pdf_icon 431 12/27/2011 ORDER approving [420] Application for Compensation for Services Rendered by Travis Besaw & Kershner LLP. IT IS THEREFORE ORDERED that the Application is approved such that compensation for services rendered between February 27, 2011 and September 24, 2011 in the amount of $29,885.37 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
pdf_icon 430 12/27/2011 ORDER approving [421] Application for Compensation of Services Rendered by David J. Boland, CPA CTP. IT IS THEREFORE ORDERED that the Application is approved such that compensation for services rendered (i) through August 29, 2011 with regard to White Glove Cruises, LLC in the amount of $1,725.00 and (ii) through October 5, 2011 with regard to TDM Cable Funding LLC and TDMM Cable Funding LLC in the amount of $10,100.00 in fees and $789.99 in expenses, for a grand total of $12,614.99 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
pdf_icon 429 12/27/2011 ORDER approving [422] Application for Attorney Fees by Phillips Lytle LLP. IT IS THEREFORE ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between August 1, 2010 and December 31, 2010 in the amount of $121,456.64 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle LLP during the Second Interim Period in the amount of $9,324.23 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
pdf_icon 428 12/22/2011 STATUS REPORT by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 427 12/9/2011 NOTICE by William J Brown Notice of Receiver’s Intent to Abandon and Destroy Certain Records (Attachments: # (1) Schedules 1 and 2, # (2) Certificate of Service)(Brown, William)
pdf_icon 426 11/22/2011 NOTICE by William J Brown re [337] Order, [276] Order,,, Notice of Closing of Sale of McGinn Residence (Brown, William)
pdf_icon 425 11/16/2011 STATUS REPORT Second Written Report of the Receiver by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B)(Brown, William)
pdf_icon 424 11/16/2011 MEMORANDUM-DECISION and ORDER re [338] Plaintiff SEC’s Motion to Compel non-parties Martin S. Finn and the law firm of Lavelle & Finn, LLP to comply with the subpoenas seeking production of the records of Defendants David L. Smith and Lynn A. Smith. IT IS HEREBY ORDERED that the SEC’s motion to compel is: 1) GRANTED as to Documents 7-11, 13, 16, 17, 18-21, 25, 27, 29, 57 (with redactions) and 83 (with redactions), and Lavelle & Finn shall produce copies of such documents to the SEC on or before 11/30/2011 unless otherwise ordered; 2) DENIED as to all other documents at issue; 3) GRANTED as to the deposition subpoena ad testificandum to Martin S. Finn with the scope of his testimony limited consistent with this opinion and the documents ordered disclosed; and 4) Counsel for Lavelle & Finn shall contact Chambers to arrange for the return of the documents submitted ex parte, in camera review and counsel for Lavelle & Finn shall maintain such documents pending completion of the litigation of this action or an order of any court of comptetent jurisdiction. Signed by Magistrate Judge David R. Homer on 11/15/2011. (mab)
pdf_icon 423 11/15/2011 Non-Party Letters from Monica and Peter Check. (mab)
pdf_icon 422 11/14/2011 Second MOTION for Attorney Fees AMENDED Second Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 Reply to Response to Motion due by 12/5/2011. filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A-Declaration, # (3) Exhibit(s) B, # (4) Exhibit(s) B (cont’d), # (5) Exhibit(s) B (cont’d), # (6) Proposed Order/Judgment, # (7) Certificate of Service) (Brown, William)
pdf_icon 421 11/14/2011 Second MOTION Compensation for Services Rendered Notice of Second Interim Application of David J. Boland, CPA CTP for Approval of Fees and Expenses Regarding White Glove Cruises, LLC, TDM Cable Funding LLC and TDMM Cable Funding LLC Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 420 11/14/2011 Second MOTION Compensation for Services Rendered Notice and Motion of Second Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s), # (3) Declaration in Support, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 419 11/14/2011 Second MOTION for Attorney Fees Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 Reply to Response to Motion due by 12/5/2011. filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) B, # (3) Exhibit(s) B (cont’d), # (4) Exhibit(s) B (cont’d), # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 418 11/10/2011 ORDER granting [417] Letter Request for an extension of the discovery deadline. Discovery is hereby extended to 12/16/2011. Signed by Magistrate Judge David R. Homer on 11/9/2011. (mab)
pdf_icon 417 11/9/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of discovery cut-off from December 1, 2011 to December 16, 2011 submitted to Judge Homer. (Stoelting, David)
416 11/3/2011 SEALED EX PARTE LETTER BRIEF of David Smith re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
415 11/3/2011 SEALED EX PARTE LETTER BRIEF of Lynn Smith re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
pdf_icon 414 10/31/2011 ORDER re [402] Letter Request by non-party witness Thomas J. Urbelis. A telephone conference was held on 10/28/2011 with counsel for the SEC and for Urbelis. IT IS HEREBY ORDERED that deeming Urbelis’ letter as a motion to quash or modify the subpoena served upon him by the SEC, that motion is DENIED in all respects except that the deposition shall be limited in length to four hours and the production of documents shall be limited to those not previously produced to the SEC by Urbelis. Signed by Magistrate Judge David R. Homer on 10/28/2011. (mab)
pdf_icon 413 10/28/2011 Non-Party Letter from Lesley Levy. (mab)
10/28/2011 USCA Case Number 11-4238 for [400] Notice of Appeal filed by Lauren T. Smith, Geoffrey R. Smith. (cbm )
10/28/2011 USCA Case Number is 11-3848 (Member) for [383] Appeal filed by David M. Wojeski. (cbm )
10/28/2011 USCA Case Number is 11-3851 (Member) for [381] Appeal filed by Jill A. Dunn. (cbm )
10/28/2011 USCA Case Number is 11-4238 (Member) for [380] Appeal filed by Lauren T. Smith, Geoffrey R. Smith. (cbm )
10/28/2011 USCA Case Number is 11-3843 (LEAD) for [379] Appeal filed by Lynn A. Smith. (cbm )
10/28/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Kevin McGrath, Esq., Michael Murphy, Esq. and Thomas Peisch, Esq. participate in a Telephonic Discovery Hearing held on the record on 10/28/2011; Request by Michael Murphy, Esq. to quash subpoena of Mr. Urbelis is DENIED; Deposition shall go forward in Boston, MA and will not exceed 4 hours. (FTR/CRD Robin Hinman) (rzh, )
412 10/27/2011 SEALED RESPONSE to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
411 10/27/2011 SEALED RESPONSE to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
410 10/26/2011 ***SEALED DOCUMENT - Letter from Receiver William J. Brown. (mab)
pdf_icon 409 10/25/2011 Non-Party Letter from Elinor and Russell Laustrup. (mab)
pdf_icon 408 10/25/2011 ORDER regarding the conference held on 10/21/2011. IT IS HEREBY ORDERED that 1) LaValle & Finn shall provide copies of its "corporate file" as it relates to the subpoena from Plaintiff to the Receiver as well as to Defendants David Smith and Lynn Smith with such copies to be provided forthwith; and 2) The deadline for Defendants David Smith and Lynn Smith to serve any supplemental privilege logs or pleadings regarding Plaitniff’s subpoena to LaValle & Finn is hereby extended to 10/26/2011. Signed by Magistrate Judge David R. Homer on 10/25/2011. (mab)
pdf_icon 407 10/24/2011 AFFIDAVIT of Service re copy of the file produced pursuant to Order of the Court pertaining to McGinn Smith & Company, Inc. upon William J. Brown on 10/20/2011. (mab)
10/19/2011 Minute Entry for proceedings held re [338] before Magistrate Judge David R. Homer Discovery Hearing was held on 10/19/2011 with David Stoelting for plaintiff; William Brown, Receiver; and Scott Ely on behalf of defendants. Counsel for LaValle & Finn did not appear for the conference and is a necessary party to the issue of the motion to compel. The conference was rescheduled to 10/21/2011 at 9:00 a.m. A written order was entered. (lah, )
pdf_icon 406 10/19/2011 ORDER regarding the hearing that was ordered [405] to be held on 10/19/2011 at 9:00 AM. IT IS HEREBY ORDERED that 1) The hearing is adjourned to 10/21/2011 at 9:00 AM; 2) Counsel for LaValle & Finn, William Keniry, Esq., shall appear in person for the hearing; and 3) A copy of this order shall be served upon counsel for LaValle & Finn by electronic mail at the address listed for Mr. Keniry in his attorney registration information, by telefax to the number listed in Mr. Keniry’s attorney registration information and by regular mail. Signed by Magistrate Judge David R. Homer on 10/19/2011. (mab)
10/14/2011 TEXT NOTICE: A Telephone Conference re [402] request from Michael Murphy, Esq. opposing SEC’s request to redepose non-party Urbelis. A telephone conference will be held with on 10/28/2011 at 9:00 AM with Magistrate Judge David R. Homer. Only counsel for the SEC and Urbelis need participate. Chambers will initiate the conference call. (lah, )
pdf_icon 405 10/14/2011 ORDER. IT IS HEREBY ORDERED that 1) The deadline for Defendants David Smith, Timothy McGinn and Lynn Smith to file supplemental pleadings regarding the production of the law firm’s records is extended to 10/24/2011; and 2) A conference will be held on 10/19/2011 at 9:00 AM in the courtroom of Magistrate Judge David R. Homer to address any remaining issues of consent and waiver to the production of the law firm’s records. All parties except counsel for Plaintiff and Receiver William Brown shall appear in person. Counsel for Plaintiff and Receiver William Brown may appear by telephone. Signed by Magistrate Judge David R. Homer on 10/13/2011. (mab)
pdf_icon 404 10/12/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [400] Notice of Appeal. (mab)
pdf_icon 403 10/12/2011 Letter Request/ Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting discovery conference pursuant to Local Rule 7.1(d)(3) submitted to Judge HOMER. (Murphy, Michael)
pdf_icon 402 10/12/2011 Letter Request/ Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting discovery conference pursuant to Local Rule 7.1(d)(3) submitted to Judge Sharpe. (Murphy, Michael)
401 10/12/2011 ***SEALED DOCUMENT Status Report re [396] Order. (mab)
pdf_icon 400 10/7/2011 NOTICE OF APPEAL as to [397] Order on Motion to Stay, by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. Filing fee $ 455, receipt number 0206-1989291. (Featherstonhaugh, James)
pdf_icon 399 10/7/2011 JUDGMENT. IT IS HEREBY ORDERED, ADJUDGED and DECREED that L. Smith is liable for attorney’s fees and costs in the amount of $51,232.00. L. Smith shall satisfy the obligation in this Judgment by paying $51,232.00 by certified check, bank cashier’s check or US postal money order payable to the Securities and Exchange Commission. The claims against L. Smith in the Amended Complaint as a defendant/relief defendant are not resolved by this Judgment. IT IS FURTHER ORDERED, ADJUDGED and DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment and for all other purposes. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
pdf_icon 398 10/7/2011 ORDER DIRECTING PAYMENT OF MONEY TO RECEIVER. IT IS HEREBY ORDERED, ADJUDGED and DECREED that L. Smith is liable for disgorgement of the amount set forth in this Order and shall satisfy this obligation by paying this amount to the Receiver, William Brown, together with a cover letter identifying L. Smith as a defendant/relief defendant in this action. IT IS FURTHER ORDERED, ADJUDGED and DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Order and for all other purposes. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
pdf_icon 397 10/7/2011 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) Jill A. Dunn’s [352] motion for a stay pending appeal is DENIED; 2) The Trust’s [376] motion for a stay pending appeal is DENIED; 3) The SEC’s [390] motion for entry of an order and judgment as to Lynn Smith is GRANTED and Lynn Smith’s request [392] to withhold entry of such order and judgment is DENIED. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
pdf_icon 396 10/6/2011 ORDER regarding the motion of Plaintiff SEC for an order compelling Defendants to produce records of the LaValle & Finn law firm. IT IS HEREBY ORDERED that 1) The LaValle & Finn law firm shall respond to written requests of Defendants for clarification no later than 10/7/2011; and 2) Defendants are granted until 10/14/2011 to file any supplemental pleadings which they deem necessary in light of the response they receive from the LaValle & Finn law firm. Signed by Magistrate Judge David R. Homer on 10/5/2011. (mab)
10/6/2011 TEXT NOTICE. A Telephone Conference regarding the usefulness of a settlement conference will be held on OCTOBER 25, 2011 at 09:00 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
10/6/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Conference was held on 10/4/2011 with David Stoelting and Kevin McGrath appearing for plaintiff by telephone, and William Dreyer and Scott Ely, appearing for defendants in person. The attorneys advised that the SEC had requested certain documents in furtherance of settlement discussions which documents have been provided. The SEC requested additional time to review the documents. A further telephone conference will be held on 10/25/2011 to determine with usefulness of a settlement conference. (lah, )
10/5/2011 TEXT ORDER re [395] Non-Party Letter Brief. The relief sought in counsel’s letter for the scheduling of a conference to initiate SIPC proceedings is DENIED. Counsel and his clients are non-parties to this action. Signed by Magistrate Judge David R. Homer on 10/5/2011. (lah, )
pdf_icon 395 10/4/2011 Non-Party Letter from Timothy J. O’Connor, Esq. (mab)
pdf_icon 394 10/4/2011 LETTER BRIEF Statement of Receiver With Respect to Partial Satisfaction of Disgorgement Obligations by William J Brown. (Brown, William)
pdf_icon 393 10/4/2011 MEMORANDUM OF LAW re [376] Motion to Stay, in Opposition to Trust’s Motion for Stay filed by Securities and Exchange Commission. (McGrath, Kevin)
pdf_icon 392 10/3/2011 RESPONSE to Motion re [390] Letter Motion from David Stoelting enclosing proposed Judgment and proposed Order re defendant-relief defendant Lynn Smith’s payment obligations arising from Memorandum-Decision and Order dated July 20, 2011 for Securities and Exchange Commission r filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Lynn A. Smith. (Featherstonhaugh, James)
pdf_icon 391 9/30/2011 RESPONSE TO LETTER BRIEF filed by Securities and Exchange Commission as to [389] Letter regarding SIPA coverage. (Stoelting, David)
pdf_icon 390 9/28/2011 Letter Motion from David Stoelting enclosing proposed Judgment and proposed Order re defendant-relief defendant Lynn Smith’s payment obligations arising from Memorandum-Decision and Order dated July 20, 2011 for Securities and Exchange Commission requesting entry of proposed Order and proposed Judgment submitted to Judge Homer. (Attachments: # (1) Proposed Order/Judgment, # (2) Proposed Order/Judgment)(Stoelting, David)
pdf_icon 389 9/27/2011 Non-Party Letter from Vincent R. Gentile. (mab)
pdf_icon 388 9/26/2011 Letter Motion from Benjamin Zelermyer, Esq. for Jill A. Dunn requesting clarification of prior text only orders entered August 11 and 22, 2011 submitted to Judge Sharpe. (Zelermyer, Benjamin)
pdf_icon 387 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [383] Notice of Appeal. (mab)
pdf_icon 386 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [381] Notice of Appeal. (mab)
pdf_icon 385 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [380] Notice of Appeal. (mab)
pdf_icon 384 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [379] Notice of Appeal. (mab)
pdf_icon 383 9/16/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by David M. Wojeski. Filing fee $ 455, receipt number 0206-1970622. (Knopf, Fred)
pdf_icon 382 9/15/2011 CERTIFICATE OF SERVICE by Jill A. Dunn of Notice of Appeal (Zelermyer, Benjamin)
pdf_icon 381 9/15/2011 NOTICE OF APPEAL by Jill A. Dunn. Filing fee $ 455, receipt number 0206-1970271. (Zelermyer, Benjamin)
pdf_icon 380 9/14/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith. Filing fee $ 455, receipt number 0206-1968784. (Featherstonhaugh, James)
pdf_icon 379 9/14/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by Lynn A. Smith. Filing fee $ 455, receipt number 0206-1968768. (Featherstonhaugh, James)
pdf_icon 378 9/14/2011 MANDATE of USCA, issued 8/29/11, as to [128] and [279] appeals filed by Lynn Smith, and [296] Appeal filed by Lauren and Geoffrey Smith: affirming judgment of the district court in accordance w/attached slip opinion. (cbm )
9/13/2011 TEXT NOTICE: A Telephone Conference regarding the usefulness of a settlement conference will be held on OCTOBER 4, 2011 at 10:30 AM with Magistrate Judge David R. Homer. The teleconference will be held with SEC counsel, William Dreyer on behalf of all defendants except Lynn Smith, and Scott Ely or James Featherstonhaugh on behalf of defendant Lynn Smith. Chambers will initiate the conference call.(lah, )
9/13/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A status conference was held on 9/6/2011 with counsel for all parties. The attorneys reported on the progress of discovery to date. A further telephone conference will be held on 10/4/2011 at 10:30 AM to discuss whether a settlement conference would be useful. (lah, )
pdf_icon 377 9/13/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [376] MOTION to Stay (Featherstonhaugh, James)
pdf_icon 376 9/13/2011 MOTION to Stay Motion Hearing set for 10/20/2011 09:30 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 10/3/2011 filed by Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer. (Featherstonhaugh, James)
pdf_icon 375 9/12/2011 REPLY to Response to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 374 9/1/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [373] Memorandum of Law in Opposition to SEC’s Motion to Compel (Featherstonhaugh, James)
pdf_icon 373 9/1/2011 MEMORANDUM OF LAW re [338] Motion to Compel,, In Opposition filed by Lynn A. Smith(Relief Defendant). (Featherstonhaugh, James)
pdf_icon 372 8/30/2011 ORDER re [365] Motion of William J. Brown, as Receiver, for an Order Approving Settlement with Security Systems, Inc. IT IS HEREBY ORDERED that the motion is approved. Signed by Magistrate Judge David R. Homer on 8/30/2011. (mab)
8/30/2011 TEXT NOTICE. Any party wishing to appear by telephone for the Discovery Status Conference set for September 6, 2011 at 10:00 AM with Magistrate Judge Homer may do so. Please use the dial-in teleconferencing number provided to you by email from plaintiff SEC. Please contact chambers if you have any questions.(lah, )
pdf_icon 371 8/24/2011 RESPONSE TO LETTER BRIEF filed by Jill A. Dunn as to [370] Letter Request/Motion filed by Securities and Exchange Commission. (Zelermyer, Benjamin)
8/22/2011 Text Only Order - The plaintiffs request (Dkt. No. 370) is granted. The Appeals of Magistrate Judge Decision (Dkt. Nos. 351, 355-357) are DENIED for this court lacks jurisdiction to consider any of the Notices of Objections/Appeal from Judge Homers July 20 Memorandum-Decision and Order for the reasons set forth in its August 11 Order and direct that any appeal from the July 20 Memorandum-Decision and order are to be filed with the Court of Appeals. IT IS SO ORDERED. Issued by Judge Gary L. Sharpe on 8/22/2011. (jel, )
pdf_icon 370 8/19/2011 Letter Motion from Kevin McGrath for Securities and Exchange Commission requesting Clarification of Court’s August 11 Order Regarding Lack of Jurisdiction to Hear Objections/Appeals from July 20 MDO submitted to Judge Sharpe. (McGrath, Kevin)
369 8/17/2011 ***SEALED DOCUMENT Non-Party Letter - contains confidential financial information. (mab)
pdf_icon 368 8/17/2011 ORDER Setting Hearing on [365] MOTION Approval of a Settlement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. Motion Hearing set for 8/30/2011 at 9:30 AM in Albany, NY before Magistrate Judge David R. Homer. Signed by Magistrate Judge David R. Homer on 8/17/2011. (mab)
8/17/2011 Set Deadline: Pursuant to the [367] Order, non-parties Martin Finn and LaVelle & Finn are to submit to Chambers documents for ex parte in camera review on or before 8/31/2011. (mab)
pdf_icon 367 8/17/2011 ORDER regarding [338] Plaintiff SEC’s Motion to Compel. IT IS HEREBY ORDERED that: 1) On or before 8/19/2011, the non-parties and Defendants David and Lynn Smith shall serve uopn Plaintiff a privilege log; 2) On or before 8/31/2011, non-parties Martin Finn and LaVelle & Finn shall submit to Chambers for ex parte in camera review the documents which are responsive to the subpoenas as issue on this motion; 3) On or before 8/31/2011, David and Lynn Smith shall file any opposition or presentation as set forth in this Order; 4) On or before 9/9/2011, Plaintiff may file reply papers to the publicly filed papers of either Defendant; and 5) The motion will be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 8/16/2011. (mab)
pdf_icon 366 8/17/2011 LETTER BRIEF Letter requesting hearing date on Motion to Approve Settlement Agreement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. (Docket No. 365) by William J Brown. (Brown, William)
8/17/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. Conferences were held on-the-record on 8/10 and 8/12/2011 with David Stoelting for plaintiff, counsel for non-parties, and Scott Ely for defendants David and Lynn Smith to establish procedures for the resolution of the motion to compel. [338]. A briefing schedule was set. A written order will be entered. (lah, )
pdf_icon 365 8/17/2011 MOTION Approval of a Settlement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. filed by William J Brown. (Attachments: # (1) Exhibit(s) A&B) Motions referred to David R. Homer. (Brown, William)
pdf_icon 364 8/12/2011 ORDER granting [363] Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting Setting August 29, 2011 as Plaintiff’s date to Respond to Jill Dunn’s Notice of Objections/Appeal. Motion Hearing set for 9/15/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. Response to Motion due by 8/29/2011. Signed by Judge Gary L. Sharpe on 8/12/2011. (jel, )
8/12/2011 Text Only Order - On August 1, 2011, non-party Jill Dunn, Esq., filed an application for an order to show cause seeking an Order staying the sanctions imposed by the Memorandum-Decision and Order of United States Magistrate Judge David R. Homer filed July 20, 2011. See Dkt. Nos. 351-353. On August 10, 2011, the SEC filed an opposition to attorney Jill Dunns request for a stay of sanctions. The court concurs with the rationale stated by the SEC concerning the courts lack of jurisdiction. Accordingly, for the reasons articulated in the SECs opposition (Dkt. 362), any appeal should be directed to the Court of Appeals. Issued by Judge Gary L. Sharpe on 8/11/2011. (jel, )
pdf_icon 363 8/11/2011 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting Setting August 29, 2011 as Plaintiff’s date to Respond to Jill Dunn’s Notice of Objections/Appeal submitted to Judge Gary L. Sharpe. (McGrath, Kevin)
pdf_icon 362 8/10/2011 RESPONSE TO ORDER TO SHOW CAUSE filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 361 8/4/2011 LETTER BRIEF Regarding Florida Property by William J Brown. (Brown, William)
pdf_icon 360 8/4/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [357] APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, (Featherstonhaugh, James)
pdf_icon 359 8/4/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [356] APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, (Featherstonhaugh, James)
pdf_icon 358 8/4/2011 CONSENT ORDER Vacating Stay as to Certain Real Property. The Court hereby Orders that the stay applicable to the property is hereby vacated without the necessity of further action by the County of Albany. Signed by Magistrate Judge David R. Homer on 8/4/2011. (mab)
pdf_icon 357 8/4/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Featherstonhaugh, James)
pdf_icon 356 8/4/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Featherstonhaugh, James)
pdf_icon 355 8/3/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by David M. Wojeski re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Knopf, Fred)
pdf_icon 354 8/3/2011 CERTIFICATE OF SERVICE by Jill A. Dunn Notice of Objections/Appeal, Objections and Memorandum of Law in Support of Objections, Proposed Order to Show Cause and Corrected Declaration dated August 1, 2011 (Zelermyer, Benjamin)
8/1/2011 Text Only Order - On August 1, 2011, non-party Jill Dunn, Esq., filed an application for an order to show cause seeking an Order staying the sanctions imposed on Dunn by the Memorandum-Decision and Order of United States Magistrate Judge David R. Homer filed July 20, 2011. See Dkt. Nos. 351-353. Based on Dunns application, it is hereby ORDERED, that the plaintiff is to electronically file its response to Dunns application for an order staying the sanctions by 12:00 p.m. on Wednesday, August 10, 2011. IT IS FURTHER ORDERED, that upon receipt of all papers, notice will be sent to the parties advising of the return date. IT IS FURTHER ORDERED, that the Clerk is directed to serve a copy of this text order upon all parties at the addressed listed on the docket in accordance with the courts local rules. Response to Motion due by 12:00 p.m. on 8/10/2011. Signed by Judge Gary L. Sharpe on 8/1/2011. (jel, )
pdf_icon 353 8/1/2011 Amended MOTION for Temporary Restraining Order Staying Sanctions Imposed by Memorandum-Decision and Order Filed July 20, 2011 by Jill A. Dunn. (Attachments: # (1) Declaration of Benjamin Zelermyer, Esq. (corrected))(Zelermyer, Benjamin)
pdf_icon 352 8/1/2011 Emergency MOTION for Temporary Restraining Order Staying Sanctions Imposed by Memorandum-Decision and Order Filed July 20, 2011 by Jill A. Dunn. (Attachments: # (1) Declaration of Benjamin Zelermyer, Esq.)(Zelermyer, Benjamin)
pdf_icon 351 8/1/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Jill A. Dunn Motion Hearing set for 9/1/2011 09:00 AM in Albany before Judge Gary L. Sharpe (Attachments: # (1) Memorandum of Law)(Zelermyer, Benjamin)
pdf_icon 350 7/30/2011 ANSWER to [334] Amended Complaint by Timothy M. McGinn.(Jones, E.)
pdf_icon 349 7/30/2011 CERTIFICATE OF SERVICE by David L. Smith of Answer to Second Amended Complaint (Hill, Benjamin)
pdf_icon 348 7/30/2011 ANSWER to [334] Amended Complaint by David L. Smith.(Hill, Benjamin)
pdf_icon 347 7/29/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith re [346] Answer to Amended Complaint (Featherstonhaugh, James)
pdf_icon 346 7/29/2011 ANSWER to [334] Amended Complaint by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith.(Featherstonhaugh, James)
pdf_icon 345 7/29/2011 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [344] Answer to Amended Complaint (Featherstonhaugh, James)
pdf_icon 344 7/29/2011 ANSWER to [334] Amended Complaint by Lynn A. Smith.(Featherstonhaugh, James)
7/28/2011 TEXT ORDER re [343] Letter Motion from William J. Brown, Receiver, requesting Vacatur of Stay as to Certain Real Property. Any party wishing to file an OPPOSITION to the Receiver’s request shall e-file any opposition on or before AUGUST 3, 2011. Signed by Magistrate Judge David R. Homer on 7/28/2011. (lah, )
pdf_icon 343 7/27/2011 Letter Motion from William J. Brown, Receiver for William J Brown requesting Vacatur of Stay as to Certain Real Property submitted to Judge David R. Homer. (Attachments: # (1) Proposed Order/Judgment)(Brown, William)
pdf_icon 342 7/20/2011 MEMORANDUM-DECISION and ORDER granting in part and denying in part [261] Plaintiff SEC’s Motion for Sanctions. IT IS HEREBY ORDERED that SEC’s motion for sanctions is: 1) GRANTED as to Lynn A. Smith in all respects and that on or before 9/1/2011, Ms. Smith shall disgorge to the Receiver on behalf of the Trust and pay to the SEC the total amounts set forth in this Order. If Ms. Smith fails to disgorge and pay such amounts, the SEC may have judgment against her for any amount which remains unpaid; 2) GRANTED as to Jill A. Dunn, Esq. to the extent that on or before 9/1/2011 she disgorge to the Receiver on behalf of the Trust the total amount set forth in this Order and if Ms. Dunn fails to disgorge such amount, the SEC may have judgment against her for any amount which remains unpaid. The motion is also granted to the extent that she is publicly admonished for deliberately filing a false declaration. The motion is otherwise DENIED; 3) GRANTED as to David M. Wojeski to the extent that on or before 9/1/2011 he disgorge to the Receiver on behalf of the Trust the total amount set forth in this Order and if Mr. Wojeski fails to disgorge such amount, the SEC may have judgment against him for any amount which remains unpaid. The motion is also granted to the extent that he is publicly admonished for deliberately filing a false declaration. The motion is otherwise DENIED; 4) DENIED in all respects as to Thomas J. Urbelis, Esq; and 5) DENIED in all respects as to James D. Featherstonhaugh, Esq. Signed by Magistrate Judge David R. Homer on 7/20/2011. (mab)
pdf_icon 341 7/11/2011 ORDER setting schedule re [338] MOTION to Compel filed by Plaintiff Securities and Exchange Commission. IT IS HEREBY ORDERED that 1) Any opposition to the motion shall be filed on or before 8/12/2011; 2) Any reply shall be filed on or before 8/26/2011; and 3) The motion shall be returnable on 9/9/2011 at 9:30 AM, but shall be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 7/8/2011. (mab)
7/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held by telephone on 7/7/2011 re [338] with counsel for plaintiff, counsel for defendants David Smith and Lynn Smith, and counsel for Lavelle & Finn, LLP. A briefing schedule was set re the motion to quash. A written order will be entered. (lah, )
pdf_icon 340 7/8/2011 ORDER granting [339] Letter Request for an extension of time for Defendants David L. Smith, Timothy M. McGinn, Lynn A. Smith, Geoffrey R. Smith and Lauren T. Smith to respond to the Second Amended Complaint. Response due 7/29/2011. Signed by Magistrate Judge David R. Homer on 7/8/2011. (mab)
pdf_icon 339 7/7/2011 Letter Motion from Benjamin W. Hill, Esq. for Timothy M. McGinn, David L. Smith, Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith requesting Extension to Respond to 2nd Amended Complaint submitted to Judge Homer. (Hill, Benjamin)
7/7/2011 TEXT NOTICE re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. A telephone pre-motion conference will be held on JULY 7, 2011 at 2:30 PM with Magistrate Judge Homer, SEC counsel, and counsel for non-parties Lavelle & Finn, LLP and Martin Finn. Chambers will initiate the conference call. (lah, )
pdf_icon 338 7/7/2011 MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP Motion Hearing set for 8/18/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 8/1/2011 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in Support of Motion to Compel, # (2) Declaration of David Stoelting, # (3) Exhibit(s) 1, # (4) Exhibit(s) 2, # (5) Exhibit(s) 3, # (6) Exhibit(s) 4, # (7) Exhibit(s) 5, # (8) Exhibit(s) 6, # (9) Exhibit(s) 7, # (10) Exhibit(s) 8, # (11) Exhibit(s) 9) Motions referred to David R. Homer. (Stoelting, David)
pdf_icon 337 7/1/2011 ORDER regarding the telephone conference held on 7/1/2011 with Receiver William Brown and Defendant Nancy McGinn. IT IS HEREBY ORDERED that Nancy McGinn’s request for leave to retain proceeds of the sale of furniture from her residence without requiring that all or any portion thereof be paid over to the Receiver is GRANTED. Signed by Magistrate Judge David R. Homer on 7/1/2011. (mab)
7/1/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 7/1/2011 with Receiver William Brown and defendant Nancy McGinn. The court granted Ms. McGinn’s request for leave to retain the proceeds of the sale of certain furniture. A written order will be entered. (lah, )
6/30/2011 Pursuant to the request of defendant pro se Nancy McGinn, a telephone conference will be held regarding the sale and proceeds of certain personal property with Receivor, William Brown, Ms. McGinn, and Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
pdf_icon 336 6/29/2011 ORDER granting [335] Letter Request for an extension of time for Defendants David L. Smith, Timothy M. McGinn, Lynn A. Smith, Geoffrey R. Smith and Lauren T. Smith to respond to the Second Amended Complaint. Response due 7/10/2011. Signed by Magistrate Judge David R. Homer on 6/29/2011. (mab)
pdf_icon 335 6/29/2011 Letter Motion from Benjamin W. Hill, Esq. for David L. Smith requesting extenstion of time to answer 2nd Amended Complaint submitted to Judge Homer. (Hill, Benjamin)
pdf_icon 334 6/8/2011 AMENDED COMPLAINT Second Amended Complaint against All Defendants filed by Securities and Exchange Commission.(Stoelting, David)
pdf_icon 333 5/31/2011 Non-Party Letter from Monica and Peter Check. (mab)
pdf_icon 332 5/24/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [329] Answer to Amended Complaint (Featherstonhaugh, James)
pdf_icon 331 5/24/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [330] Answer to Amended Complaint on behalf of Defendant/Intervenor Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust (Featherstonhaugh, James)
pdf_icon 330 5/24/2011 ANSWER to [100] Amended Complaint, by Geoffrey R. Smith.(Featherstonhaugh, James)
pdf_icon 329 5/24/2011 ANSWER to [100] Amended Complaint, by Lynn A. Smith.(Featherstonhaugh, James)
5/19/2011 TEXT ORDER re [328] Letter Request from SEC. Pursuant to N.D.N.Y.L.R. 7.1(b)(2), the SEC is GRANTED leave to file a motion regarding the crime fraud exception to the attorney-client privilege. Signed by Magistrate Judge David R. Homer on 5/19/2011. (lah, )
pdf_icon 328 5/19/2011 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting a pre-motion conference for permission to file motion to compel compliance with subpoena submitted to Judge Homer. (McGrath, Kevin)
pdf_icon 327 5/16/2011 Non-Party Letter from Dorothy H. Puglisi. (mab)
pdf_icon 326 5/16/2011 ORDER granting [317] Final Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
pdf_icon 325 5/16/2011 ORDER granting [316] Final Application of David J. Boland, CPA CTP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
pdf_icon 324 5/16/2011 ORDER granting [315] Final Application of BDO USA LLP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amounts as allowed pursuant to to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
pdf_icon 323 5/16/2011 ORDER granting [314] Final Application of Broussard, Poche, Lewis & Breaux, L.L.P. for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
pdf_icon 322 5/12/2011 ORDER denying [190] Motion to Compel. IT IS HEREBY ORDERED that Defendants’ motion for an order compelling the SEC to (i) cease and desist using documents and information in its possession, custody and control which were obtained through the execution of search warrants, and (ii) return such documents and information to criminal law enforcement authorities is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
5/10/2011 USCA Case Number is 11-0916 for [296] Appeal, filed by Lauren T. Smith, Geoffrey R. Smith. [LEAD case number for all three appeals is 10-3576] (cbm )
5/9/2011 Set Deadlines/Hearings: Notice of Compliance Deadline 6/8/2011. Case Review Deadline 6/9/2011. (jel, )
pdf_icon 321 5/9/2011 MEMORANDUM-DECISION and ORDER, that Lynn Smith’s [224] Motion to Dismiss is DENIED. That the Trust, Geoffrey Smith, and Lauren Smith’s [283] Motion to Dismiss is GRANTED in part as to the fraudulent conveyance claims against Lauren Smith and Geoffrey Smith in his individual capacity. That the Trust, Geoffrey Smith, and Lauren Smith’s [283] Motion to Dismiss is DENIED in part as to the fraudulent conveyance claim against the Trust. That the SEC is GRANTED limited leave to re-amend its complaint, in full compliance with the terms of this Order, within thirty (30) days from the date of the filing of this Order, after which Geoffrey Smith and Lauren Smith shall respond to the complaint as permitted under the Federal Rules of Civil Procedure. That if the SEC fails to file an amended complaint within thirty (30) days from the date of the filing of this Order, the Clerk of the Court shall enter judgment dismissing Geoffrey Smith and Lauren Smith from this action without further order of the court. Signed by Judge Gary L. Sharpe on 5/6/2011. (jel, )
pdf_icon 320 5/4/2011 NOTICE of Appearance by Joshua M. Newville on behalf of Securities and Exchange Commission (Newville, Joshua)
pdf_icon 319 5/3/2011 NOTICE of Appearance by Haimavathi V. Marlier on behalf of Securities and Exchange Commission (Marlier, Haimavathi)
4/4/2011 NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff’s Amended Complaint, [283] MOTION to Dismiss Plaintiff’s Amended Complain : Motion Hearing set for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe will be on SUBMIT only. No personal appearances are needed.(jel, )
pdf_icon 318 3/31/2011 REPLY to Response to Motion re [283] MOTION to Dismiss Plaintiff’s Amended Complain and Plaintiff’s Opposition to Motion to Dismiss [313] filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. (Featherstonhaugh, James)
pdf_icon 317 3/29/2011 MOTION Compensation for Services Rendered First Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A - Declaration, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 316 3/29/2011 MOTION Compensation for Services Rendered First Interim Application of David J. Boland, CPA CTP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 315 3/29/2011 MOTION Compensation for Services Rendered Final Application of BDO USA LLP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 314 3/29/2011 MOTION Compensation for Services Rendered Final Application of Broussard, Poche, Lewis & Breaux, L.L.P. for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 313 3/28/2011 MEMORANDUM OF LAW of Plaintiff in Opposition to Motion to Dismiss Filed by the David L. and Lynn A. Smith Irrevocable Trust, Geoffrey R. Smith and Lauren T. Smith filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 312 3/22/2011 CERTIFICATE OF SERVICE by James D. Featherstonhaugh re [307] Memorandum of Law, in Opposition to Plaintiff’s Motion for an Evidentiary Hearing (Ely, Scott)
pdf_icon 311 3/22/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [303] Memorandum of Law in Opposition to Plaintiff’s Motion for Sanctions (Featherstonhaugh, James)
pdf_icon 310 3/22/2011 CERTIFICATE OF SERVICE by Thomas J Urbelis re [309] Affidavit in Opposition to Motion, [308] Memorandum of Law in Opposition to SEC’s Motion for Sanctions (Higgins, Erin)
pdf_icon 309 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions Affidavit of Thomas J. Urbelis filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) to Affidavit of Thomas J. Urbelis)(Higgins, Erin)
pdf_icon 308 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, in Opposition to SEC’s Motion for Sanctions filed by Thomas J Urbelis. (Higgins, Erin)
pdf_icon 307 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, In Opposition to SEC’s Motion for an Evidentiary Hearing Relating to the Conduct of Attorney James D. Featherstonhaugh filed by James D. Featherstonhaugh. (Attachments: # (1) Affidavit)(Ely, Scott)
pdf_icon 306 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions filed by David M. Wojeski. (Knopf, Fred)
pdf_icon 305 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, Opposition filed by David M. Wojeski. (Attachments: # (1) Appendix of LEXIS cases)(Knopf, Fred)
pdf_icon 304 3/22/2011 NOTICE of Appearance by Scott J. Ely on behalf of James D. Featherstonhaugh (Ely, Scott)
pdf_icon 303 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, In Opposition to SEC’s Motion for Sanctions Against Defendant/Relief Defendant Lynn A. Smith filed by Lynn A. Smith. (Attachments: # (1) Affidavit)(Featherstonhaugh, James)
pdf_icon 302 3/22/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [300] Memorandum of Law, [301] Affidavit in Opposition to Motion,,,,,,,, (Zelermyer, Benjamin)
pdf_icon 301 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions Declaration of Benjamin Zelermyer filed by Jill A. Dunn. (Attachments: # (1) Exhibit(s) 1 Memorandum Decision & Order July 7, 2010, # (2) Exhibit(s) 2 Memorandum Decision & Order November 22, 2010, # (3) Exhibit(s) 3 Memorandum Decision & Order January 11, 2011, # (4) Exhibit(s) 4 Temporary Restraining Order April 20, 2010, # (5) Exhibit(s) 5 List of Accounts, # (6) Exhibit(s) 6 Excerpts from Transcript of Hearing November 16, 2010, # (7) Exhibit(s) 7 Order Granting Leave to Intervene May 28, 2010, # (8) Exhibit(s) 8 Consents to Jurisdiction, # (9) Exhibit(s) 9 Trust’s Consent to Jurisdiction, # (10) Exhibit(s) 10 Transcript of Hearing June 9, 10, 11, 2010 (cover pages only), # (11) Exhibit(s) 11 Order Denying SEC Request to Freeze Trust July 23, 2010, # (12) Exhibit(s) 12 Excerpts from Dunn Declaration September 3, 2010, # (13) Exhibit(s) 13 Annuity Agreement August 31, 2004, # (14) Exhibit(s) 14 Excerpts from Amended Complaint August 2, 2010, # (15) Exhibit(s) 15 Excerpts from SEC Memo of Law August 3, 2010, # (16) Exhibit(s) 16 Excerpts from Transcript of Hearing June 11, 2010, # (17) Exhibit(s) 17 Order to Show Cause August 3, 2010, # (18) Exhibit(s) 18 Declaration of Service January 31, 2011, # (19) Exhibit(s) 19 Wojeski e-mail to Dunn July 21, 2010, # (20) Exhibit(s) 20 Excerpts from Transcript of Urbelis Deposition June 1, 2010, # (21) Exhibit(s) 21 Letter from David Smith to Urbelis August 4, 2004, # (22) Exhibit(s) 22 Excerpts from SEC Reply Memo of Law September 14, 2010, # (23) Exhibit(s) 23 SEC letter to Dunn July 27, 2010, # (24) Exhibit(s) 24 Dunn letter to SEC July 29, 2010, # (25) Exhibit(s) 25 Excerpts from SEC First Request for Documents September 17, 2010, # (26) Exhibit(s) 26 Dunn Declaration November 15, 2010, # (27) Exhibit(s) 27 Wojeski Indemnity Agreement July 22, 2010, # (28) Exhibit(s) 28 Urbelis Indemnity Agreement November 10, 2008, # (29) Exhibit(s) 29 SEC Exhibit List November 12, 2010, # (30) Exhibit(s) 30 Excerpts from SEC Opposition January 7, 2011, # (31) Exhibit(s) 31 Excerpts from Memorandum Decision & Order February 11, 2011)(Zelermyer, Benjamin)
pdf_icon 300 3/21/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, Opposition filed by Jill A. Dunn. (Attachments: # (1) Appendix Aretakis v. Durivage, # (2) Appendix B.R. v. Lake Placid, # (3) Appendix Gollomp v. Spitzer, # (4) Appendix Hoblock v. Albany County)(Zelermyer, Benjamin)
pdf_icon 299 3/18/2011 ORDER granting [298] Letter Request for an extension of the briefing schedule for [283] MOTION to Dismiss Plaintiff’s Amended Complaint. Plaintiff’s opposition due by 3/25/2011. Defendants’ reply due by 4/1/2011. Signed by Judge Gary L. Sharpe on 3/18/2011. (mab)
pdf_icon 298 3/17/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to file brief opposing motion to dismiss submitted to Judge Sharpe. (Stoelting, David)
pdf_icon 297 3/8/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [296] Notice of Appeal. (ban)
pdf_icon 296 3/8/2011 NOTICE OF APPEAL as to [254] Order on Motion for Reconsideration by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. Filing fee $ 455, receipt number 0206-1801075. (Featherstonhaugh, James)
pdf_icon 295 3/4/2011 ORDER finding as moot [293] Letter Request. The Court deems the request as moot. On 2/17/2011, the Court issued a Text Notice rescheduling both pending motions for 4/7/2011 at 9:00 AM. Signed by Judge Gary L. Sharpe on 3/4/2011. (mab)
pdf_icon 294 3/4/2011 ORDER finding as moot [291] Letter Request. The Court deems the request moot. On 2/17/2011, the Court issued a Text Notice rescheduling the motion for 4/7/2011 at 9:00 AM. Response papers are due on or before 3/21/2011. Reply papers are to be filed on or before 3/28/2011. Signed by Judge Gary L. Sharpe on 3/4/2011. (mab)
pdf_icon 293 3/4/2011 Letter Motion from Scott J. Ely for Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith requesting consolidation of their Motions to Dismiss submitted to Judge Gary L. Sharpe. (Featherstonhaugh, James)
pdf_icon 292 3/3/2011 ELECTRONIC CERTIFICATION OF NON-ELECTRONIC DOCUMENT(S) sent to US Court of Appeals. Sealed documents 193 and 246 sent to the US Court of Appeals. (mab)
pdf_icon 291 3/3/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extenstion of briefing schedule for motion to dismiss amended complaint filed by the Trust, Geoffrey Smith and Lauren Smith submitted to Judge Sharpe. (Stoelting, David)
pdf_icon 290 2/24/2011 ORDER regarding the mid-discovery conference held on 2/17/2011 with all parties. IT IS HEREBY ORDERED that the [136] Uniform Pretrial Scheduling Order filed September 7, 2011 is hereby amended as follows: 1) The deadline for completion of discovery is hereby extended to 12/1/2011; 2) The deadline for filing dispositive motions is hereby extended to 2/15/2012; 3) The Trial Ready date is hereby extended to 3/15/2012; and 4) The Uniform Pretrial Scheduling Order, as amended, remains in full force and effect in all other respects. IT IS FURTHER ORDERED that a further status conference will be held on 9/6/2011 at 10:00 AM in the chambers of Magistrate Judge David R. Homer to review the status of discovery in the case. Signed by Magistrate Judge David R. Homer on 2/23/2011. (mab)
pdf_icon 289 2/23/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [279] Notice of Appeal. (mab)
2/23/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Mid-Discovery Status Conference was held on 2/17/2011 with counsel for all parties and defendant pro se Nancy McGinn. The parties reported on status of discovery to date. The pretrial deadlines will be extended. A written order will enter. (lah, )
2/23/2011 TEXT ORDER granting [286], [287] and [288] Letter Requests re [261] SEC’s Motion for Sanctions. Response papers shall be e-filed on or before MARCH 21, 2011. No reply papers are permitted without leave of court. Motion Hearing set for 4/7/2011 before Magistrate Judge David R. Homer. No oral argument will be held -- the motion will be decided on submission of the papers. Signed by Magistrate Judge David R. Homer on 2/23/2011. (lah, )
pdf_icon 288 2/23/2011 Letter Request Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting two week extension to file responses to plaintiff’s motion for sanctions submitted to Judge David R. Homer. (Murphy, Michael)
pdf_icon 287 2/23/2011 Responsive Letter Motion from Benjamin Zelermyer for Jill A. Dunn requesting Extension of Time to Respond to Motion for Sanctions submitted to Judge David R. Homer. (Zelermyer, Benjamin)
pdf_icon 286 2/23/2011 Letter Motion from Scott J. Ely for Lynn A. Smith requesting two-week extension to file responses to Plaintiff’s Motion for Sanctions submitted to Judge David R. Homer. (Featherstonhaugh, James)
pdf_icon 285 2/18/2011 MEMORANDUM-DECISION and ORDER denying [278] Motion to Stay. For the reasons set forth in this Order, Lynn Smith’s motion for a stay of this Court’s Order filed February 1, 2011 is DENIED. Signed by Magistrate Judge David R. Homer on 2/18/2011. (mab)
pdf_icon 284 2/17/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith re [283] MOTION to Dismiss Plaintiff’s Amended Complain (Featherstonhaugh, James)
2/17/2011 TEXT NOTICE. A Telephone Mid-Discovery Status Conference will be held on MAY 31, 2011 at 10:30 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
2/17/2011 TEXT ONLY NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff’s Amended Complaint : Due to the filing of the [283] Motion to Dismiss Plaintiff’s Amended Complaint, this motion has been rescheduled as follows: Motion Hearing has been reset for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel, )
2/17/2011 TEXT ONLY NOTICE of Hearing on Motion [283] MOTION to Dismiss Plaintiff’s Amended Complain : The motion return dated selected was not the court’s next regularly scheduled return date. Therefore, the motion has been rescheduled as follows: Response to Motion due by 3/21/2011 Reply to Response to Motion due by 3/28/2011. Motion Hearing has been reset for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel, )
2/17/2011 TEXT ORDER. On February 16, 2011, defendant Lynn A. Smith telephonically requested an expedited decision on the Motion to Stay Pending Appeal [278]. A review of the Lynn Smith motion papers indicates that no opposition papers are required for a determination of the motion. Accordingly, no opposition papers need be filed and an expedited decision will be rendered. Signed by Magistrate Judge David R. Homer on 2/17/2011. (lah, )
pdf_icon 283 2/16/2011 MOTION to Dismiss Plaintiff’s Amended Complain Motion Hearing set for 3/24/2011 09:30 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 3/7/2011 Reply to Response to Motion due by 3/14/2011. filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law) (Featherstonhaugh, James)
pdf_icon 282 2/16/2011 NOTICE of Appearance by James D. Featherstonhaugh on behalf of Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith (Featherstonhaugh, James)
pdf_icon 281 2/14/2011 ORDER re [280] Substitution of Geoffrey R. Smith as Trustee of the David L. and Lynn Smith Irrevocable Trust U/A 8/04/04. Signed by Magistrate Judge David R. Homer on 2/14/2011. (mab)
pdf_icon 280 2/11/2011 STIPULATION for Consent Order Granting Substitution of Parties by Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
pdf_icon 279 2/11/2011 NOTICE OF APPEAL as to [263] Order on Motion for Miscellaneous Relief,,,,, by Lynn A. Smith(Relief Defendant). Filing fee $ 455, receipt number 0206-1782614. (Featherstonhaugh, James)
2/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held on 2/10/2011 with Receiver, William Brown, Craig Norman, local counsel for the Shoma Group and Fred Silva (by telephone) in-house counsel for the Shoma Group. The conference was held as the result of an application for an order by the Shoma Group. The attorneys arrived at an informal agreement. The applications for the orders to show cause were returned to Norman. (lah, )
pdf_icon 278 2/11/2011 MOTION to Stay re [263] Order on Motion for Miscellaneous Relief,,,,, Motion Hearing set for 3/17/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/28/2011 filed by Lynn A. Smith(Relief Defendant). (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer. (Featherstonhaugh, James)
2/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held on 2/10/2011 by telephone at the request of defendant pro se Nancy McGinn. David Stoelting and Lara Mahraban appeared for the SEC. William Brown was present as the Receiver, and Nancy McGinn, pro se. McGinn advised she wishes to sell her primary residence. At the conclusion of the conference, it was agreed that the house could be sold. The court directed Stoeling prepare a proposed order and submit to Judge Homer. (lah, )
pdf_icon 277 2/11/2011 MEMORANDUM-DECISION AND ORDER. IT IS HEREBY ORDERED, for the reasons set forth in this Memorandum-Decision and Order, that the [229] Motion of Iseman Cunningham to lift the asset freeze to permit payment of its legal fees and costs is DENIED. Signed by Magistrate Judge David R. Homer on 2/11/2011. (mab)
pdf_icon 276 2/11/2011 ORDER MODIFYING ASSET FREEZE TO ALLOW THE SALE OF CERTAIN PROPERTY. IT IS ORDERED that the Court-appointed Receiver is given sole authority to take all necessary steps to oversee a sale of the New York Property, including the retention of a real estate agent, and the Freeze Order is hereby modified to permit the Receiver or Nancy McGinn (with the Receiver’s prior written consent) to enter into a contract for the purchase and sale of the New York Property, and to close a sale of the New York Property subject to the terms and conditions set forth in this Order. IT IS FURTHER ORDERED that, except as modified herein, the [96] Preliminary Injunction Order dated July 22, 2010, as modified by the Orders dated [194] November 22, 2010, [207] December 1, 2010 and [233] December 22, 2010 remain in full force and effect. Signed by Magistrate Judge David R. Homer on 2/11/2011. (mab)
2/9/2011 TEXT NOTICE. A Pre-Motion Conference will be held on FEBRUARY 10, 2011 at 11:00 AM with Magistrate Judge David R. Homer in chambers, Room 441, James Foley U.S. Courthouse, Albany, NY. Conference participants include Receiver, William Brown, Esq. and counsel for proposed intervenors, Craig Norman, Esq. Any counsel who wish to participate by telephone are requested to contact chambers prior to the conference at 518-257-1850. (lah, )
2/9/2011 TEXT NOTICE. A Pre-Motion Conference will be held on FEBRUARY 10, 2011 at 10:00 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. Conference Participants will include David Stoelting, counsel for plaintiff; William Brown, receiver, and Nancy McGinn, pro se defendant. (lah, )
pdf_icon 275 2/9/2011 ORDER granting [272] Motion for Limited Admission Pro Hac Vice of Thomas E. Peisch. Signed by Magistrate Judge David R. Homer on 2/9/2011. (mab)
pdf_icon 274 2/9/2011 ORDER granting [271] Motion for Limited Admission Pro Hac Vice of Erin K. Higgins. Signed by Magistrate Judge David R. Homer on 2/9/2011. (mab)
pdf_icon 273 2/9/2011 ORDER approving [270] Stipulation of Substitution of Counsel. Signed by Magistrate Judge David R. Homer on 2/8/11. (mab)
pdf_icon 272 2/9/2011 MOTION for Limited Admission Pro Hac Vice of Thomas E. Peisch Filing fee $100, receipt number 0206-1779561. filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) A-Affidavit of Michael J. Murphy in support of motion, # (2) Exhibit(s) B-Certificate of Good Standing, # (3) Affidavit of Thomas E. Peisch in support of motion, # (4) Proposed Order/Judgment to Admit Pro Hac Vice, # (5) Supplement E-Filing Registration Form) Motions referred to David R. Homer. (Murphy, Michael)
pdf_icon 271 2/9/2011 MOTION for Limited Admission Pro Hac Vice of Erin K. Higgins Filing fee $100, receipt number 0206-1779539. filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) A-Affidavit of Michael J. Murphy in Support of Motion, # (2) Exhibit(s) B-Certificate of Good Standing, # (3) Affidavit of Erin K. Higgins in support of motion, # (4) Proposed Order/Judgment to Admit Pro Hac Vice, # (5) Supplement E-Filing Registration Form) Motions referred to David R. Homer. (Murphy, Michael)
pdf_icon 270 2/8/2011 STIPULATION for Substitution of Counsel by Lauren T. Smith, Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
pdf_icon 269 2/8/2011 ORDER re Telephone Conference. ORDERED that defendant Lynn A. Smith is granted leave to file a motion for a stay pending appeal of this Court’s order filed 2/1/2011 and any such motion shall be filed on or before 2/11/2011. Signed by Magistrate Judge David R. Homer on 2/8/2011. (dpk)
2/8/2011 TEXT ORDER re [267] Letter Request. The request for a conference of counsel for Jill A. Dunn, Esq. (Dkt. No. 267) is DENIED. The two procedural issues raised in that request may be addressed in response to the motion for sanctions of plaintiff Securities and Exchange Commission (Dkt. No. 261). Signed by Magistrate Judge David R. Homer on 2/8/2011. (lah, )
2/7/2011 TEXT ONLY ORDER The [267] letter requesting a conference is DENIED. The letter is otherwise referred to Judge Homer for further consideration. Issued by Judge Gary L. Sharpe on 2/7/2011. (jel, )
pdf_icon 268 2/7/2011 NOTICE of Appearance by Michael J. Murphy on behalf of Thomas J Urbelis (Murphy, Michael)
pdf_icon 267 2/4/2011 Letter Motion from Benjamin Zelermyer for Jill A. Dunn requesting Conference submitted to Judge Sharpe. (Zelermyer, Benjamin)
pdf_icon 266 2/2/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [265] Notice of Appearance (Zelermyer, Benjamin)
pdf_icon 265 2/2/2011 NOTICE of Appearance by Benjamin Zelermyer on behalf of Jill A. Dunn (Zelermyer, Benjamin)
pdf_icon 264 2/1/2011 NOTICE of Appearance by Fred N. Knopf on behalf of David M. Wojeski, David M. Wojeski (Knopf, Fred)
pdf_icon 263 2/1/2011 ORDER granting [228] Motion to Amend the Preliminary Injunction. IT IS ORDERED that the SEC’s motion for an Order amending the Preliminary Injunction to permit the sale of the Florida Property is GRANTED. IT IS FURTHER ORDERED that the Court-appointed Receiver is given sole authority to take all necessary steps to effectuate a sale of the Florida Property, including the retention of a nationally known real estate agent, and the preliminary injunction is hereby modified to permit the Receiver or the Smiths to enter into a contract for the purchase and sale of the Florida Property and to conduct a sale of the Florida Property subject to the conditions set forth in this Memorandum-Decision and Order. IT IS FURTHER ORDERED that the balance of any funds remaining shall be made payable to the Clerk of this Court. The Clerk shall deposit the funds in an interest bearing account with the Court’s Registry Fund. These funds, together with any interest and income earned thereon, shall be held by the Registry Fund until further order of this Court. IT IS FURTHER ORDERED that, except as modified herein, the Preliminary Injunction Order entered July 22, 2010 remains in full force and effect. Signed by Magistrate Judge David R. Homer on 2/1/2011. (mab)
pdf_icon 262 2/1/2011 MOTION for Sanctions Declaration of Service filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 261 2/1/2011 MOTION for Sanctions Motion Hearing set for 3/17/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/28/2011 Reply to Response to Motion due by 3/7/2011. filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in Support of Plaintiff’s Motion for Sanctions, # (2) Declaration of Lara Shalov Mehraban, # (3) Exhibit(s) A, # (4) Exhibit(s) B, # (5) Exhibit(s) C, D, E, F, # (6) Exhibit(s) G, H, I) (Stoelting, David)
1/27/2011 TEXT ORDER granting [259] and [260] Letter Requests. The Mid-Discovery Status conference previously set for 1/31/2011 is RESCHEDULED to FEBRUARY 17, 2011 at 11:00 AM. Those attorneys participating by telephone are requested to contact chambers at 518-257-1850 prior to the conference with a contact telephone number. Signed by Magistrate Judge David R. Homer on 1/27/2011. (lah, )
pdf_icon 260 1/27/2011 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting Adjournment of Status Conference submitted to Judge Homer. (Jones, E.)
pdf_icon 259 1/27/2011 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting Adjournment of Status Conference submitted to Judge David R. Homer. (Dreyer, William)
pdf_icon 258 1/26/2011 Letter Motion from Jill A. Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting to be excused from attending 1/31/11 discovery conference submitted to Judge Homer. (Dunn, Jill)
1/18/2011 TEXT ONLY NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff’s Amended Complaint : Due to a conflict in the court’s calendar, the Motion Hearing has been reset for 3/11/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel)
pdf_icon 257 1/18/2011 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [256] Reply to Response to Motion (Lagios, James)
pdf_icon 256 1/18/2011 REPLY to Response to Motion re [229] MOTION for Attorney Fees by Richard A. Frankel filed by Iseman, Cunningham, Riester & Hyde, LLP. (Attachments: # (1) Lexis Cases)(Lagios, James)
pdf_icon 255 1/13/2011 ORDER granting [201] Motion for Attorney Fees. IT IS ORDERED that the First Application is approved such that payment for (i) legal and Receiver fees incurred between April 13 and July 31, 2010 ("First Interim Period") in the amount of $174,452.75 is allowed as an interim allowance; and (ii) costs and expenses incurred during the First Interim Period in the amount of $19,644.22 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 1/12/2011. (mab)
pdf_icon 254 1/12/2011 ORDER denying [214] Motion for Reconsideration. IT IS HEREBY ORDERED that the Trust’s motion for reconsideration is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 1/11/2011. (mab)
pdf_icon 253 1/12/2011 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [252] Letter Motion from Richard A. Frankel for Iseman, Cunningham, Riester & Hyde, LLP requesting leave to file reply submitted to Judge David R. Homer (Lagios, James)
pdf_icon 252 1/11/2011 Letter Motion from Richard A. Frankel for Iseman, Cunningham, Riester & Hyde, LLP requesting leave to file reply submitted to Judge David R. Homer. (Lagios, James)
pdf_icon 251 1/11/2011 RESPONSE in Opposition re [214] MOTION for Reconsideration re [194] Order on Motion for TRO,,,, MOTION for Reconsideration re [194] Order on Motion for TRO,,,, Corrected Memorandum of Law and Cover Letter filed by Securities and Exchange Commission. (Attachments: # (1) Affidavit)(McGrath, Kevin)
pdf_icon 250 1/10/2011 RESPONSE in Opposition re [214] MOTION for Reconsideration re [194] Order on Motion for TRO,,,, MOTION for Reconsideration re [194] Order on Motion for TRO,,,, filed by Securities and Exchange Commission. (McGrath, Kevin)
pdf_icon 249 1/10/2011 RESPONSE in Opposition re [224] MOTION to Dismiss Plaintiff’s Amended Complaint Memorandum of Law filed by Securities and Exchange Commission. (Mehraban, Lara)
pdf_icon 248 1/10/2011 RESPONSE in Opposition re [229] MOTION for Attorney Fees Memorandum of Law filed by Securities and Exchange Commission. (Mehraban, Lara)
pdf_icon 247 1/10/2011 RESPONSE in Opposition re [222] MOTION entry of propsoed Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale filed by Lynn A. Smith. (Attachments: # (1) Affidavit, # (2) Declaration)(Featherstonhaugh, James)
246 1/5/2011 ***SEALED DOCUMENT - maintained in Clerk’s Office. (mab)
pdf_icon 245 1/5/2011 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) The motion of Defendants Timothy M. McGinn and David L. Smith to compel the SEC to serve responses to three interrogatories [189] is DENIED in its entirety; and 2) The motion of non-parties Financial Industry Regulatory Authority ("FINRA") and four of its employees to quash five subpoenas served on them for materials and testimony [192] is GRANTED in its entirety. Signed by Magistrate Judge David R. Homer on 1/5/2011. (mab)