/8/2013 re: Counsel requests that Your Honor make Court Exhibit 4 a part of the appellate record so that Mr. O'Meally is able to rely on it in his arguments. ENDORSEMENT: The request is granted. Court Exhibit 4 will be placed on the ECF docket to facilitate the designation. (Signed by Judge Laura Taylor Swain on 7/11/2013) (ft) (Entered: 07/11/2013)
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Request |
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| 241 |
Filed: 4/18/2013, Entered: None |
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ORDER granting 236 Motion to Stay. Defendant has submitted a Declaration attesting that he does not have the financial means to secure a supersedeas bond and that he lacks liquid assets sufficient to pay the Final Judgment, such that execution on the bond will likely involve liens on his home and other measures. The Court finds that, under these circumstances and in light of the limited likely impact of delayed execution on the efficacy of the civil penalty, staying the execution of the Final Judgment pending the resolution of the appeal is appropriate. Accordingly, Defendant's motion is granted. This Order resolves docket entry number 236. (Signed by Judge Laura Taylor Swain on 4/18/2013) (ft) (Entered: 04/18/2013)
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| 240 |
Filed: 4/15/2013, Entered: None |
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DECLARATION of Frederick J. O'Meally in Support re: 236 MOTION to Stay re: 232 Judgment,.. Document filed by Frederick O'Meally. (Frisch, Andrew) (Entered: 04/15/2013)
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Request |
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| 239 |
Filed: 4/15/2013, Entered: None |
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REPLY MEMORANDUM OF LAW in Support re: 236 MOTION to Stay re: 232 Judgment,.. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit of Andrew J. Frisch)(Frisch, Andrew) (Entered: 04/15/2013)
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Request |
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| 238 |
Filed: 4/8/2013, Entered: None |
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MEMORANDUM OF LAW in Opposition re: 236 MOTION to Stay re: 232 Judgment,.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 04/08/2013)
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Request |
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| 237 |
Filed: 3/25/2013, Entered: None |
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MEMORANDUM OF LAW in Support re: 236 MOTION to Stay re: 232 Judgment,.. Document filed by Frederick O'Meally. (Frisch, Andrew) (Entered: 03/25/2013)
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Request |
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| 236 |
Filed: 3/25/2013, Entered: None |
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MOTION to Stay re: 232 Judgment,. Document filed by Frederick O'Meally.(Frisch, Andrew) (Entered: 03/25/2013)
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Request |
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| 235 |
Filed: 3/25/2013, Entered: None |
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NOTICE OF APPEAL from 232 Judgment,. Document filed by Frederick O'Meally. Filing fee $ 455.00, receipt number 0208-8353122. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Frisch, Andrew) (Entered: 03/25/2013)
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Request |
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| 234 |
Filed: 3/25/2013, Entered: None |
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NOTICE OF APPEARANCE by Andrew James Frisch on behalf of Frederick O'Meally (Frisch, Andrew) (Entered: 03/25/2013)
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Request |
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| 233 |
Filed: 3/12/2013, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 3/12/2013 re: To facilitate payment of the disgorgement, prejudgment interest, and civil penalty, the Commission requests that the Clerk of Court use the relevant language in Paragraph II of the Corrunission's proposed final judgment (Docket #206-3) when preparing the final judgment to be entered pursuant to the Court's Memorandum Opinion and Order. ENDORSEMENT: The Court has entered judgment incorporating interest in the sum of $258,401.55, representing prejudgment interest computed at the IRS underemployment rate, compounded quarterly, from October 1, 2003, through the date of judgment. (Signed by Judge Laura Taylor Swain on 3/12/2013) (ft) (Entered: 03/13/2013)
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Request |
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| 232 |
Filed: 3/11/2013, Entered: None |
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FINAL JUDGMENT OF DISGORGEMENT, POST-JUDGMENT INTEREST AND A CIVIL PENALTY #13,0471 in favor of Securities and Exchange Commission against Frederick O'Meally in the amount of $ 763,237.55. (Signed by Judge Laura Taylor Swain on 3/11/13) (Attachments: # 1 Notice of Right to Appeal)(ml) (Entered: 03/12/2013)
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| 231 |
Filed: 3/11/2013, Entered: None |
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MEMORANDUM AND OPINION re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally filed by Securities and Exchange Commission. SEC's motion is granted to the extent that judgment will be entered requiring O'Meally to disgorge $444,836, plus prejudgment interest calculated at the IRS tax underpayment rate, pursuant to 26 U.S.C. § 6621(a)(2), from October 1, 2003, and a additional civil penalty in the amount of $60,000. The SECs motion is denied in all other respects. The Clerk of Court is directed to enter judgment accordingly. This Memorandum Opinion and Order resolves docket entry number 210. (Signed by Judge Laura Taylor Swain on 3/11/2013) (ft) (Entered: 03/11/2013)
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| 230 |
Filed: 1/31/2013, Entered: None |
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ORDER: The conference currently scheduled for February 7, 2013, is hereby adjourned to Thursday, April 11, 2013, at 10:30 a.m. SO ORDERED. ( Status Conference set for 4/11/2013 at 10:30 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 1/31/2013) (ama) (Entered: 01/31/2013)
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Request |
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| 229 |
Filed: 12/11/2012, Entered: None |
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ORDER: 12/13/2012 Status Conference reset for 2/7/2013 at 11:00 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 12/10/2012) (cd) (Entered: 12/11/2012)
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Request |
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| 228 |
Filed: 12/7/2012, Entered: None |
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RESPONSE in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Supplemental Submission in Support of Motion for Entry of Final Judgment. Document filed by Securities and Exchange Commission. (Jones, Marc) (Entered: 12/07/2012)
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Request |
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| 227 |
Filed: 10/3/2012, Entered: None |
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ORDER: The conference scheduled for October 10, 2012, is hereby adjourned to Thursday, December 13, 2012, at 3:00 p.m.( Status Conference set for 12/13/2012 at 03:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 10/3/2012) (ja) (Entered: 10/04/2012)
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Request |
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| 226 |
Filed: 8/31/2012, Entered: None |
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DECLARATION of Frederick J. O'Meally (Supplemental Declaration) in Opposition re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Frederick O'Meally. (Withers, Julie) (Entered: 08/31/2012)
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Request |
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| 225 |
Filed: 8/31/2012, Entered: None |
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REPLY MEMORANDUM OF LAW in Opposition re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Defendant Frederick J. O'Meally's Sur-Reply to Plaintiff's Motion for Entry of a Final Judgment of Permanent Injunction, Disgorgement, and Civil Penalty. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) (Entered: 08/31/2012)
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Request |
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| 224 |
Filed: 8/29/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 8/27/2012 re: Defense counsel writes to respectfully leave to file a sur-reply not exceeding five pages in response to the SEC's recently submitted Reply Brief in Support of its Motion for Entry of Final Judgment. ENDORSEMENT: The request is granted., ( Surreplies due by 8/31/2012.) (Signed by Judge Laura Taylor Swain on 8/28/2012) (ago) (Entered: 08/29/2012)
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Request |
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| 223 |
Filed: 8/24/2012, Entered: None |
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DECLARATION of Sofia T. Hussain in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Jones, Marc) (Entered: 08/24/2012)
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Request |
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| 222 |
Filed: 8/24/2012, Entered: None |
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REPLY MEMORANDUM OF LAW in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Jones, Marc) (Entered: 08/24/2012)
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Request |
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| 221 |
Filed: 8/13/2012, Entered: None |
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DECLARATION of Frederick J. O'Meally in Opposition re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Frederick O'Meally. (Withers, Julie) (Entered: 08/13/2012)
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Request |
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| 220 |
Filed: 8/10/2012, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Frederick J. O'Meally. in Opposition re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Document filed by Frederick O'Meally. (Withers, Julie) Modified on 8/13/2012 (db). (Entered: 08/10/2012)
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Request |
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| 219 |
Filed: 8/10/2012, Entered: None |
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MEMORANDUM OF LAW in Opposition re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Defendant Frederick J. O'Meally's Opposition to Plaintiff's Motion for Entry of a Final Judgment of Permanent Injunction, Disgorgement, and Civil Penalty. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) (Entered: 08/10/2012)
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Request |
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| 218 |
Filed: 8/8/2012, Entered: None |
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ENDORSED LETTER: addressed to Judge Laura Taylor Swain from Jonathan Harris dated 8/7/2012 re: Counsel for defendant write pursuant to Your Honor's Individual Practices Rule 2(h) to request permission to file a memoranda of law in access of 25 pages. Defendant requests permission to file a 30-page brief in opposition to the SEC's motion. ENDORSEMENT: The request is granted. So Ordered. (Signed by Judge Laura Taylor Swain on 8/8/2012) (js) (Entered: 08/08/2012)
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Request |
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| 218 |
Filed: None, Entered: None |
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Request From Archives (Scanning Fees/Delay May Apply) |
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| 217 |
Filed: 7/27/2012, Entered: None |
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ORDER: The conference scheduled for August 14, 2012, is hereby adjourned to Wednesday, October 10, 2012, at 2:30 p.m. ( Status Conference set for 10/10/2012 at 02:30 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 7/27/2012) (ja) (Entered: 07/27/2012)
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Request |
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| 216 |
Filed: 7/26/2012, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Jonathan Harris dated 7/24/2012 re: counsel for defendant writes in response to the SEC's opposition to Mr. O'Meally's request for a routine extension. Document filed by Securities and Exchange Commission.(pl) (Entered: 07/26/2012)
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Request |
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| 215 |
Filed: 7/26/2012, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 7/24/2012 re: Counsel for plaintiff in response to the July letter from counsel for defendant O'Meally. Document filed by Securities and Exchange Commission.(pl) (Entered: 07/26/2012)
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Request |
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| 214 |
Filed: 7/26/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 7/23/2012 re: Counsel for Defendants respectfully request additional time in which to file an opposition to the SEC's Motion for Entry of a Final Judgment of Permanent Injunction. ENDORSEMENT: Defendant's opposition is due by August 10, 2012. Any reply is due by August 24, 2012., ( Responses due by 8/10/2012, Replies due by 8/24/2012) (Signed by Judge Laura Taylor Swain on 7/26/2012) (pl) (Entered: 07/26/2012)
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Request |
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| 213 |
Filed: 7/2/2012, Entered: None |
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MEMORANDUM OF LAW in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 07/02/2012)
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Request |
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| 212 |
Filed: 7/2/2012, Entered: None |
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DECLARATION of Sofia T. Hussain in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 07/02/2012)
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Request |
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| 211 |
Filed: 7/2/2012, Entered: None |
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DECLARATION of Frank C. Huntington, Esq. in Support re: 210 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 07/02/2012)
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Request |
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| 210 |
Filed: 7/2/2012, Entered: None |
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MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Final Judgment as to Defendant Frederick J. O'Meally)(Huntington, Frank) (Entered: 07/02/2012)
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Request |
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| 209 |
Filed: 7/2/2012, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Frank C. Huntington, Esq. in Support re: 208 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally.. Document filed by Securities and Exchange Commission. (Huntington, Frank) Modified on 7/3/2012 (db). (Entered: 07/02/2012)
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Request |
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| 208 |
Filed: 7/2/2012, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Document filed by Securities and Exchange Commission.(Huntington, Frank) Modified on 7/3/2012 (db). (Entered: 07/02/2012)
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Request |
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| 207 |
Filed: 6/28/2012, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: 206 MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Document filed by Securities and Exchange Commission. (Huntington, Frank) Modified on 6/29/2012 (db). (Entered: 06/28/2012)
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Request |
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| 206 |
Filed: 6/28/2012, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Entry of Final Judgment as to Defendant Frederick J. O'Meally. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit of Frank C. Huntington, Esq., # 2 Affidavit of Sofia T. Hussain, # 3 Text of Proposed Order)(Huntington, Frank) Modified on 6/29/2012 (db). (Entered: 06/28/2012)
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Request |
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| 205 |
Filed: 6/11/2012, Entered: None |
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ORDER: Status Conference rescheduled for 8/14/2012 at 02:45 PM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 6/11/2012) (ft) (Entered: 06/11/2012)
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Request |
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| 204 |
Filed: 6/4/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 6/4/2012 re: Request for the following briefing schedule. ENDORSEMENT: The proposed schedule is approved. ( Motion by plaintiff re civil penalty issue due by 6/29/2012. Responses due by 7/27/2012, Replies due by 8/10/2012.) (Signed by Judge Laura Taylor Swain on 6/4/2012) (cd) (Entered: 06/05/2012)
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Request |
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| 203 |
Filed: 5/30/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Marc J. Jones dated 5/18/2012 re: I write to ask the Court to re-schedule the conference currently scheduled for Friday, June 15, 2012, at 2:00 p.m. ENDORSEMENT: The time of the conference is changed to June 15, 2012, at 10:30 AM., ( Status Conference set for 6/15/2012 at 10:30 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 5/29/2012) (lmb) (Entered: 05/30/2012)
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Request |
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| 202 |
Filed: 5/30/2012, Entered: None |
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MEMORANDUM ORDER: denying 196 Motion for Judgment as a Matter of Law. For the foregoing reasons, Defendant's motion for judgment as a matter of law is denied. The jury verdict stands. The parties are directed to consult with each other and to submit to the Court by June 4, 2012, a proposed briefing schedule on the civil penalty issue. This Memorandum Order resolves docket entry number 196. (Signed by Judge Laura Taylor Swain on 5/30/2012) (jfe) (Entered: 05/30/2012)
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Request |
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| 201 |
Filed: 4/17/2012, Entered: None |
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ORDER: In light of the pending motion, the conference scheduled for April 20, 2012, is hereby adjourned to Friday, June 15, 2012, at 2:00 p.m., ( Status Conference set for 6/15/2012 at 02:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 4/17/2012) (lmb) (Entered: 04/17/2012)
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Request |
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| 200 |
Filed: 2/16/2012, Entered: None |
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REPLY MEMORANDUM OF LAW in Support re: 196 MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure. MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure.. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) (Entered: 02/16/2012)
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Request |
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| 199 |
Filed: 2/7/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 2/6/2012 re: Counsel for the Defendant writes to request an extension of time to file a reply to the SEC's opposition to the motion for directed verdict to 2/17/2012. ENDORSEMENT: The request is granted. (Replies due by 2/17/2012.) (Signed by Judge Laura Taylor Swain on 2/7/2012) (ab) (Entered: 02/07/2012)
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Request |
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| 198 |
Filed: 2/3/2012, Entered: None |
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MEMORANDUM OF LAW in Opposition re: 196 MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure. MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure.. Document filed by Securities and Exchange Commission. (Jones, Marc) (Entered: 02/03/2012)
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Request |
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| 197 |
Filed: 1/23/2012, Entered: None |
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MEMORANDUM OF LAW in Support re: 196 MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure. MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure.. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) (Entered: 01/23/2012)
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Request |
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| 196 |
Filed: 1/23/2012, Entered: None |
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MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meally's Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure. Document filed by Frederick O'Meally.(Withers, Julie) (Entered: 01/23/2012)
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Request |
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| 195 |
Filed: 1/20/2012, Entered: None |
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FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Judgment as a Matter of Law . Defendant Frederick J. O'Meallys Renewed Motion for a Judgment as a Matter of Law pursuant to Rule 50(b) of the Federal Rules of Civil Procedure. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) Modified on 1/23/2012 (ldi). (Entered: 01/20/2012)
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Request |
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| 194 |
Filed: 1/18/2012, Entered: None |
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ORDER: The conference scheduled for April 6, 2012, is rescheduled to April 20, 2012, at 3:30p.m. Status Conference set for 4/20/2012 at 03:30 PM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 1/17/2012) (rdz) (Entered: 01/18/2012)
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Request |
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| 193 |
Filed: 1/10/2012, Entered: None |
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ORDER. The conference scheduled for January 18, 2012, is hereby adjourned to Friday, April 6, 2012, at 12:00 noon, to allow time for the parties to brief the pending motion. (Conference set for 4/6/2012 at 12:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 1/10/2012) (rjm) (Entered: 01/10/2012)
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Request |
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| 192 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 12/14/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 191 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: TRIAL held on 12/14/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 190 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 12/13/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 189 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: TRIAL held on 12/13/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 188 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 12/12/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 187 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 12/12/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 186 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 12/8/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 185 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 12/8/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 184 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 12/7/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 183 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: TRIAL held on 12/7/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 182 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 12/6/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 181 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: TRIAL held on 12/6/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 180 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 12/5/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 179 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 12/5/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 178 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 12/1/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 177 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 12/1/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 176 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/30/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 175 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/28/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 174 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/28/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 173 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/22/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 172 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/22/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 171 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/21/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 170 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/21/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 169 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/17/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 168 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/17/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 167 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/16/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 166 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/6/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 165 |
Filed: 1/9/2012, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 11/15/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 164 |
Filed: 1/9/2012, Entered: None |
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TRANSCRIPT of Proceedings re: Trial held on 11/15/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/2/2012. Redacted Transcript Deadline set for 2/14/2012. Release of Transcript Restriction set for 4/12/2012.(McGuirk, Kelly) (Entered: 01/09/2012)
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Request |
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| 163 |
Filed: 1/6/2012, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Marc J. Jones dated 1/5/2012 re: Counsel for the plaintiff proposes that the Defendant submit his motion for directed verdict on or before 1/13/2012, that the SEC submit its opposition on or before 1/25/2012, and that no reply is required. Additionally, the Commission requests that the Court schedule the next status hearing for this matter at a time following the conclusion of post-trial motion briefing. Document filed by Securities and Exchange Commission.(ft) (Entered: 01/06/2012)
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Request |
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| 162 |
Filed: 1/6/2012, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Julie Withers dated 1/5/2012 re: Counsel for the defendant requests that his motion be due on 1/20/2012 with opposing papers due on 2/3/2012, and reply papers due 2/10/2012. ENDORSEMENT: The foregoing proposed schedule is approved. (Motions due by 1/20/2012, Responses due by 2/3/2012, Replies due by 2/10/2012.) (Signed by Judge Laura Taylor Swain on 1/6/2012) (ft) (Entered: 01/06/2012)
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Request |
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| 161 |
Filed: 12/21/2011, Entered: None |
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AMENDED ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 12/16/11 re: Counsel for the defendant requests that the Court: (1) order an evidentiary hearing into the circumstances of the drafting of the SEC's press release; (2) compel the SEC to retract this press release; and (3) compel the SEC to issue a corrected press release including an apology to Mr. O'Meally. ENDORSEMENT: Defendant's requests are denied, for substantially the reasons set forth in the second section ("Violations of Section 17(a)(2) and (3) are Securities Fraud Violations") of the SEC's December 20, 2011 letter to the Court. (Signed by Judge Laura Taylor Swain on 12/20/2011) (mro) (Entered: 12/22/2011)
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Request |
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| 160 |
Filed: 12/21/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Marc Jones dated 12/20/2011 re: By letter dated December 16, 2011, the Defendant in the above-referenced case attacks the language used by the Securities and Exchange Commission (the "Commission") in its litigation release issued earlier that day. The Commission typically issues Litigation Releases to publicly announce major events, good or bad, in the enforcement actions the agency files. Defendant's complaint appears to stem from the fact that the Commission used the word "fraud" in relation to the jury's verdict, and that it quoted the allegations in the original complaint. Had the Defendant made even a cursory check of the statute, case law and common parlance related to Sections 17(a)(2) and (3) of the Securities Act of 1933, it would have been obvious how unfounded his complaint is. The vehemence of his reaction demonstrates that Mr. O'Meally has not accepted and will not accept that he did anything wrong, and underscores the need for imposition of a permanent injunction and a strong penalty if this matter proceeds to the remedies phase. Document filed by Securities and Exchange Commission.(js) Modified on 12/22/2011 (lan). (Entered: 12/21/2011)
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Request |
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| 159 |
Filed: 12/21/2011, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 12/16/2011 re: Accordingly, Counsel requests that the Court order an evidentiary hearing into the circumstances of the drafting of the SEC to retract this press release and compel the SEC to issue a corrected press release including an opology to Mr. O'Meally. ENDORSEMENT: Plaintiff's requests are denied, for substantially the reasons set forth in the second section (Violations of Section 17(a)(2) and (3) are Securities Fraud Violations") of the SEC's December 20, 2011, letter to the Court. So Ordered. (Signed by Judge Laura Taylor Swain on 12/20/2011) (js) (Entered: 12/21/2011)
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Request |
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| 158 |
Filed: 12/15/2011, Entered: None |
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JURY VERDICT FORM- Court Exhibit #12.(lmb) (Entered: 12/20/2011)
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Request |
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| 157 |
Filed: 12/12/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Jonathan Harris dated 12/9/2011 re: The parties write jointly to respond to the Court's request for additional briefing on the proposed jury charge and draft verdict form. (rjm) (Entered: 12/13/2011)
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Request |
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| 156 |
Filed: 12/12/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 12/9/2011 re: I am writing to provide the Court with some additional comments on the third issue raised in the parties' joint letter. (rjm) (Entered: 12/13/2011)
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Request |
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| 155 |
Filed: 11/21/2011, Entered: None |
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LETTER: addressed to Judge Laura Taylor Swain from Alexander Sakin dated 11/18/2011 re: As per Your Honor's oral instructions, Defendant is providing the Court and the SEC with additional pre-marked trial exhibits is attached Copies of the exhibits are being hand delivered to Your Honor's chambers. In addition, we have sent this list to the SEC and per an agreement with the SEC, Defendant is sending a disk of electronically scanned versions of the exhibits to the SEC attorneys, who are presently in Boston, for delivery on Saturday, November 19, 2011. (js) (Entered: 11/22/2011)
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Request |
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| 154 |
Filed: 11/18/2011, Entered: None |
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ORDER. The Court hereby authorizes the specified trial presentation technician to bring the indicated materials into the courtroom for this matter on Monday, November 21, and Tuesday, November 22, as further set forth in said order. (Signed by Judge Laura Taylor Swain on 11/18/2011) (rjm) (Entered: 11/21/2011)
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Request |
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| 153 |
Filed: 11/17/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 11/17/2011 re: I write to address the questions you raised yesterday regarding whether certain demands for relief by the Commission trigger the right to a jury trial. Document filed by Securities and Exchange Commission.(lmb) (Entered: 11/17/2011)
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Request |
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| 152 |
Filed: 11/17/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Roberta A. Kaplan dated 11/16/2011 re: I write to provide an update on the efforts made by Invesco Investment Services, Inc. ("Invesco") to comply with the Subpoena to Appear and Testify at Trial and to Produce Documents, Information or Objects dated November 8, 2011 (the "Subpoena"). Document filed by Invesco Investment Services, Inc.(lmb) (Entered: 11/17/2011)
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Request |
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| 151 |
Filed: 11/15/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 11/14/11 re: Counsel for the plaintiff writes in response to the proposed verdict from with defendant O'Meally submitted on 11/7/11. Document filed by Securities and Exchange Commission.(mro) (Entered: 11/15/2011)
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Request |
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| 150 |
Filed: 11/15/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Jonathan Harris dated 11/10/11 re: Counsel for the defendant argues that plaintiff should be required to call competent witnesses, rather than engage in trial by hearsay and requests that plaintiff's motion be denied for all the reasons herein. Document filed by Frederick O'Meally.(mro) (Entered: 11/15/2011)
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Request |
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| 149 |
Filed: 11/15/2011, Entered: None |
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Letter addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 11/8/11 re: Counsel for the plaintiff writes to address the admissibility of the "block letters" sent by more than 60 mutual fund companies to defendant O'Meally or to others at Prudential. Document filed by Securities and Exchange Commission.(mro) (Entered: 11/15/2011)
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Request |
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| 148 |
Filed: 11/14/2011, Entered: None |
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ORDER: The Court has received Plaintiff's letter dated November 14, 2011, wherein Plaintiff asserts that its "burden of proof does not entail a victim-by-victim analysis" to establish liability for violations of Section 10(b) of the Securities Exchange Act and Rule 10b-5. Counsel for both parties are hereby ordered to address the following questions: 1. What predicate findings are necessary to support an order of disgorgement with respect to transaction(s) involving any particular fund? 2. Which of those findings are properly made by the Court and which, if any, must be made by the jury? Counsel for both parties shall be prepared to discuss these questions, with legal citations to support their positions, by tomorrow morning. Counsel shall submit their positions in writing by 12:00 noon on Wednesday, November 16, 2011. (Signed by Judge Laura Taylor Swain on 11/14/2011) (mro) (Entered: 11/15/2011)
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Request |
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| 147 |
Filed: 11/14/2011, Entered: None |
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DECLARATION of Roberta A. Kaplan in Support re: 145 MOTION to Quash the Subpoena Served on Investment Services, Inc... Document filed by Invesco Investment Services, Inc.. (Attachments: # 1 Exhibit 1)(Kaplan, Roberta) (Entered: 11/14/2011)
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Request |
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| 146 |
Filed: 11/14/2011, Entered: None |
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MEMORANDUM OF LAW in Support re: 145 MOTION to Quash the Subpoena Served on Investment Services, Inc... Document filed by Invesco Investment Services, Inc.. (Kaplan, Roberta) (Entered: 11/14/2011)
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Request |
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| Save 25% on a pre-paid one year subscription. |
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| 145 |
Filed: 11/14/2011, Entered: None |
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MOTION to Quash the Subpoena Served on Investment Services, Inc.. Document filed by Invesco Investment Services, Inc..(Kaplan, Roberta) (Entered: 11/14/2011)
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Request |
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| 144 |
Filed: 11/9/2011, Entered: None |
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ORDER: The parties have jointly requested permission to bring General Purpose Computing Devices and other equipment into the courtroom for the upcoming trial in this matter. The Court hereby authorizes the following attorneys, listed within, to bring the indicated materials. In addition, the Court hereby authorizes the within trial presentation technician to bring the indicated materials. (Signed by Judge Laura Taylor Swain on 11/9/2011) (ab) (Entered: 11/09/2011)
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Request |
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| 143 |
Filed: 11/7/2011, Entered: None |
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NOTICE OF APPEARANCE by Julie Vianne Withers on behalf of Frederick O'Meally (Attachments: # 1 Affidavit Certificate of Service)(Withers, Julie) (Entered: 11/07/2011)
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Request |
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| 142 |
Filed: 11/7/2011, Entered: None |
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FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - PROPOSED JURY INSTRUCTIONS. Document filed by Frederick O'Meally. (Attachments: # 1 Affidavit Certificate of Service of Julie Withers)(Withers, Julie) Modified on 11/8/2011 (ka). (Entered: 11/07/2011)
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Request |
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| 141 |
Filed: 11/7/2011, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a final pretrial conference proceeding held on 11/2/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(tro) (Entered: 11/07/2011)
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Request |
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| 140 |
Filed: 11/7/2011, Entered: None |
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|
TRANSCRIPT of Proceedings re: final pretrial conference held on 11/2/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Mary Greco. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/1/2011. Redacted Transcript Deadline set for 12/12/2011. Release of Transcript Restriction set for 2/8/2012.(tro) (Entered: 11/07/2011)
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Request |
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| 139 |
Filed: 11/3/2011, Entered: None |
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|
Letter addressed to Judge Laura Taylor Swain from Jonathan Harris dated 10/31/2011 re: We write to bring to the Court's attention in advance of the parties' conference scheduled for Wednesday, November 2, additional authority supporting Mr. O'Meally's proposed jury instruction with respect to the advice of counsel. (rjm) (Entered: 11/04/2011)
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Request |
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| 138 |
Filed: 11/3/2011, Entered: None |
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NOTICE OF CHANGE OF ADDRESS by David Brian Deitch on behalf of Frederick O'Meally. New Address: Ifrah PLLC, 1717 Pennsylvania Avenue, NW, Suite 650, Washington, DC, USA 20006, (202) 524-4147. (Deitch, David) (Entered: 11/03/2011)
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Request |
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| 137 |
Filed: 11/3/2011, Entered: None |
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NOTICE OF APPEARANCE by David Brian Deitch on behalf of Frederick O'Meally (Attachments: # 1 Affidavit Certificate of Service)(Deitch, David) (Entered: 11/03/2011)
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Request |
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| 136 |
Filed: 10/31/2011, Entered: None |
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ORDER: The final pretrial conference scheduled for November 2, 2011, is rescheduled to November 2, 2011, at 4:00 p.m. (Final Pretrial Conference set for 11/2/2011 at 04:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 10/31/2011) (ab) (Entered: 10/31/2011)
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Request |
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| 135 |
Filed: 10/25/2011, Entered: None |
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NOTICE OF APPEARANCE by Paul Colinet on behalf of Frederick O'Meally (Attachments: # 1 Affidavit Certificate of Service for Notice of Appearance of David Deitch)(Colinet, Paul) (Entered: 10/25/2011)
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Request |
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| 133 |
Filed: 9/20/2011, Entered: None |
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ORDER Jury trial, with jury selection set for 11/15/2011 at 09:30 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 9/20/2011) (cd) (Entered: 09/20/2011)
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Request |
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| 132 |
Filed: 9/14/2011, Entered: None |
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ORDER: The final pretrial conference scheduled for September 15, 2011, is hereby rescheduled to Wednesday, November 2, 2011, at 10:00 a.m. ( Final Pretrial Conference set for 11/2/2011 at 10:00 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 9/14/2011) (jfe) (Entered: 09/14/2011)
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Request |
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| 131 |
Filed: 9/6/2011, Entered: None |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a court conference proceeding held on 6/1/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(laq) (Entered: 09/13/2011)
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Request |
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| 130 |
Filed: 9/6/2011, Entered: None |
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TRANSCRIPT of Proceedings re: Final Pretrial conference held on 6/1/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Shari Riemer, (518) 581-8973. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/30/2011. Redacted Transcript Deadline set for 10/10/2011. Release of Transcript Restriction set for 12/8/2011.(laq) (Entered: 09/13/2011)
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Request |
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| 129 |
Filed: 8/19/2011, Entered: None |
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REPLY MEMORANDUM OF LAW in Support re: 125 MOTION in Limine TO EXCLUDE INVESTIGATIVE, DEPOSITION AND ARBITRATION TESTIMONY.. Document filed by Securities and Exchange Commission. (Jones, Marc) (Entered: 08/19/2011)
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Request |
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| 128 |
Filed: 8/19/2011, Entered: None |
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PRETRIAL MEMORANDUM. Document filed by Frederick O'Meally.(Harris, Jonathan) (Entered: 08/19/2011)
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Request |
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| 127 |
Filed: 8/12/2011, Entered: None |
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PRETRIAL MEMORANDUM. Document filed by Securities and Exchange Commission.(Huntington, Frank) (Entered: 08/12/2011)
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Request |
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| 126 |
Filed: 8/11/2011, Entered: None |
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FIRST MEMORANDUM OF LAW in Opposition re: 125 MOTION in Limine TO EXCLUDE INVESTIGATIVE, DEPOSITION AND ARBITRATION TESTIMONY.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 08/11/2011)
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Request |
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| 125 |
Filed: 7/29/2011, Entered: None |
Motion in Limine |
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MOTION in Limine TO EXCLUDE INVESTIGATIVE, DEPOSITION AND ARBITRATION TESTIMONY. Document filed by Securities and Exchange Commission.(Huntington, Frank) (Entered: 07/29/2011)
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|
Request |
|
|
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| 124 |
Filed: 7/29/2011, Entered: None |
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PRETRIAL MEMORANDUM. Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit EXHIBIT A)(Harris, Jonathan) (Entered: 07/29/2011)
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Request |
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| 123 |
Filed: 7/29/2011, Entered: None |
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|
NOTICE OF APPEARANCE by Julie Vianne Withers on behalf of Frederick O'Meally (Withers, Julie) (Entered: 07/29/2011)
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Request |
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| 122 |
Filed: 6/24/2011, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 6/23/11 re: I respectfully request that the dates be adjourned for three weeks and as further specified in this endorsed letter. ENDORSEMENT: The request is granted. So ordered. (Responses due by 8/12/2011. Replies due by 8/19/2011.) (Signed by Judge Laura Taylor Swain on 6/24/11) (rjm) (Entered: 06/27/2011)
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Request |
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| 121 |
Filed: 6/20/2011, Entered: None |
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ORDER AUTHORIZING MARC J. JONES TO APPEAR AS AN ATTORNEY IN THIS ACTION PRO HAC VICE. Granting 120 Motion for Marc J. Jones to Appear Pro Hac Vice. (Signed by Judge Laura Taylor Swain on 6/20/11) (rjm) (Entered: 06/20/2011)
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Request |
|
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| 120 |
Filed: 6/13/2011, Entered: None |
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MOTION for Marc J. Jones to Appear Pro Hac Vice. Document filed by Securities and Exchange Commission.(pgu) (Entered: 06/14/2011)
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Request |
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| 119 |
Filed: 6/8/2011, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain, from Marc J. Jones dated 6/6/2011 re: Counsel writes to report the agreed-upon briefing schedule for outstanding trial issues. The parties will file as follows: July 8, 2011 - Plaintiff's Brief Opposing Use of Prior Testimony; Defendant's Brief Regarding Outstanding Jury Charge Issues. July 22, 2011 - Parties' Oppositions. July 29, 2011 - Parties' Reply Briefs (if necessary). ENDORSEMENT: The proposed schedule is approved. So Ordered. (Signed by Judge Laura Taylor Swain on 6/7/2011) (jfe) (Entered: 06/08/2011)
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Request |
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| 118 |
Filed: 6/2/2011, Entered: None |
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ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. (Principals to participate as required by Magistrate Judge). (Signed by Judge Laura Taylor Swain on 6/1/11) (pl) (Entered: 06/02/2011)
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Request |
|
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| 117 |
Filed: 6/1/2011, Entered: None |
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ORDER: The Court finds that Judge Ellis's April 4, 2011, ruling is neither clearly erroneous nor contrary to law. Accordingly, Defendant's Objection is overruled. (Signed by Judge Laura Taylor Swain on 6/1/2011) (jfe) (Entered: 06/01/2011)
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Request |
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| 116 |
Filed: 6/1/2011, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Marc Jones in Support re: 114 MOTION for Leave to Appear Pro Hac Vice -- Marc J. Jones. Document filed by Securities and Exchange Commission. (Huntington, Frank) Modified on 6/2/2011 (db). (Entered: 06/01/2011)
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Request |
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| 115 |
Filed: 6/1/2011, Entered: None |
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FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Carlos Costa Rodrigues in Support re: 114 MOTION for Leave to Appear Pro Hac Vice -- Marc J. Jones. Document filed by Securities and Exchange Commission. (Huntington, Frank) Modified on 6/2/2011 (db). (Entered: 06/01/2011)
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Request |
|
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| 114 |
Filed: 6/1/2011, Entered: None |
|
|
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Leave to Appear Pro Hac Vice -- Marc J. Jones. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit of Carlos Costa Rodrigues, # 3 Affidavit of Marc J. Jones)(Huntington, Frank) Modified on 6/1/2011 (db). (Entered: 06/01/2011)
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Request |
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| 113 |
Filed: 5/24/2011, Entered: None |
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PROPOSED VOIR DIRE QUESTIONS. Document filed by Securities and Exchange Commission.(Huntington, Frank) (Entered: 05/24/2011)
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Request |
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| 112 |
Filed: 5/24/2011, Entered: None |
|
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PROPOSED JURY INSTRUCTIONS. Document filed by Securities and Exchange Commission.(Huntington, Frank) (Entered: 05/24/2011)
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Request |
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| 111 |
Filed: 5/17/2011, Entered: None |
|
|
PRETRIAL MEMORANDUM. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Huntington, Frank) (Entered: 05/17/2011)
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Request |
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| 110 |
Filed: 5/13/2011, Entered: None |
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|
ORDER: Accordingly, PEG's designation of those two entries as privileged was proper, and was not waived. Based on its review of the ten entries selected by O'Meally, the Court finds no need for further consideration of this issue. (Signed by Magistrate Judge Ronald L. Ellis on 5/13/2011) (jfe) Modified on 5/19/2011 (jfe). (Entered: 05/13/2011)
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Request |
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| 109 |
Filed: 5/5/2011, Entered: None |
|
|
Objection re: 107 Objection (non-motion) /Non-Party Prudential Equity Group's Memorandum of Law in Opposition to O'Meally's Rule 72 Objections to Magistrate's Ruling Denying Motion to Compel/. Document filed by Prudential Equity Group. (Attachments: # 1 Appendix A, # 2 Appendix B, # 3 Appendix C, # 4 Exhibit 1, # 5 Exhibit 1A, # 6 Exhibit 1B, # 7 Exhibit 1C, # 8 Exhibit 2)(Schacter, Kenneth) (Entered: 05/05/2011)
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Request |
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|
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| 108 |
Filed: 4/18/2011, Entered: None |
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|
FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - Objection re: 107 Objection (non-motion) (Exhibits 1-7 to Defendant O'Meally's Rule 72(A) Objections to Magistrate Judge Ellis April 4, 2011 Ruling). Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit Exhibit 2, # 2 Exhibit Exhibit 3, # 3 Exhibit Exhibit 4, # 4 Exhibit Exhibit 5, # 5 Exhibit Exhibit 6, # 6 Exhibit Exhibit 7)(Harris, Jonathan) Modified on 4/19/2011 (ka). (Entered: 04/18/2011)
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Request |
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| 107 |
Filed: 4/18/2011, Entered: None |
|
|
Objection --Defendant O'Meally's Rule 72(A) Objections to Magistrate Judge Ellis April 4, 2011 Ruling. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 04/18/2011)
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Request |
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| 106 |
Filed: 4/11/2011, Entered: None |
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|
ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan A. Harris dated 4/7/11 re: I write on behalf of defendant Frederick J. O'Meally. A final pre-trial conference in this case is scheduled on May 13, 2011. I respectfully request that the pre-trial conference be rescheduled. ENDORSEMENT: The final pretrial conference is adjourned to June 1, 2011 at 4:00 p.m. So ordered. (Final Pretrial Conference set for 6/1/2011 at 04:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 4/11/2011) (rjm) (Entered: 04/12/2011)
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Request |
|
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| 105 |
Filed: 3/9/2011, Entered: None |
|
|
FINAL JUDGMENT OF PERMANENT INJUNCTION #11,0417 in favor of Securities and Exchange Commission against Jason N. Ginder in the amount of $ 300,000.00 as a civil penalty. (Signed by Judge Laura Taylor Swain on 3/9/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml) (Entered: 03/09/2011)
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Request |
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|
 104 |
Filed: 3/7/2011, Entered: None |
|
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SEALED DOCUMENT placed in vault.(mps) (Entered: 03/07/2011)
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| 103 |
Filed: 3/4/2011, Entered: None |
|
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ENDORSED LETTER addressed to Magistrate Judge Ronald L. Ellis from Jonathan Harris dated 3/4/2011 re: Counsel respectfully request leave from Your Honor to file their motion and exhibits under seal. ENDORSEMENT: So Ordered. (Signed by Magistrate Judge Ronald L. Ellis on 3/4/2011) (jfe) Modified on 4/20/2011 (jfe). (Entered: 03/04/2011)
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Request |
|
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| 102 |
Filed: 3/3/2011, Entered: None |
|
|
FILING ERROR - ELECTRONIC FILING NON-ECF DOCUMENT(CONSENT) - SETTLEMENT AGREEMENT of Defendant Jason Ginder. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order [Final Judgment as to Defendant Ginder])(Huntington, Frank) Modified on 3/7/2011 (ka). Modified on 3/8/2011 (ka). (Entered: 03/03/2011)
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Request |
|
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| 101 |
Filed: 2/18/2011, Entered: None |
|
|
Letter addressed to Judge Laura T. Swain from Jonathan Harris dated 1/13/2011 re: I write on behalf of defendant Frederick J. O'Meally. While we are requesting a 60-day extension of the pretrial conference date, and to move trial to June or July, we do not believe that this additional discovery will result in any further delays. Document filed by Frederick O'Meally.(laq) (Entered: 02/18/2011)
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Request |
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|
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| 100 |
Filed: 2/18/2011, Entered: None |
|
|
Letter addressed to Judge Laura T. Swain from Frank C. Huntington dated 1/18/11 re: I am writing on behalf of plaintiff Securities and Exchange Commission and in response to the letter to the Court dated January 13, 2011 from counsel for defendant Frederick O'Meally. Document filed by Securities and Exchange Commission.(laq) (Entered: 02/18/2011)
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Request |
|
|
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| 99 |
Filed: 2/18/2011, Entered: None |
|
|
Letter addressed to Judge Laura T. Swain from Jonathan A. Harris dated 1/19/2011 re: I write on behalf of defendant Frederick J. O'Meally in further support of the applications respectfully made in my letter of January 13, 2001, and in reply to the letter sent to you by the SEC on January 18, 2011. Document filed by Frederick O'Meally.(laq) (Entered: 02/18/2011)
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|
Request |
|
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| 98 |
Filed: 2/17/2011, Entered: None |
|
|
ORDER: In light of Defendant's submission (docket entry no. 96 ) identifying evidence that he contends relates to his advice-of-counsel defense and is in the possession of non-party Prudential, Defendant is hereby permitted to make the motion, described in Mr. Harris's letter to the Court dated January 13, 2011, to compel production by Prudential and for permission to engage in further discovery. The Court expresses no view as to Defendant's entitlement to such relief. The motion is hereby referred to judge Ellis, who retains general pretrial management authority in this mailer. Defendant must tile and serve (with courtesy copies to Judge Ellis's Chambers) his moving papers by March 4, 2011. Plaintiff may lile and serve (with courtesy copies to Judge Ellis's Chambers) an opposition by March 18, 2011, and Defendant may file and serve (with courtesy copies to Judge Ellis's Chambers) a reply by March 25, 2011. SO ORDERED. (Motions due by 3/4/2011. Responses due by 3/18/2011. Replies due by 3/25/2011) (Signed by Judge Laura Taylor Swain on 2/17/2011) (lnl) (Entered: 02/17/2011)
|
|
Request |
|
|
|
| 97 |
Filed: 2/14/2011, Entered: None |
|
|
NOTICE of Unavailability of Lead Counsel. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 02/14/2011)
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|
Request |
|
|
|
| 96 |
Filed: 2/14/2011, Entered: None |
|
|
FIRST RESPONSE re: 93 Order, Set Hearings,,,, Proffer Letter. Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit Exhibit A-Part 1 of 2, # 2 Exhibit Exhibit A-Part 2 of 2, # 3 Exhibit Exhibit B)(Colinet, Paul) (Entered: 02/14/2011)
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|
Request |
|
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|
| 95 |
Filed: 2/4/2011, Entered: None |
|
|
ANSWER to Complaint with JURY DEMAND. Document filed by Frederick O'Meally.(Colinet, Paul) (Entered: 02/04/2011)
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|
Request |
|
|
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| 94 |
Filed: 2/4/2011, Entered: None |
|
|
NOTICE OF APPEARANCE by Paul Colinet on behalf of Frederick O'Meally (Colinet, Paul) (Entered: 02/04/2011)
|
|
Request |
|
|
|
| 93 |
Filed: 2/1/2011, Entered: None |
|
|
ORDER: Defendant is hereby ordered to identify with specificity, by February 15, 2011 the information that he did not proffer in support of his motion for summary judgment that he contends relates to his advice-of-counsel defense and is in the possession of non-party Prudential. The final pretrial conferencescheduled tor March 4, 2011, is rescheduled to Friday May 13, 2011, at 3:00 pm. (Final Pretrial Conference set for 5/13/2011 at 03:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 2/1/11) (db) (Entered: 02/01/2011)
|
|
Request |
|
|
|
| 92 |
Filed: 1/31/2011, Entered: None |
|
|
ENDORSED LETTER addressed to judge Laura Taylor Swain from Jonathan A. Harris dated 1/27/2011 re: Counsel writes to advise the Court that they have realized that no answer has been filed on behalf of Mr. O'Meally and of their intent to correct this promptly. ENDORSEMENT: The answer may be filed by February 4, 2011. So Ordered. (Signed by Judge Laura Taylor Swain on 1/31/2011) (jfe) (Entered: 01/31/2011)
|
|
Request |
|
|
|
| 91 |
Filed: 11/9/2010, Entered: None |
|
|
ENDORSED LETTER: addressed to Judge Laura Taylor Swain from Frank C. Huntington dated 11/8/2010 re: Counsel for Plaintiff Securities and Exchange Commission and the two remaining defendants, Frederick O'Meally and Jason Ginder, to request a 60 day continuance of the final pretrial conference, now scheduled for January 7, 2011, as well as all other pretrial deadlines. ENDORSEMENT: The final pretrial conference is adjourned to March 4, 2010, at 11:00 AM and the related deadlines are modified accordingly. So Ordered. (Signed by Judge Laura Taylor Swain on 11/9/2010) (js) (Entered: 11/09/2010)
|
|
Request |
|
|
|
| 90 |
Filed: 9/29/2010, Entered: None |
|
|
MEMORANDUM ORDER denying 74 Motion for Summary Judgment. For the foregoing reasons, Defendant's Motion for Summary Judgment is denied. The parties are directed to contact Judge Ellis's Chambers promptly to schedule a settlement conference. The parties are directed to appear for a final pre-trial conference on January 7, 2011, at 10:30 a.m., and all related deadlines in the extant scheduling order are adjusted accordingly. This Memorandum Order resolves Docket No. 74. SO ORDERED. (Signed by Judge Laura Taylor Swain on 9/29/2010) (jmi) (Entered: 09/29/2010)
|
|
Request |
|
|
|
| 89 |
Filed: 6/1/2010, Entered: None |
|
|
NOTICE of Unavailability of Counsel. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 06/01/2010)
|
|
Request |
|
|
|
| 88 |
Filed: 1/11/2010, Entered: None |
|
|
NOTICE of Unavailability of Lead Counsel. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 01/11/2010)
|
|
Request |
|
|
|
| 87 |
Filed: 1/6/2010, Entered: None |
|
|
RESPONSE in Opposition re: 74 MOTION for Summary Judgment. -- Sur-Reply. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 01/06/2010)
|
|
Request |
|
|
|
| 86 |
Filed: 12/18/2009, Entered: None |
|
|
AFFIDAVIT of Frederick J. O'Meally in Support re: 74 MOTION for Summary Judgment.. Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit Exhibits A-C to the O'Meally Affidavit)(Harris, Jonathan) (Entered: 12/18/2009)
|
|
Request |
|
|
|
| 85 |
Filed: 12/18/2009, Entered: None |
|
|
REPLY MEMORANDUM OF LAW in Support re: 74 MOTION for Summary Judgment.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 12/18/2009)
|
|
Request |
|
|
|
| 84 |
Filed: 12/9/2009, Entered: None |
|
|
ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 12/8/2009 re: Mr. O'Meally seeks permission to file his reply on 12/18/2009 and the SEC requests permission to file a sur-reply on 1/6/2010 to the Motion for Summary Judgment filed on 10/9/2009. ENDORSEMENT: The requests are granted. The Clerk of Court is respectfully directed to terminate docket entry no. 79. SO ORDERED. (Signed by Judge Laura Taylor Swain on 12/8/2009) (tve) (Entered: 12/09/2009)
|
|
Request |
|
|
|
| 83 |
Filed: 11/25/2009, Entered: None |
|
|
COUNTER STATEMENT TO 78 Rule 56.1 Statement. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 11/25/2009)
|
|
Request |
|
|
|
| 82 |
Filed: 11/24/2009, Entered: None |
|
|
DECLARATION of Frank C. Huntington, Esq. in Opposition re: 74 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A -- O'Meally Deposition (pt. 1), # 2 Exhibit A -- O'Meally Deposition (p. 2), # 3 Exhibit A -- O'Meally Deposition (pt. 3), # 4 Exhibit A -- O'Meally Deposition (exs. 3 & 8), # 5 Exhibit A -- O'Meally Deposition (ex. 12), # 6 Exhibit A -- O'Meally Deposition (exs. 15 & 26), # 7 Exhibit B -- Ginder Deposition, # 8 Exhibit C -- AIM Deposition, # 9 Exhibit D -- American Deposition (pt. 1), # 10 Exhibit D -- American Deposition (pt. 2), # 11 Exhibit E -- Deutsche-Scudder Deposition (pt. 1), # 12 Exhibit E -- Deutsche-Scudder Deposition (pt. 2), # 13 Exhibit F -- Dreyfus Deposition, # 14 Exhibit G -- Federated Deposition (pt. 1), # 15 Exhibit G -- Federated Deposition (pt. 2), # 16 Exhibit H -- Fidelity Deposition, # 17 Exhibit I -- Franklin Templeton Deposition, # 18 Exhibit J -- Goldman Sachs Deposition, # 19 Exhibit K -- Hartford Deposition, # 20 Exhibit L -- ING Deposition (pt. 1), # 21 Exhibit L -- ING Deposition (pt. 2), # 22 Exhibit M -- Janus Deposition, # 23 Exhibit N -- Morgan Stanley Deposition, # 24 Exhibit O -- Munder Deposition, # 25 Exhibit P -- Oppenheimer Deposition, # 26 Exhibit Q -- Pimco Deposition, # 27 Exhibit R -- Putnam Deposition, # 28 Exhibit S -- Seligman Deposition, # 29 Exhibit T -- Van Kampen Deposition, # 30 Exhibit U -- 8/3/01 Prudential email)(Huntington, Frank) (Entered: 11/24/2009)
|
|
Request |
|
|
|
| 81 |
Filed: 11/24/2009, Entered: None |
|
|
FILING ERROR - WRONG EVENT TYPE SELECT FROM MENU (Counter Statement to Rule 56.1) - RESPONSE in Opposition re: 74 MOTION for Summary Judgment. Rule 56.1 Fact Statement. Document filed by Securities and Exchange Commission. (Huntington, Frank) Modified on 11/25/2009 (jar). (Entered: 11/24/2009)
|
|
Request |
|
|
|
| 80 |
Filed: 11/24/2009, Entered: None |
|
|
MEMORANDUM OF LAW in Opposition re: 74 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 11/24/2009)
|
|
Request |
|
|
|
| 79 |
Filed: 10/27/2009, Entered: None |
|
|
CONSENT MOTION for Extension of Time to File Opposition to Motion for Summary Judgment. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Huntington, Frank) (Entered: 10/27/2009)
|
|
Request |
|
|
|
| 78 |
Filed: 10/13/2009, Entered: None |
|
|
RULE 56.1 STATEMENT. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 10/13/2009)
|
|
Request |
|
|
|
| 77 |
Filed: 10/9/2009, Entered: None |
|
|
FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU (Rule 56.1 Statement) - MEMORANDUM OF LAW in Support re: 74 MOTION for Summary Judgment.. Document filed by Frederick O'Meally. (Attachments: # 1 Supplement Rule 56.1 Statement)(Harris, Jonathan) Modified on 10/13/2009 (jar). (Entered: 10/09/2009)
|
|
Request |
|
|
|
| 76 |
Filed: 10/9/2009, Entered: None |
|
|
AFFIDAVIT of Jonathan Harris in Support re: 74 MOTION for Summary Judgment.. Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit 4 Part 1, # 5 Exhibit Exhibit 4 Part 2, # 6 Exhibit Exhibit 4 Part 3, # 7 Exhibit Exhibit 5, # 8 Exhibit Exhibit 6, # 9 Exhibit Exhibit 7, # 10 Exhibit Exhibit 8, # 11 Exhibit Exhibit 9, # 12 Exhibit Exhibit 10, # 13 Exhibit Exhibit 11, # 14 Exhibit Exhibit 12, # 15 Exhibit Exhibit 13, # 16 Exhibit Exhibit 14, # 17 Exhibit Exhibit 15, # 18 Appendix Appendix of Unpublished Cases)(Harris, Jonathan) (Entered: 10/09/2009)
|
|
Request |
|
|
|
| 75 |
Filed: 10/9/2009, Entered: None |
|
|
MEMORANDUM OF LAW in Support re: 74 MOTION for Summary Judgment.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 10/09/2009)
|
|
Request |
|
|
|
| 74 |
Filed: 10/9/2009, Entered: None |
Motion for Summary Judgment |
|
MOTION for Summary Judgment. Document filed by Frederick O'Meally. Responses due by 10/30/2009(Harris, Jonathan) (Entered: 10/09/2009)
|
|
Request |
|
|
|
| 73 |
Filed: 7/7/2009, Entered: None |
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ENDORSED LETTER addressed to Judge Laura Taylor Swain from Jonathan Harris dated 7/2/09 re: Defendants O'Meally and Ginder respectfully requests tha the remaining requirements of the Scheduling Order be stayed pending teh decision on the dispositive motion. ENDORSEMENT: The amended pretrial scheduling order previously entered in this case (docket entry #61) is amended as follows: paragraph 2c - expert witness discovery to be completed by August 21, 2009; Paragraph 3 - dispositive motions to be filed by October 9, 2009, with opposition papers to be filed 3 weeks later and reply papers 2 weeks after the opposition papers. The remaining aspects of the scheduling order are stayed. (Discovery due by 8/21/2009. Motions due by 10/9/2009.) (Signed by Judge Laura Taylor Swain on 7/6/09) (djc) (Entered: 07/07/2009)
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Request |
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| 72 |
Filed: 7/2/2009, Entered: None |
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NOTICE OF APPEARANCE by Jonathan Andrew Harris on behalf of Frederick O'Meally (Harris, Jonathan) (Entered: 07/02/2009)
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Request |
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| 71 |
Filed: 6/18/2009, Entered: None |
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ORDER THAT the Parties appear before the Court for a status conference on June 23, 2009, at 10:00 a.m. SO ORDERED ( Status Conference set for 6/23/2009 at 10:00 AM before Magistrate Judge Ronald L. Ellis.) (Signed by Magistrate Judge Ronald L. Ellis on 6/18/2009) (jmi) (Entered: 06/19/2009)
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Request |
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| 70 |
Filed: 6/18/2009, Entered: None |
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NOTICE of of Unavailability of Counsel. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 06/18/2009)
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Request |
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| 69 |
Filed: 4/30/2009, Entered: None |
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ORDER; that during a conference before the Court on February 10,2009, Counsel for defendants Frederick J. O'Meally and Jason N. Ginder sought leave of the Court to file a motion to compel non-party witness Prudential Equity Group f/k/a Prudential Securities, Inc. ("Prudential") to produce attorney-client privileged documents that Defendants claim are relevant to their defenses in this case. For the reasons stated on the record during that conference, the Court found that Defendants' showing of equitable considerations was insufficient to abrogate the attorney-client privilege as asserted by Prudential in this matter. Having reviewed additional documentation that counsel for defendant Ginder submitted for inspection in camera, the Court finds no basis to alter its determination of February 10, 2009. Defendants' application to compel Prudential to produce the attorney-client privileged documents at issue is therefore DENIED. (Signed by Magistrate Judge Ronald L. Ellis on 4/29/09) (pl) (Entered: 04/30/2009)
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Request |
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| 68 |
Filed: 3/30/2009, Entered: None |
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ENDORSED LETTER addressed to Magistrate Judge Ronald L. Ellis from Frank C. Huntington dated 3/27/09 re: Counsel write on behalf of the plaintiff and the two remaining defendants, Frederick O' Meally and Jason Ginder, to request that the status conference scheduled for 4/2/09 be cancelled. ENDORSEMENT: Conference adjourned to June 16, 2009 at 10 am. (Signed by Magistrate Judge Ronald L. Ellis on 3/30/09) (tro) (Entered: 03/30/2009)
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Request |
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| 67 |
Filed: 2/23/2009, Entered: None |
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FINAL JUDGMENT OF PERMANENT INJUNCTION #09,0320 in favor of Securities and Exchange Commission against Michael L. Silver in the amount of $ 175,000.00 as a civil penalty. (Signed by Judge Laura Taylor Swain on 2/23/09) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml) (Entered: 02/24/2009)
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Request |
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| 66 |
Filed: 2/23/2009, Entered: None |
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FINAL JUDGMENT OF PERMANENT INJUNCTION in favor of Securities and Exchange Commission against Brian P. Corbett. (Signed by Judge Laura Taylor Swain on 2/23/09) (Attachments: # 1 notice of right to appeal)(ml) (Entered: 02/24/2009)
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Request |
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| 65 |
Filed: 2/19/2009, Entered: None |
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SETTLEMENT AGREEMENT Consent of Defendant Michael L. Silver to Entry of Final Judgment. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order of Final Judgment)(Huntington, Frank) (Entered: 02/19/2009)
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Request |
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| 64 |
Filed: 2/19/2009, Entered: None |
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SETTLEMENT AGREEMENT Consent of Defendant Brian P. Corbett to Entry of Final Judgment. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order of Final Judgment)(Huntington, Frank) (Entered: 02/19/2009)
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Request |
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| 63 |
Filed: 2/11/2009, Entered: None |
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ORDER: It is hereby ordered that parties appear before the Court for a subsequent conference on 4/2/2009, at 10:00 a.m. (Signed by Magistrate Judge Ronald L. Ellis on 2/11/2009) (jpo) (Entered: 02/11/2009)
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Request |
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| 62 |
Filed: 12/2/2008, Entered: None |
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ORDER: Following a conference before the Court on December 2, 2008, IT IS HEREBY ORDERED THAT the Parties appear before the Court for a subsequent conference on February 10, 2009 at 10:00 a.m. (Signed by Magistrate Judge Ronald L. Ellis on 12/2/2008) (rw) (Entered: 12/04/2008)
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Request |
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| 61 |
Filed: 12/2/2008, Entered: None |
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AMENDED PRETRIAL SCHEDULING ORDER: All non-expert witness discovery in this matter shall be completed by April 30, 2009. Plaintiff shall make expert witness disclosures described in Rule 26(a)(2) of the Federal Rules of Civil Procedure no later than February 26, 2009. Defendant shall make such disclosures no later than March 30, 2009. All expert witness discovery shall be completed by April 30, 2009. Dispositive motions, if any, seeking resolution. in whole or in part, of the issues to be raised at trial shall be served and filed on or before June 4, 2009. Other motions, including but not limited to motions in limine relating to evidentiary issues, must be filed and served no later than August 4, 2009. Counsel for the parties shall confer preliminarily at least by July 21, 2009. Counsel for all parties shall confer and shall prepare, execute and file with the Court, with one courtesy copy provided to chambers of Judge Swain, no later than August 20, 2009, a single document captioned JOINT PRETRIAL STATEMENT. In a case to be tried before a jury, and no later than August 25, 2009. The parties are directed to appear before Judge Swain in Courtroom No. 17C, 500 Pearl Street, New York, NY 10007, for a final pretrial conference on September 4, 2009, at 2:00 p.m. (Signed by Magistrate Judge Ronald L. Ellis on 12/2/2008) (jfe) (Entered: 12/02/2008)
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Request |
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| 60 |
Filed: 11/18/2008, Entered: None |
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MOTION for Extension of Time to File Expert Disclosure. Document filed by Securities and Exchange Commission.(Huntington, Frank) (Entered: 11/18/2008)
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Request |
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| 59 |
Filed: 9/3/2008, Entered: None |
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ORDER denying 19 Motion to Dismiss; denying 23 Motion to Dismiss. (Signed by Judge Laura Taylor Swain on 9/3/08) (djc) (Entered: 09/03/2008)
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Request |
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| 58 |
Filed: 8/20/2008, Entered: None |
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AMENDED PRETRIAL SCHEDULING ORDER: All non-expert witness discovery in this matter shall be completed by 1/30/2009. All expert witness discovery shall be completed by 1/30/2009. Dispositive motion, if any, seeking resolution, in whole or in part, of the issues to be raised at the trial shall be served and filed on or before 3/6/2009. Other motions, including but not limited to motions in limine relating to evidentiary issues, must be filed and served no later than 5/6/2009, unless otherwise allowed by the Court for good cause shown. Counsel for all parties shall confer and shall prepare, execute and file with the Court, with one courtesy copy provided to chambers of Judge Swain, no later than 5/22/2009. The parties are directed to appear before Judge Swain in Courtroom 17C, 500 Pearl Street, New York, NY 10007, for a final pretrial conference on 6/5/2009 at 11:00 a.m. IT IS SO ORDERED. (Signed by Magistrate Judge Ronald L. Ellis on 8/20/2008) (tve) Modified on 10/10/2008 (tve). (Entered: 08/20/2008)
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Request |
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| 57 |
Filed: 1/22/2008, Entered: None |
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NOTICE of of Unavailability of Counsel. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 01/22/2008)
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Request |
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| 56 |
Filed: 1/7/2008, Entered: None |
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SCHEDULING ORDER: Discovery due by 10/31/2008, Motions due by 2/6/2009, Pretrial Order due by 2/24/2009, Final Pretrial Conference set for 3/6/2009 at 10:00 AM before Judge Laura Taylor Swain . IT IS SO ORDERED. (Signed by Magistrate Judge Ronald L. Ellis on 1/4/2008) (jmi) Modified on 3/26/2008 (jmi). (Entered: 01/07/2008)
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Request |
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| 55 |
Filed: 11/13/2007, Entered: None |
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STIPULATION AND ORDER SUBSTITUTING COUNSEL FOR DEFENDNAT MICHAEL L. SILVER; that Pryor Cashman LLP is hereby substituted for LeClairRyan, a Professional Corporation, as attorneys of record for Defendant Michael L. Silver in this action. (Signed by Judge Ronald L. Ellis on 11/13/07) (pl) (Entered: 11/13/2007)
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Request |
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| 54 |
Filed: 7/27/2007, Entered: None |
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ORDER: the parties shall appear for a conference with the Court on 11/29/07 at 10:00 a.m. (Signed by Judge Ronald L. Ellis on 7/27/07) (db) (Entered: 07/30/2007)
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Request |
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| 53 |
Filed: 7/11/2007, Entered: None |
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|
NOTICE OF CHANGE OF ADDRESS by Thomas J. McGonigle on behalf of Michael L. Silver. New Address: LeClair Ryan, 1101 Connecticut Ave., NW, Suite 600, Washington, DC, 20036, 202-659-6707. (McGonigle, Thomas) (Entered: 07/11/2007)
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Request |
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| 52 |
Filed: 7/11/2007, Entered: None |
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|
NOTICE OF CHANGE OF ADDRESS by Thomas J. McGonigle on behalf of Michael L. Silver. New Address: LeClair Ryan, 1101 Connecticut Ave., NW, Suite 600, Washington, DC, 20036, 202-659-6700. (McGonigle, Thomas) (Entered: 07/11/2007)
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Request |
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| 51 |
Filed: 6/29/2007, Entered: None |
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|
ENDORSED LETTER addressed to Judge Laura Taylor Swain from Laura E. Neish dated 6/26/07 re: Granting request of Counsel for Defendant, Jason N. Ginder, for the removal of the following attorneys from the Electronic Case Filing Notificaiton System w/ respect to this action: 1) C. Evan Stewart (CS-8482); and 2) Laura E. Neish (LN-0040). (Signed by Judge Laura Taylor Swain on 6/28/07) (ae) (Entered: 07/02/2007)
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Request |
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| 50 |
Filed: 7/2/2007, Entered: None |
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|
CERTIFICATE of Counsel by Laura Elizabeth Neish on behalf of Jason N. Ginder. Certificate of Service (Neish, Laura) (Entered: 07/02/2007)
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Request |
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| 49 |
Filed: 6/18/2007, Entered: None |
|
|
ORDER ADMITTING ATTORNEY PRO HAC VICE. Attorney Sarah L. Allgeier for Michael L. Silver admitted Pro Hac Vice. (Signed by Judge Laura Taylor Swain on 6/18/07) (jco) (Entered: 06/19/2007)
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Request |
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| 48 |
Filed: 6/18/2007, Entered: None |
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|
ORDER ADMITTING ATTORNEY PRO HAC VICE. Attorney Robert P. Howard, Jr for Michael L. Silver admitted Pro Hac Vice. (Signed by Judge Laura Taylor Swain on 6/18/07) (jco) (Entered: 06/19/2007)
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Request |
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| 47 |
Filed: 5/22/2007, Entered: None |
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|
NOTICE of and Consent to Substitution of Counsel and Order; that the law firm of Kramer Levin Naftalis & Frankel LLP is substituted for Zuckerman Spaeder LLP as counsel of record for Jason N. Ginder in this action. (Signed by Judge Laura Taylor Swain on 5/22/2007) (kkc) (Entered: 05/30/2007)
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Request |
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| 46 |
Filed: 5/25/2007, Entered: None |
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ORDER: the parties are to return for a pretrial conference on 7/26/07 at 4:15 p.m. (Signed by Judge Ronald L. Ellis on 5/24/07) (db) Modified on 5/31/2007 (db). (Entered: 05/25/2007)
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Request |
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| 45 |
Filed: 2/13/2007, Entered: None |
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|
AFFIDAVIT of Madeleine McGrath Blake in Opposition re: 19 MOTION to Dismiss.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 02/13/2007)
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Request |
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|
| Save 25% on a pre-paid one year subscription. |
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| 44 |
Filed: 2/6/2007, Entered: None |
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ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE: Initial Conference set for 5/22/2007 10:00 AM before Magistrate Judge Ronald L. Ellis, in courtroom 18D. (Signed by Judge Ronald L. Ellis on 2/6/07) (jco) (Entered: 02/07/2007)
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Request |
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| 43 |
Filed: 1/31/2007, Entered: None |
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|
STIPULATION: It is stipulated and agreed, by and among the undersigned counsel, that O'Meally may file his reply memorandum no later than Wednesday, January 31, 2007. The Commission's counsel has authorized O'Meally's counsel to prepare this stipulation and sign her name to it. So Ordered. (Signed by Judge Laura Taylor Swain on 1/31/07) (js) (Entered: 02/01/2007)
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Request |
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| 42 |
Filed: 1/31/2007, Entered: None |
|
|
ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE:... If such a consent order is not filed within the time provided,... Initial Conference set for 5/22/2007 10:00 AM before Magistrate Judge Ronald L. Ellis. (Signed by Judge Ronald L. Ellis on 1/30/2007) (jmi) (Entered: 02/01/2007)
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Request |
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| 41 |
Filed: 1/30/2007, Entered: None |
|
|
FIRST REPLY MEMORANDUM OF LAW in Support re: 23 FIRST MOTION to Dismiss the SEC's Complaint.. Document filed by Michael L. Silver. (McGonigle, Thomas) (Entered: 01/30/2007)
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Request |
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| 40 |
Filed: 1/30/2007, Entered: None |
|
|
REPLY AFFIDAVIT of PETER FLEMING JR. in Support re: 19 MOTION to Dismiss.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 01/30/2007)
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Request |
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| 39 |
Filed: 1/30/2007, Entered: None |
|
|
REPLY MEMORANDUM OF LAW in Support re: 19 MOTION to Dismiss.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 01/30/2007)
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Request |
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| 38 |
Filed: 1/16/2007, Entered: None |
|
|
STIPULATION; that the Commission may file its opposition to the motions to dismiss on or before Tuesday, 1/16/07, and that dfts OMeally and Silver may file their reply memoranda on or before Tuesday, 1/30/07. (Signed by Judge Laura Taylor Swain on 1/11/07) (pl) (Entered: 01/17/2007)
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Request |
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| 37 |
Filed: 1/17/2007, Entered: None |
|
|
AFFIDAVIT of Beth Lehman, Esq. in Opposition re: 19 MOTION to Dismiss.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A)(Huntington, Frank) (Entered: 01/17/2007)
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Request |
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| 36 |
Filed: 1/16/2007, Entered: None |
|
|
MEMORANDUM OF LAW in Opposition re: 23 FIRST MOTION to Dismiss the SEC's Complaint., 19 MOTION to Dismiss.. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 01/16/2007)
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Request |
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| 35 |
Filed: 1/12/2007, Entered: None |
|
|
ORDER: a settlement conference is set for 5/8/07 at 10:00 a.m. in courtroom 18D, 500 Pearl Street. (Signed by Judge Ronald L. Ellis on 1/12/07) (db) (Entered: 01/16/2007)
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Request |
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| 34 |
Filed: 1/3/2007, Entered: None |
|
|
LETTER addressed to Judge Laura T. Swain from Peter Fleming dated 12/29/06 re: dft O;Meally joins in the motion to dismiss filed by Michael Silver. Document filed by Frederick O'Meally.(dle, ) (Entered: 01/08/2007)
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Request |
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| 33 |
Filed: 1/4/2007, Entered: None |
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|
RULE 26 DISCLOSURE.Document filed by Brian P. Corbett.(O'Brien, Liam) (Entered: 01/04/2007)
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Request |
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| 32 |
Filed: 1/3/2007, Entered: None |
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|
CONSENT MOTION for Extension of Time to File Opposition to Motions to Dismiss. Document filed by Securities and Exchange Commission. (Huntington, Frank) (Entered: 01/03/2007)
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Request |
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| 31 |
Filed: 12/22/2006, Entered: None |
|
|
ANSWER to Complaint. Document filed by Brian P. Corbett.(O'Brien, Liam) (Entered: 12/22/2006)
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Request |
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| 30 |
Filed: 12/20/2006, Entered: None |
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|
CERTIFICATE OF SERVICE of Order granting Motion Seeking Relief From the Court for Untimely Filing Due to Technical Failure on December 20, 2006. Document filed by Michael L. Silver. (McGonigle, Thomas) (Entered: 12/20/2006)
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Request |
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| 29 |
Filed: 12/20/2006, Entered: None |
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|
NOTICE OF APPEARANCE by Liam O'Brien on behalf of Brian P. Corbett (O'Brien, Liam) (Entered: 12/20/2006)
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Request |
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| 28 |
Filed: 12/20/2006, Entered: None |
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NOTICE OF APPEARANCE by Liam O'Brien on behalf of Brian P. Corbett (O'Brien, Liam) (Entered: 12/20/2006)
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Request |
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| 27 |
Filed: 12/20/2006, Entered: None |
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|
MEMORANDUM ENDORSED granting 24 Motion for Leave to File Document. (Signed by Judge Laura Taylor Swain on 12/19/06) (cd, ). copies sent by chambers (Entered: 12/20/2006)
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Request |
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| 26 |
Filed: 12/20/2006, Entered: None |
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|
STIPULATION that the submissiondate for defts O'Meally and Silver to answer the complaint is extended to 12/15/06. 12/15/06 for defts' motions and supporting memoranda; 1/8/07 responses; 1/22/07 defts' replies. (Signed by Judge Laura Taylor Swain on 12/18/06) (cd, ) (Entered: 12/20/2006)
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Request |
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| 25 |
Filed: 12/20/2006, Entered: None |
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|
CERTIFICATE OF SERVICE of Michael L. Silver's Motion to Dismiss and related documents as well as Motion Seeking Relief From the Court for Untimely Filing Due to Technical Failure. Document filed by Michael L. Silver. (McGonigle, Thomas) (Entered: 12/20/2006)
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Request |
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| 24 |
Filed: 12/16/2006, Entered: None |
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FIRST MOTION for Leave to File Untimely Filing Due to Technical Difficulty Notice and Memorandum in Support of Michael L. Silver's Motion to Dismiss. Document filed by Michael L. Silver. (McGonigle, Thomas) (Entered: 12/16/2006)
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Request |
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| 23 |
Filed: 12/16/2006, Entered: None |
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|
FIRST MOTION to Dismiss the SEC's Complaint. Document filed by Michael L. Silver. Responses due by 1/8/2007 Return Date set for 1/15/2007 11:59 PM. (McGonigle, Thomas) (Entered: 12/16/2006)
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Request |
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| 22 |
Filed: 12/16/2006, Entered: None |
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|
NOTICE of Defendant Michael L. Silver's Motion to Dismiss. Document filed by Michael L. Silver. (McGonigle, Thomas) (Entered: 12/16/2006)
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Request |
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| 21 |
Filed: 12/15/2006, Entered: None |
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|
MEMORANDUM OF LAW in Support re: 19 MOTION to Dismiss.. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 12/15/2006)
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Request |
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| 20 |
Filed: 12/15/2006, Entered: None |
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|
AFFIDAVIT of JONATHAN HARRIS in Support re: 19 MOTION to Dismiss.. Document filed by Frederick O'Meally. (Attachments: # 1 Exhibit A-March 9, 2005 Letter from Jon Harris to SEC)(Harris, Jonathan) (Entered: 12/15/2006)
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Request |
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| 19 |
Filed: 12/15/2006, Entered: None |
Motion to Dismiss |
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MOTION to Dismiss. Document filed by Frederick O'Meally. Responses due by 1/8/2007 (Harris, Jonathan) (Entered: 12/15/2006)
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Request |
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| 18 |
Filed: 12/7/2006, Entered: None |
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|
PRETRIAL SCHEDULING ORDER: Amended Pleadings due by 2/2/2007. Joinder of Parties due by 2/2/2007. Dispositive Motions due by 3/7/2008. All Non-Expert Witness and Expert Witness Discovery due by 1/31/2008. Final Pretrial Conference set for 6/6/2008 at 10:00 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 12/4/2006) (lb, ) (Entered: 12/07/2006)
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Request |
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| 17 |
Filed: 12/7/2006, Entered: None |
|
|
ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General pretrial (includes scheduling, discovery, non-dispositive pretrial motions and settlement). Referred to Magistrate Judge Ronald L. Ellis. (Signed by Judge Laura Taylor Swain on 12/4/2006) (lb, ) (Entered: 12/07/2006)
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Request |
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| 16 |
Filed: 12/5/2006, Entered: None |
|
|
NOTICE OF APPEARANCE by Jonathan Andrew Harris on behalf of Frederick O'Meally (Harris, Jonathan) (Entered: 12/05/2006)
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Request |
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| 15 |
Filed: 11/28/2006, Entered: None |
|
|
CERTIFICATE OF SERVICE of Preliminary Pre-Trial Statement served on Liam O'Brien, Esq. and Frank C. Huntington, Esq. on November 27, 2006. Service was made by Mail. Document filed by Frederick O'Meally. (Harris, Jonathan) (Entered: 11/28/2006)
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Request |
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| 14 |
Filed: 11/27/2006, Entered: None |
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|
PRELIMINARY PRETRIAL STATEMENT. Document filed by Frederick O'Meally.(Harris, Jonathan) (Entered: 11/27/2006)
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Request |
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| 13 |
Filed: 11/16/2006, Entered: None |
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|
STIPULATION: It is hereby stipulated and agreed by and among the undersigned counsel for the parties hereto, that the submission date for Defendant Michael L. Silver to respond to the Commission's is extended to December 8, 2006, and it is hereby further stipulated and agreed that this stipulation may be executed in counterparts exchanged by facsimile. (Signed by Judge Laura Taylor Swain on 11/15/06) (js, ) (Entered: 11/16/2006)
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Request |
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| 12 |
Filed: 11/14/2006, Entered: None |
|
|
NOTICE of Jury Demand. Document filed by Jason N. Ginder. (Stewart, Charles) (Entered: 11/14/2006)
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Request |
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| 11 |
Filed: 11/6/2006, Entered: None |
|
|
ANSWER to Complaint. Document filed by Jason N. Ginder.(Stewart, Charles) (Entered: 11/06/2006)
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Request |
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| 10 |
Filed: 10/30/2006, Entered: None |
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|
STIPULATION that the submission date for deft Jason Ginder's Answer is adjourned to 11/6/06. (Signed by Judge Laura Taylor Swain on 10/27/06) (cd, ) Additional attachment(s) added on 10/31/2006 (cd, ). (Entered: 10/31/2006)
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Request |
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| 9 |
Filed: 10/24/2006, Entered: None |
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|
STIPULATION: The submission date for defendant Michael L. Silver's answer is extended to 11/29/2006. (Signed by Judge Laura Taylor Swain on 10/23/2006) (lb, ) (Entered: 10/24/2006)
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Request |
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| 8 |
Filed: 10/20/2006, Entered: None |
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|
STIPULATION: the time for defendant Brian Corbett's time to answer is adjourned to 11/6/06. (Signed by Judge Laura Taylor Swain on 10/19/06) (db, ) (Entered: 10/20/2006)
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Request |
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| 7 |
Filed: 10/19/2006, Entered: None |
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|
NOTICE OF APPEARANCE by Thomas J. McGonigle on behalf of Michael L. Silver (McGonigle, Thomas) (Entered: 10/19/2006)
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Request |
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| 6 |
Filed: 10/18/2006, Entered: None |
|
|
ORDER granting 5 Motion for Frank C. Huntington, Stuart P. Feldman and Beth Lehman to Appear Pro Hac Vice . (Signed by Judge Laura Taylor Swain on 10/16/2006) (lb, ) (Entered: 10/18/2006)
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Request |
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| 5 |
Filed: 10/12/2006, Entered: None |
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MOTION for Frank C. Huntington, Stuart P. Feldman and Beth Lehman to Appear Pro Hac Vice. Document filed by Securities and Exchange Commission. (jco, ) (Entered: 10/13/2006)
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Request |
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| 4 |
Filed: 9/12/2006, Entered: None |
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NOTICE OF APPEARANCE by Charles Evan Stewart on behalf of Jason N. Ginder (Stewart, Charles) (Entered: 09/12/2006)
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Request |
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| 3 |
Filed: 9/12/2006, Entered: None |
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NOTICE OF APPEARANCE by Laura Elizabeth Neish on behalf of Jason N. Ginder (Neish, Laura) (Entered: 09/12/2006)
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Request |
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| 2 |
Filed: 9/1/2006, Entered: None |
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ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE: Initial Conference set for 12/4/2006 04:30 PM before Judge Laura Taylor Swain, in courtroom 17C, 500 Pearl Street. (Signed by Judge Laura Taylor Swain on 8/31/06) (jco, ) (Entered: 09/05/2006)
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Request |
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| 1 |
Filed: 8/28/2006, Entered: None |
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COMPLAINT against Frederick O'Meally, Jason N. Ginder, Michael L. Silver, Brian P. Corbett. Document filed by Securities and Exchange Commission.(laq, ) Additional attachment(s) added on 9/5/2006 (jco, ). (Entered: 09/05/2006)
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Request |
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| 134 |
Filed: 10/21/2011, Entered: None |
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ORDER: granting in part and denying in part 125 Motion in Limine. Plaintiff Securities and Exchange Commission (the "SEC") has moved to exclude as inadmissible hearsay the prior testimony of three categories of witnesses. For the followin g reasons, Plaintiffs motion is granted with respect to the witnesses who testified at the 2006 arbitration proceedings and is denied in all other respects. Plaintiffs motion to exclude testimony taken at that proceeding, insofar as it is offered for the truth of the matter asserted, is granted. Plaintiffs motion is denied in all other respects without prejudice to renewal if and when Defendant seeks to proffer prior testimony predicated upon the unavailability of a particular witness or witnesses. (Signed by Judge Laura Taylor Swain on 10/21/2011) (jfe)
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