12/29/2010 CLERK’S CORRECTION OF DOCKET ENTRY re [244] LETTER NOTICE: This docket entry has been corrected to reflect that this is a Notice to the Court that CIT Lending Services no longer has any continuing interest or involvement in the action and attorney Benjamin W. Hill should no longer be associated with this case. (sg)
pdf_icon 244 12/29/2010 LETTER BRIEF by CIT Lending Services Corporation. (Hill, Benjamin)
pdf_icon 243 12/29/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting William Brown to withdraw Answer submitted to Judge David R. Homer. (Featherstonhaugh, James)
12/28/2010 TEXT NOTICE. A Telephone Conference will be held on 12/28/2010 at 11:30 AM regarding the Notice of Appearance on behalf of defendant David L. Smith by William Dreyer, Esq. and a potential conflict of interest with Magistrate Judge David R. Homer that this representation may pose. The conference will be held on-the-record. The attorneys required to appear are David Stoelting and William Dreyer. All others are not required to participate but may if they choose. Please contact chambers prior to 11:15 a.m. if participation is desired at 518-257-1850. (lah)
pdf_icon 242 12/27/2010 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting William Brown to withdraw Answer submitted to Judge Homer. (Dreyer, William)
pdf_icon 241 12/27/2010 NOTICE of Appearance by William J. Dreyer on behalf of David L. Smith (Dreyer, William)
pdf_icon 240 12/27/2010 ORDER re [238] Notice of Substitution of Counsel filed by Timothy M. McGinn. Signed by Magistrate Judge David R. Homer on 12/23/2010. (mab)
pdf_icon 239 12/27/2010 ORDER re [237] Notice of Substitution of Counsel filed by David L. Smith. Signed by Magistrate Judge David R. Homer on 12/23/2010. (mab)
pdf_icon 238 12/23/2010 NOTICE by Timothy M. McGinn Notice of Substitution of Counsel (Russo, Martin)
pdf_icon 237 12/23/2010 NOTICE by David L. Smith Notice of Substitution of Counsel (Russo, Martin)
12/23/2010 Text Minute Entry (FTR recorded 10:00 am - 11:30 am) for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 12/23/2010 re [192] MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees. Appearances: in-person: Richard Harper, Esq., Jenny Stewart, Esq., Terri Reicher, Esq.,(FINRA), David Stoelting, Esq., by telephone: Alison Cohen, Esq. and Martin Russo, Esqs, Lara Mehraban, Esq.Counsel for FINRA submits to the court a priveledged log of FINRA-SEC communications for in-camera review. Decision on motion reserved.(CRD: Cindy Mezoff) (cjm)
pdf_icon 236 12/23/2010 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting Withdrawal of Answer. (Jones, E.)
12/23/2010 TEXT ORDER re [235] Letter Motion from SEC. The request is GRANTED and responses to motions [229], [214], [222] and [228], returnable on 1/20/2011 before Magistrate Judge Homer, are EXTENDED to JANUARY 7, 2011. Signed by Magistrate Judge David R. Homer on 12/22/2010. (lah)
pdf_icon 235 12/23/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to file responses to four pending motions submitted to Judge Sharpe and Judge Homer. (Attachments: # (1) Declaration of Service)(Stoelting, David)
pdf_icon 234 12/22/2010 STIPULATED ORDER RESOLVING [169] Motion of CIT Lending Services Corporation to Intervene and Vacate Stay (74 State Street Property). In order to resolve the motion, the Receiver and the Mortgagee agree to the terms set forth in this Stipulated Order. Signed by Magistrate Judge David R. Homer on 12/21/2010. (mab)
pdf_icon 233 12/22/2010 ORDER regarding [103] Emergency MOTION for Temporary Restraining Order filed by Securities and Exchange Commission and [104] Order to Show Cause. IT IS HEREBY ORDERED that the motion of the SEC for a preliminary injunction freezing the assets of defendant Nancy McGinn is GRANTED in its entirety; and IT IS FURTHER ORDERED that the asset freeze in the August 3, 2010 Order to Show Cause is extended pending a final disposition of this action, including McGinn’s Niskayuna property and all ill-gotten gains (including money, real or personal property, securities, commodities or other property of any kind) of, held by, or under direct or indirect control of McGinn. Signed by Magistrate Judge David R. Homer on 12/22/2010. (mab)
pdf_icon 232 12/21/2010 LETTER BRIEF regarding Niskayuna property by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 231 12/21/2010 STIPULATION re [202] Response to Motion, [169] MOTION to Intervene and Lift of Temporary Restraining Order Stipulated Order Resolving Motion of CIT Lending Services Corporation to Intervene and Vacate Stay (74 State Street Property) by William J Brown submitted to Judge David R. Homer.
pdf_icon 230 12/17/2010 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [229] MOTION for Attorney Fees (Iseman, Robert)
pdf_icon 229 12/17/2010 MOTION for Attorney Fees Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 Reply to Response to Motion due by 1/10/2011. filed by Iseman, Cunningham, Riester & Hyde, LLP. (Attachments: # (1) Declaration of Robert H. Iseman with Ex. A and Ex. B, # (2) Memorandum of Law in support of motion) (Iseman, Robert)
pdf_icon 228 12/17/2010 Amended MOTION entry of Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale 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 Amended Notice of Motion Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Securities and Exchange Commission. Motions referred to David R. Homer. (Stoelting, David)
pdf_icon 227 12/16/2010 ORDER granting [220] Letter Request to extend the time for Defendants Lauren T. Smith, Geoffrey R. Smith and David M. Wojeski to answer or otherwise move against the Amended Complaint. Answer due 2/15/2011. Signed by Magistrate Judge David R. Homer on 12/16/2010. (mab)
pdf_icon 226 12/16/2010 ANSWER to [100] Amended Complaint, by David L. Smith.(Russo, Martin)
pdf_icon 225 12/16/2010 ANSWER to [100] Amended Complaint, by Timothy M. McGinn.(Russo, Martin)
pdf_icon 224 12/16/2010 MOTION to Dismiss Plaintiff’s Amended Complaint Motion Hearing set for 1/20/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 1/3/2011 Reply to Response to Motion due by 1/10/2011. filed by Lynn A. Smith. (Attachments: # (1) Memorandum of Law) (Featherstonhaugh, James)
pdf_icon 223 12/16/2010 CERTIFICATE OF SERVICE by Securities and Exchange Commission 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 (Stoelting, David)
pdf_icon 222 12/16/2010 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 Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law, # (2) Declaration of Kevin P. McGrath with Exhibits A-D, # (3) Declaration of William J. Brown, # (4) Declaration of Service) Motions referred to David R. Homer. (Stoelting, David)
pdf_icon 221 12/16/2010 MEMORANDUM-DECISION AND ORDER denying [176] Motion to Release Certain Assets from the Preliminary Injunction. For the reasons stated in this Order, IT IS HEREBY ORDERED that defendants’ motion to lift the preliminary injunction order as to 1) Smith’s 401(k) account and 2) McGinn’s assets for use in maintaining the McGinn’s Florida property is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 12/15/2010. (mab)
pdf_icon 220 12/16/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting extension of time to answer/move against amended complaint submitted to Judge Homer. (Attachments: # (1) Proposed Order/Judgment extending Trust defendants’ time to answer/move)(Dunn, Jill)
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pdf_icon		 219 12/15/2010 ANSWER to [100] Amended Complaint, Answer of Receivership Defendants to the Amended Complaint by First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., Third Albany Income Notes, LLC. (Attachments: # (1) Affidavit)(Brown, William)
pdf_icon 218 12/15/2010 ORDER: Without objection and for good cause shown, IT IS HEREBY ORDERED that the motion of the law firm of Iseman, Cunningham, Riester & Hyde, LLP to withdraw as counsel to the David L. and Lynn A. Smith Irrevocable Trust is GRANTED and the Firm’s representation of the Trust is hereby terminated effective immediately. Signed by Magistrate Judge David R. Homer on 12/15/2010.
pdf_icon 217 12/10/2010 ORDER granting [216] SEC’s Letter Request. IT IS ORDERED that the SEC is granted leave to file a motion for an Order lifting the asset freeze as to property held in the name of Defendant Lynn A. Smith. Signed by Magistrate Judge David R. Homer on 12/10/2010.
12/10/2010 Minute Entry for proceedings held re [216] before Magistrate Judge David R. Homer. A Telephone Pre-Motion Conference was held on 12/9/2010 with David Stoelting and Laura Mahraban for plaintiff; Martin Russo, James Featherstonhaugh and William Brown for defendants. Plaintiff requested leave to file a motion to lift the asset freeze as to certain property. Attorney Featherstonhaugh objected. The court granted plaintiff leave to file its motion. A written order will enter.
12/9/2010 TEXT NOTICE re [216] Letter Motion from SEC re motion to amend the Preliminary Injunction order to allow for the sale of a property located in Vero Beach, Florida. A Telephone Pre-Motion Conference will be held on DECEMBER 9, 2010 at 3:00 PM with Magistrate Judge David R. Homer. The conference will include attorneys Stoelting, Mehraban, Russo, Brown and Featherstonhaugh. Chambers will initiate the conference call.
pdf_icon 216 12/8/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Entry of proposed Order modifying asset freeze to allow for sale of Vero Beach house submitted to Judge Homer.
pdf_icon 215 12/7/2010 Non-Party Letter from James Prior
pdf_icon 214 12/7/2010 MOTION for Reconsideration re [194] Order on Motion for TRO,,,, Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # (1) Affirmation of Jill Dunn in Support, # (2) Exhibit(s) A - E, # (3) Memorandum of Law in support)
pdf_icon 213 12/7/2010 REPLY to Response to Motion re [192] MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees
12/3/2010 Minute Entry for proceedings held re [169] before Magistrate Judge David R. Homer. A Settlement Conference was held on 12/2/2010 with William Brown, the Receiver, and James Schultz, counsel for non-party CIT. CIT currently has pending a motion to lift the preliminary injuction order to permit it to sell certain property. Settlement was discussed. Further discussions will be held between the attorneys. If Judge Homer has not heard from counsel by 12/7/2010 that the matter is resolved, a further telephone conference will be scheduled for 12/9 or 12/10. If the matter cannot be resolved, the motion will be decided.
212 12/3/2010 TRANSCRIPT of Proceedings: Evidentiary Hearing held on November 16, 2010 before Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In ord er to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal infor mation is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessar y and the transcript will be made available on the web 90 days from today’s date. 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 12/27/2010. Redacted Transcript Deadline set for 1/3/2011. Release of Transcript Restriction set for 3/3/2011. Notice of Intent to Redact due by 12/8/2010.
pdf_icon 211 12/2/2010 ORDER denying [143] Motion to Amend/Correct and [146] Cross-Motion to Lift Preliminary Injunction. For the reasons stated in this Order, IT IS HEREBY ORDERED that: 1) The motion of the SEC for an Order to amend the preliminary injunction order to prohibit Timothy McGinn, David Smith and Lynn Smith from incurring additional credit card debt and to require them to provide periodic accountings of their assets is DENIED; and 2) The cross-motion of Lynn Smith to lift the preliminary injunction order to permit her to use assets to pay certain legal and living expenses is DENIED. Signed by Magistrate Judge David R. Homer on 12/2/2010.
pdf_icon 210 12/2/2010 RESPONSE in Opposition re [192] MOTION to Quash Subpoenas filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s), # (13) Exhibit(s), # (14) Exhibit(s), # (15) Exhibit(s), # (16) Exhibit(s), # (17) Exhibit(s), # (18) Exhibit(s))(Russo, Martin)
pdf_icon 209 12/1/2010 ORDER withdrawing [171] Motion to Quash. The SEC has withdrawn the subpoena in question, thereby rendering the motion as moot. Signed by Magistrate Judge David R. Homer on 12/1/2010.
pdf_icon 208 12/1/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [206] Order, Set Deadlines/Hearings, Order to Show Cause in Support of Motion by ICRH to conclude engagement as special counsel
12/1/2010 TEXT NOTICE re [169] and [202] Motion to Intervene by CIT Lending Services Corp. An in-person conference will be held on DECEMBER 2, 2010 at 10:30 AM with Magistrate Judge David R. Homer at the James Foley U.S. Courthouse, 445 Broadway, Room 441, Albany, NY. The only participants required at this conference are William J. Brown, Esq., counsel for receiver; James Schultz, Esq., counsel for movant CIT Lending; and a representative from CIT Lending. The CIT Lending representative shall be available by telephone.
pdf_icon 207 12/1/2010 MEMORANDUM-DECISION AND ORDER granting in part and denying in part [168] Motion for Preliminary Injunction. IT IS HEREBY ORDERED that the motion of the SEC for an order of contempt is GRANTED as to Timothy M. McGinn: A) McGinn is found in contempt of the preliminary injuction order; B) McGinn is enjoined from proceeding with the SAC offering; C) McGinn is enjoined from having any involvement in the offering or sale of any securities without prior approval of the Court; D) The assets of SAC are hereby frozen; and E) McGinn shall return all distributions, payments or transfers made out of accounts held by SAC. IT IS FURTHER ORDERED that the motion of the SEC for an order of contempt is DENIED as to David L. Smith in all respects. Signed by Magistrate Judge David R. Homer on 12/1/2010. (mab)
pdf_icon 206 11/30/2010 ORDER TO SHOW CAUSE: IT IS HEREBY ORDERED that a Show Cause Hearing is set for 12/15/2010 at 9:30 AM in Albany before Magistrate Judge David R. Homer. Opposition papers, if any, are to be served on all parties by ECF on or before 12/10/2010. Reply papers, if any, are to be served on all parties by ECF on or before 12/14/2010. Let service of a copy of this Order, together with the papers upon which it is based, upon the Plaintiff and the Defendants by ECF on or before 12/1/2010, be deemed good and sufficient service. Exhibit A has been withdrawn and returned to counsel. Signed by Magistrate Judge David R. Homer on 11/30/2010. (mab)
11/30/2010 TEXT ONLY NOTICE of Hearing on Motion [169] MOTION to Intervene and Lift of Temporary Restraining Order : Motion Hearing set for 12/16/2010 AT 09:00 AM in Albany before Judge Gary L. Sharpe will be on SUBMIT only. No personal appearances are needed.(jel)
pdf_icon 205 11/30/2010 RESPONSE in Opposition re [189] MOTION to Compel Plaintiff to Answer Defendants’ Interrogatories Plaintiff’s Memorandum of Law in Opposition to Defendants’ Motion to Compel Responses to Interrogatories 1, 2 and 3 filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Michael D. Paley)(Stoelting, David)
pdf_icon 204 11/30/2010 RESPONSE in Opposition re [190] MOTION to Compel Plaintiff to Cease and Desist From Using Search Warrant Material filed by Securities and Exchange Commission. (McGrath, Kevin)
pdf_icon 203 11/29/2010 CERTIFICATE OF SERVICE by William J Brown re [201] MOTION for Attorney Fees (Brown, William)
pdf_icon 202 11/29/2010 RESPONSE to Motion re [169] MOTION to Intervene and Lift of Temporary Restraining Order Receiver’s Response to CIT Lending Services Corporation Motion to Intervene and Vacate Stay (74 State Street Property) filed by William J Brown.
pdf_icon 201 11/24/2010 MOTION for Attorney Fees Motion Hearing set for 12/28/2010 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 12/13/2010 Reply to Response to Motion due by 12/17/2010. filed by William J Brown. (Attachments: # (1) Application for Allowance of Compensation, # (2) Application Ex A, # (3) Application Ex B, # (4) Proposed Order/Judgment) (Brown, William)
pdf_icon 200 11/23/2010 Non-Party Letter from Aquatic Development Group, Inc.
pdf_icon 199 11/23/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on 11.16.2010 before Judge Homer
11/23/2010 TEXT NOTICE. Oral Argument on the Motion to Quash Subpoena [192] filed by FINRA will be held on 12/23/2010 at 10:00 AM before Hon. David R. Homer, USMJ, James Foley U.S. Courthouse 445 Broadway, Room 443, Albany, New York. (lah)
pdf_icon 198 11/23/2010 ORDER granting [196] Letter Request for a briefing schedule and Oral Argument re [192] MOTION to Quash: Motion Hearing set for 12/23/2010 before Magistrate Judge David R. Homer. Response to Motion due on or before 12/1/2010. Reply to Response to Motion due on or before 12/6/2010. Sur-Reply, if any, due on or before 12/9/2010. Signed by Magistrate Judge David R. Homer on 11/22/2010.
pdf_icon 197 11/23/2010 RESPONSE in Opposition re [176] MOTION Release of Certain Assets from the Preliminary Injunction Order Memorandum of Law in Opposition to Request to Release Certain Assets filed by Securities and Exchange Commission. (Attachments: # (1) Declaration)(Mehraban, Lara)
pdf_icon 196 11/22/2010 Joint Letter Motion from Alison B. Cohen and Richard Harper for FINRA and the FINRA Employees, Timothy M. McGinn, David L. Smith requesting A joint request for the right to file reply and surreply papers, and a request for oral argument. submitted to Judge Homer.
pdf_icon 195 11/22/2010 Non-Party Letter from Mary Ann O’Brien.
11/22/2010 The SEC is to file motion for sanctions by 1/31/2011 pursuant to the Memorandum-Decision and Order
pdf_icon 194 11/22/2010 ORDER granting [103] Motion for TRO and Reconsideration. IT IS HEREBY ORDERED that: 1) The SEC’s motion for reconsideration of that portion of this Court’s decision filed 7/7/2010 which denied the SEC’s motion for a preliminary injunction as to the Trust is GRANTED; 2) That portion of this Court’s decision filed 7/7/2010 which denied the SEC’s motion for a preliminary injunction as to the Trust and granted the Trust’s motion to lift the TRO as to the Trust is VACATED; 3) The SEC’s motion for a preliminary injunction as to the Trust is GRANTED; 4) The Trust’s motion to vacate the TRO as to the Trust is DENIED; and 5) The SEC is granted leave to move for sanctions against the Trust, Wojeski, Urbelis, Dunn, Lynn Smith and Lynn Smith’s counsel for the conduct described herein without the necessity of the pre-motion conference required by N.D.N.Y.L.R. 7.1(b)(2), and any such motion shall be filed on or before 1/31/2011. Signed by Magistrate Judge David R. Homer on 11/22/2010.
11/19/2010 TEXT Minute Entry (FTR Recorded) for proceedings held before Magistrate Judge David R. Homer: Show Cause Hearing held on 11/17/2010 on [168] Motion for Preliminary Injunction filed by Securities and Exchange Commission. Appearances: David Stoelting, Esq. for plaintiff; Martin Russo, Esq. and Alison Cohen, Esq. for defendants Timothy M. McGinn and David L. Smith; William J. Brown for defendants McGinn, Smith & Co. Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC and Third Albany Income Notes, LLC. Court hears oral argument by attorney for plaintiff Securities and Exchange Commission and by attorneys for defendants Timothy M. McGinn and David L. Smith. Court reserves decision. Court addresses unrelated [186] Letter Request/Motion filed by attorneys for Timothy M. McGinn and David L. Smith re: the Motion to Compel filed at Dkt. [189] requesting permission from the court to file a redacted Memorandum of Law in support of the said motion, a redacted Exhibit "A" and a sealed Exhibit "P". Court grants the request and directs that a complete and unredacted copy of the motion papers be filed with the Clerk’s Office under seal. (CRD: S. Gunter) (sg )
193 11/18/2010 ***SEALED DOCUMENT re [189] maintained in the Clerk’s Office.
11/18/2010 TEXT NOTICE re [192] MOTION to Quash Subpoenas filed by non-party FINRA and FINRA employees will be returnable on 12/23/2010 before Magistrate Judge Homer. Any opposition shall be filed on or before 12/6/2010. No oral argument will be heard. The motion will be decided on the submissions.
11/18/2010 TEXT NOTICE re [171] MOTION to Quash filed by non-party Ronald L. Simons shall be returnable on 12/23/2010. Any opposition shall be filed on or before 12/6/2010. No oral argument will be heard. The motion will be decided on the submissions.
pdf_icon 192 11/18/2010 MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees. (Attachments: # (1) Memorandum of Law, # (2) Exhibit 1 to Memorandum, # (3) Exhibit 2 to Memorandum, # (4) Exhibit 3 to Memorandum, # (5) Exhibit 4 to Memorandum, # (6) Exhibit 5 to Memorandum, # (7) Exhibit 6 to Memorandum, # (8) Exhibit 7 to Memorandum, # (9) Exhibit 8 to Memorandum, # (10) Proposed Order/Judgment) Motions referred to David R. Homer
pdf_icon 191 11/17/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Clarifying Wojeski Declaration Dated October 6, 2010 filed by David M. Wojeski, David M. Wojeski. (Attachments: # (1) Exhibit(s) A)(Dunn, Jill).
11/17/2010 TEXT ORDER granting [186] Letter Request. Exhibits A [189-3] and P [189-18] are considered filed in their redacted form. Unredacted copies of those exhibits have been provided to the Court and will be filed under seal. Signed by Magistrate Judge David R. Homer on 11/17/2010.
11/16/2010 Text Minute Entry for Evidentiary Hearing held 11/16/2010 before Magistrate Judge David R. Homer in Albany, NY: Appearances: For Plaintiff: David Stoelting, Esq., Lara S. Mehraban, Esq., Kevin P. McGrath, Esq. and Jack Kaufman, Esq.; for Intervenor David M. Wojeski, Trustee of David L. and Lynn A. Smith Irrevocable Trust U/A 8/4/04: Robert H. Iseman, Esq., Jill Dunn, Esq., and James Lagios, Esq. Also entering an appearance: William J. Brown, Esq. for defendants McGinn, Smith & Co. Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, and Third Albany Income Notes, LLC. SEC calls witnesses David Stoelting, Kevin McGrath and Jill Dunn. Plaintiff’s Attorney Mehraban conducts direct examination of witnesses. SEC Exhibits 1, 8, 10, 16, 21 and 22 are offered and received during witness testimony. Intervenor Attorney Iseman conducts cross-examination of witnesses. Intervenor Exhibits 3, 7, 8, 9 and 12 are offered and received during witness testimony. Court reserves decision. (Court Reporter: Theresa Casal, CRD S. Gunter) (sg ) Modified on 11/18/2010 (sg ).
pdf_icon 190 11/16/2010 MOTION to Compel Plaintiff to Cease and Desist From Using Search Warrant Material Motion Hearing set for 12/16/2010 09:00 AM before Magistrate Judge David R. Homer Response to Motion due by 11/29/2010 filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Exhibit(s) A, # (4) Exhibit(s) B, # (5) Exhibit(s) C) Motions referred to David R. Homer.
pdf_icon 189 11/16/2010 MOTION to Compel Plaintiff to Answer Defendants’ Interrogatories Motion Hearing set for 12/16/2010 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/29/2010 filed by Timothy M. McGinn, David L. Smith. Motions referred to David R. Homer. (Russo, Martin)

Attachments:
pdf_icon 1 Memorandum of Law pdf_icon 18 Exhibit(s) pdf_icon 35 Exhibit(s)
pdf_icon 2 Declaration pdf_icon 19 Exhibit(s) pdf_icon 36 Exhibit(s)
pdf_icon 3 Exhibit(s) pdf_icon 20 Exhibit(s) pdf_icon 37 Exhibit(s)
pdf_icon 4 Exhibit(s) pdf_icon 21 Exhibit(s) pdf_icon 38 Exhibit(s)
pdf_icon 5 Exhibit(s) pdf_icon 22 Exhibit(s) pdf_icon 39 Exhibit(s)
pdf_icon 6 Exhibit(s) pdf_icon 23 Exhibit(s) pdf_icon 40 Exhibit(s)
pdf_icon 7 Exhibit(s) pdf_icon 24 Exhibit(s) pdf_icon 41 Exhibit(s)
pdf_icon 8 Exhibit(s) pdf_icon 25 Exhibit(s) pdf_icon 42 Exhibit(s)
pdf_icon 9 Exhibit(s) pdf_icon 26 Exhibit(s) pdf_icon 43 Exhibit(s)
pdf_icon 10 Exhibit(s) pdf_icon 27 Exhibit(s) pdf_icon 44 Exhibit(s)
pdf_icon 11 Exhibit(s) pdf_icon 28 Exhibit(s) pdf_icon 45 Exhibit(s)
pdf_icon 12 Exhibit(s) pdf_icon 29 Exhibit(s) pdf_icon 46 Exhibit(s)
pdf_icon 13 Exhibit(s) pdf_icon 30 Exhibit(s) pdf_icon 47 Exhibit(s)
pdf_icon 14 Exhibit(s) pdf_icon 31 Exhibit(s) pdf_icon 48 Exhibit(s)
pdf_icon 15 Exhibit(s) pdf_icon 32 Exhibit(s) pdf_icon 49 Exhibit(s)
pdf_icon 16 Exhibit(s) pdf_icon 33 Exhibit(s) pdf_icon 50 Exhibit(s)
pdf_icon 17 Exhibit(s) pdf_icon 34 Exhibit(s)
pdf_icon 188 11/16/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Correcting Document 134 - Dunn Declaration filed by David M. Wojeski, David M. Wojeski. (Attachments: # (1) Exhibit(s) A)(Dunn, Jill)
pdf_icon 187 11/16/2010 REPLY to Response to Motion re [168] Emergency MOTION for Preliminary Injunction Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order Reply Memorandum of Law in Further Support of Plaintiff’s Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt filed by Securities and Exchange Commission.
pdf_icon 186 11/15/2010 Letter Motion from Alison B. Cohen for Timothy M. McGinn, David L. Smith requesting Leave to File Motion to Compel in Redacted Form/Under Seal submitted to Judge Homer.
11/15/2010 TEXT NOTICE : With respect to the Evidentiary Hearing scheduled for 11/16/2010 before Magistrate Judge David R. Homer: the parties are directed to pre-mark any exhibits that will be offered at the hearing.
pdf_icon 185 11/13/2010 RESPONSE TO ORDER TO SHOW CAUSE filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s)
pdf_icon 184 11/13/2010 Exhibit List in connection with Evidentiary Hearing by Securities and Exchange Commission
pdf_icon 183 11/13/2010 NOTICE by Securities and Exchange Commission of Appearance of Jack Kaufman
pdf_icon 182 11/13/2010 NOTICE of Appearance by Lara S. Mehraban on behalf of Securities and Exchange Commission
pdf_icon 181 11/13/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [179] Exhibit List, [180] Witness List
180 11/13/2010
pdf_icon 179 11/13/2010 Exhibit List by David M. Wojeski
pdf_icon 178 11/12/2010 Non-Party Letter from Thomas P. Wagner
pdf_icon 177 11/12/2010 STIPULATION re [150] Order, by Securities and Exchange Commission submitted to Judge Homer
pdf_icon 176 11/9/2010 MOTION Release of Certain Assets from the Preliminary Injunction Order Motion Hearing set for 12/9/2010 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/22/2010 filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s), # (13) Exhibit(s), # (14) Exhibit(s), # (15) Exhibit(s), # (16) Exhibit(s), # (17) Exhibit(s), # (18) Exhibit(s), # (19) Exhibit(s)) Motions referred to David R. Homer.
pdf_icon 175 11/9/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [174] Notice of Appearance
pdf_icon 174 11/9/2010 NOTICE of Appearance by Robert H. Iseman on behalf of David M. Wojeski
pdf_icon 173 11/8/2010 ORDER TO SHOW CAUSE Why Defendants Timothy M. McGinn and David L. Smith Should Not Be Held In Contempt. IT IS ORDERED that Defendants McGinn and Smith show cause, if there be any, on 11/17/2010 at 2:30 PM in Albany before Magistrate Judge David R. Homer why this Court should not enter an Order pursuant to Rules 54 and 65 of the FRCP, Section 20 of the Securities Act and Section 21 of the Exchange Act. IT IS FURTHER ORDERED that any opposition briefs are due by 11/12/2010 and any reply briefs are due 11/15/2010. Signed by Magistrate Judge David R. Homer on 11/4/2010
11/8/2010 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Telephone Conference was held on 10/26/2010 with counsel for all parties re defendants’ requests for leave to file nondispositive motions [153, 160]. A written order was entered [161].
pdf_icon 172 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
pdf_icon 171 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
pdf_icon 170 11/5/2010 CERTIFICATE OF SERVICE by CIT Lending Services Corporation re [169] MOTION to Intervene and Lift of Temporary Restraining Order (Hill, Benjamin)
pdf_icon 169 11/5/2010 MOTION to Intervene and Lift of Temporary Restraining Order Motion Hearing set for 12/16/2010 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 11/29/2010 filed by CIT Lending Services Corporation. (Attachments: # (1) Affidavit Benjamin W. Hill, Esq., # (2) Exhibit(s) A through F, # (3) Memorandum of Law) Motions referred to David R. Homer. (Hill, Benjamin)
pdf_icon 1 Affidavit Benjamin W. Hill, Esq.
pdf_icon 2 Exhibit(s) A through F
pdf_icon 3 Memorandum of Law) Motions referred to David R. Homer
11/3/2010 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A pre-motion conference was held by telephone on 10/26/2010 with counsel for all parties. Defendants McGinn and David Smith requested leave to file certain nondispostiive motions. The request was granted and motions are to be filed on or before 11/15/2010. A written order was entered.
11/3/2010 TEXT NOTICE re [168] Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order. A Telephone Conference will be held with Magistrate Judge David R. Homer on NOVEMBER 4, 2010 at 3:30 PM. A dial-in number will be provided to the parties by Gusrai, Kaplan Law Firm
pdf_icon 168 11/3/2010 Emergency MOTION for Preliminary Injunction Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law, # (2) Declaration of Paul Zindell, # (3) Exhibit(s) Zindell Ex. 1, # (4) Exhibit(s) Zindell Ex. 2, # (5) Exhibit(s) Zindell Ex. 3, # (6) Exhibit(s) Zindell Ex. 4, # (7) Declaration of David Stoelting, # (8) Exhibit(s) Stoelting Ex. 1, # (9) Exhibit(s) Stoelting Ex. 2, # (10) Exhibit(s) Stoelting Ex. 3, # (11) Exhibit(s) Stoelting Ex. 4, # (12) Exhibit(s) Stoelting Ex. 5, # (13) Exhibit(s) Stoelting Ex. 6, # (14) Exhibit(s) Stoelting Ex. 7, # (15) Exhibit(s) Stoelting Ex. 8, # (16) Exhibit(s) Stoelting Ex. 9, # (17) Exhibit(s) Stoelting Ex. 10, # (18) Exhibit(s) Stoelting Ex. 11, # (19) Exhibit(s) Stoelting Ex. 12, # (20) Exhibit(s) Stoelting Ex. 13, # (21) Exhibit(s) Stoelting Ex. 14)(Stoelting, David)
pdf_icon 1 Memorandum of Law pdf_icon 8 Exhibit(s) Stoelting Ex. 1 pdf_icon 15 Exhibit(s) Stoelting Ex. 8
pdf_icon 2 Declaration of Paul Zindell pdf_icon 9 Exhibit(s) Stoelting Ex. 2 pdf_icon 16 Exhibit(s) Stoelting Ex. 9
pdf_icon 3 Exhibit(s) Zindell Ex. 1 pdf_icon 10 Exhibit(s) Stoelting Ex. 3 pdf_icon 17 Exhibit(s) Stoelting Ex. 10
pdf_icon 4 Exhibit(s) Zindell Ex. 2 pdf_icon 11 Exhibit(s) Stoelting Ex. 4 pdf_icon 18 Exhibit(s) Stoelting Ex. 11
pdf_icon 5 Exhibit(s) Zindell Ex. 3 pdf_icon 12 Exhibit(s) Stoelting Ex. 5 pdf_icon 19 Exhibit(s) Stoelting Ex. 12
pdf_icon 6 Exhibit(s) Zindell Ex. 4 pdf_icon 13 Exhibit(s) Stoelting Ex. 6 pdf_icon 20 Exhibit(s) Stoelting Ex. 13
pdf_icon 7 Declaration of David Stoelting pdf_icon 14 Exhibit(s) Stoelting Ex. 7 pdf_icon 21 Exhibit(s) Stoelting Ex. 14
11/2/2010 USCA Case Number is 10-3576-cv for [128] Appeal filed by Lynn A. Smith.
pdf_icon 167 11/1/2010 Non-Party Letter from Robert L. Gilbert.
pdf_icon 166 11/1/2010 ORDER granting [165] Letter Request for extension of time to answer or otherwise move with respect to the Amended Complaint. Answer due 12/15/2010. Signed by Magistrate Judge David R. Homer on 11/1/2010.
pdf_icon 165 11/1/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting Extension of time to respond to Amended Complaint. (Attachments: # (1) Proposed Order/Judgment extending time to respond to Amended Complaint)
164 11/1/2010 TRANSCRIPT of Proceedings: digitally recorded pre-motion conference held on 10/26/2010 before Judge David R. Homer, Court Reporter/Transcriber: Bonnie Buckley, Telephone number: 518-257-1898. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. 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 11/19/2010. Redacted Transcript Deadline set for 11/29/2010. Release of Transcript Restriction set for 1/27/2011. Notice of Intent to Redact due by 11/3/2010
pdf_icon 163 10/29/2010 Non-Party Letter from Stanley C. Rosenzweig
pdf_icon 162 10/26/2010 TRANSCRIPT REQUEST for a seven day expedited transcript by Timothy M. McGinn, David L. Smith for proceedings held on October 26, 2010 before Judge Homer.
pdf_icon 161 10/26/2010 ORDER granting [153] and [160]. It is ORDERED that 1) All defendants are granted leave to file motions under Rajaratnam; 2) Defendants Timothy M. McGinn and David L. Smith are granted leave to file a motion seeking to compel plaintiff to respond to certain interrogatories and document demands; and 3) Any such motions shall be filed on or before 11/15/2010. Signed by Magistrate Judge David R. Homer on 10/26/2010.
pdf_icon 160 10/26/2010 Letter Motion from Alison B. Cohen for Timothy M. McGinn, David L. Smith requesting the addition of a discovery related issue to the agenda for the October 26, 2010 pre-motion conference submitted to Judge Homer.
pdf_icon 159 10/25/2010 LETTER BRIEF by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
pdf_icon 158 10/22/2010 LETTER BRIEF by Securities and Exchange Commission. (Stoelting, David)
10/21/2010 TEXT NOTICE re [153] Letter Motion from Martin P. Russo seeking leave to file a motion compelling plaintiff to cease and desist using documents obtained from the execution of a search warrant. A Telephone Pre-Motion Conference will be held on 10/26/2010 at 9:00 AM with Magistrate Judge David R. Homer. Attorney Martin Russo will provide a dial-in number. Any counsel wishing to participate in person may do so.
pdf_icon 157 10/21/2010 Non-Party Letter from Dorothy H. Puglisi.
pdf_icon 156 10/19/2010 ORDER granting request for an adjournment of the 11/4/2010 hearing. ORDERED that the evidentiary hearing is hereby adjourned to 11/16/2010 at 9:15 am. On or before November 12, 2010, plaintiff and the Trust shall file a list of the witnesses whom that party intends to call to testify at the hearing and a list of any exhibits which the party intends to offer in evidence during the hearing. Signed by Magistrate Judge David R. Homer on 10/19/2010.
pdf_icon 155 10/19/2010 MOTION for Joinder Joinder of Receiver to Plaintiff’s Motion to Amend the Preliminary Injunction Order filed by William J Brown. Motions referred to David R. Homer.
10/19/2010 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 10/15/2010 with David Stoelting, counsel for plaintiff, and Jill Dunn, counsel for the Trust. Dunn requested an adjournment of the 11/4/2010 evidentiary hearing before Judge Homer. That request was granted. The hearing will be held on 11/16/2010 at 9:15 a.m. A written order will enter.
pdf_icon 154 10/19/2010 Non-Party Letter from Carol Benderson-Lighter.
pdf_icon 153 10/15/2010 Letter Motion from Martin P. Russo for Timothy M. McGinn, David L. Smith requesting a conference pursuant to Local Rule 7.1(b)(2) submitted to Judge Homer.
pdf_icon 152 10/12/2010 Non-Party Letter from John and Eleanor Delaney
pdf_icon 151 10/11/2010 RESPONSE in Opposition re [146] Cross MOTION for Release of Funds and Motion in Opposition to Plaintiff’s Motion to Amend the Preliminary Injunction Order filed by Securities and Exchange Commission.
10/6/2010 Set Hearing: Evidentiary Hearing set for 11/4/2010 10:00 AM in Albany before Magistrate Judge David R. Homer.
pdf_icon 150 10/6/2010 It is hereby ORDERED that an evidentiary hearing will be held on 11/4/2010 at 10:00 am and continuing to conclusion to hear testimony and evidence regarding the issues discussed in this Order. Signed by Magistrate Judge David R. Homer on 10/7/2010
pdf_icon 149 10/6/2010 MEMORANDUM OF LAW re [103] Motion for TRO, [147] Affidavit in Opposition to Motion, [148] Affidavit in Opposition to Motion filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # (1) Court of Appeals Decision SEC v. Rajaratnam (2d Cir. 9/29/10)
pdf_icon 148 10/6/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
pdf_icon 147 10/6/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
pdf_icon 146 10/5/2010 Cross MOTION for Release of Funds and Motion in Opposition to Plaintiff’s Motion to Amend the Preliminary Injunction Order filed by Lynn A. Smith. (Attachments: # (1) Memorandum of Law, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s)) Motions referred to David R. Homer.
pdf_icon 145 10/5/2010 RESPONSE in Opposition re [143] MOTION to Amend/Correct [96] Order MOTION to Amend/Correct [96] Order MOTION to Amend/Correct [96] Order Opposition to Plaintiff’s Motion to Amend the Preliminary Injunction Order filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s))
9/27/2010 TEXT NOTICE to establish that the motion schedule for plaintiff’s Motion to Amend the Preliminary Injunction Order [143] is as set forth in the docket at [143], that is, the Motion return date is set for 10/21/2010 and any responses shall be filed on or before 10/4/2010. The motion will be heard on submission of the papers.
9/27/2010 TEXT ORDER re [144]. The deadline to file an answer or otherwise move with respect to the Amended Complaint [100] is hereby extended to NOVEMBER 15, 2010. Signed by Magistrate Judge David R. Homer on 09/27/2010
9/27/2010 TEXT ORDER re Letter Motion from Jill Dunn, counsel to defendant Wojeski. Defendant is granted leave to file a Reply to the pending motion for reconsideration on or before OCTOBER 6, 2010. Signed by Magistrate Judge David R. Homer on 09/27/2010
pdf_icon 144 9/27/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting permission to file surreply and motion hearing schedule submitted to Judge Homer
pdf_icon 143 9/20/2010 MOTION to Amend/Correct [96] Order Motion Hearing set for 10/21/2010 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 10/4/2010 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in support of Motion to Amend Preliminary Injunction Order, # (2) Declaration of Lara Shalov Mehraban, # (3) Exhibit(s) 1, # (4) Exhibit(s) 2 to 4, # (5) Exhibit(s) 5 to 8, # (6) Proposed Order/Judgment) Motions referred to David R. Homer.
pdf_icon 142 9/15/2010 REPLY to Response to Motion re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Lara Shalov Mehraban, # (2) Exhibit(s) A-C)(McGrath, Kevin)
141 9/14/2010 TRANSCRIPT of Proceedings: Digitally Recorded Motion held on 8/16/10 before Judge Homer, Court Reporter/Transcriber: Eileen McDonough, Telephone number: 315-234-8546. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In orde r to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal inform ation is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. 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 10/4/2010. Redacted Transcript Deadline set for 10/14/2010. Release of Transcript Restriction set for 12/13/2010. Notice of Intent to Redact due by 9/20/2010
pdf_icon 140 9/9/2010 ORDER as directed during the conference on 9/8/2010 and pursuant to N.D.N.Y.L.R. 7.1(b)(2), leave is hereby granted to the SEC and to defendants Timothy McGinn, David Smith and Lynn Smith to file motions regarding the asset freeze. Signed by Magistrate Judge David R. Homer on 9/9/2010.
pdf_icon 139 9/8/2010 ANSWER to Amended Complaint by Nancy McGinn.
pdf_icon 138 9/8/2010 Letter Motion from David L. Smith and Timothy M. McGinn for Timothy M. McGinn, David L. Smith requesting Permission to make cross-motion submitted to Judge Homer.
pdf_icon 137 9/8/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on August 16, 2010 before Judge Homer.. (Stoelting, David)
pdf_icon 136 9/8/2010 UNIFORM PRETRIAL SCHEDULING ORDER: Anticipated length of trial: 15 Days. Joinder of Parties due by 11/1/2010. Amended Pleadings due by 11/1/2010. Initial written discovery demands must be served by 9/17/2010. Discovery due by 7/1/2011. Motions to be filed by 9/15/2011. Trial Ready Deadline is 9/15/2011 if no dispositive motions are filed. Signed by Magistrate Judge David R. Homer on 9/7/2010. (mab)
pdf_icon 135 9/8/2010 MEMORANDUM OF LAW re 133 Affidavit in Opposition to Motion, 134 Affidavit in Opposition to Motion, filed by Lauren T. Smith, Geoffrey R. Smith, Davd M. Wojeski, David M. Wojeski.
pdf_icon 134 9/8/2010 AFFIDAVIT in Opposition re 103 Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief, 106 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # 1 Exhibit(s) A: Expert Opinion of David Evans, # 2 Exhibit(s) B: Letters dated July 27 and 29, 2010)(Dunn, Jill)
pdf_icon 133 9/8/2010 AFFIDAVIT in Opposition re 106 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] filed by Lynn A. Smith.
pdf_icon 132 9/8/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith submitted to Judge David R. Homer.
pdf_icon 131 9/8/2010 Letter Motion from David Stoelting requesting a court conference under Local Rule 7.1(b)(2) for Securities and Exchange Commission requesting Court conference under Local Rule 7.1(b)(2) for leave to file a motion to amend the PI Order to prohibit credit card usage and to require monthly reporting of expenses, payments and sources of funds submitted to Judge Homer.
pdf_icon 130 9/2/2010 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [128] Notice of Appeal.
pdf_icon 129 9/1/2010 ORDER granting [125] Motion for Limited Admission Pro Hac Vice for Francisco Silva. Signed by Magistrate Judge David R. Homer on 9/1/2010
pdf_icon 128 9/1/2010 NOTICE OF APPEAL by Lynn A. Smith. Filing fee $ 455, receipt number 0206-1654925
pdf_icon 127 8/31/2010 WAIVER OF SERVICE Returned Executed by William J Brown.
pdf_icon 126 8/27/2010 CIVIL CASE MANAGEMENT PLAN by Securities and Exchange Commission
pdf_icon 125 8/26/2010 MOTION for Limited Admission Pro Hac Vice of Francisco Silva of Shoma Group Filing fee $30, receipt number 0206-1651263. filed by The Shoma Group. Attachments: # (1) Verified Petition of Francisco Silva, # (2) Affidavit of Sponsor Craig H. Norman) Motions referred to David R. Homer.
pdf_icon 124 8/26/2010 STIPULATION AND ORDER extending the time for Lynn A. Smith, David M. Wojeski, Geoffrey R. Smith, Lauren T. Smith, David L. Smith and Timothy M. McGinn to answer or otherwise respond to the Amended Complaint. Answer due 9/30/2010. Signed by Magistrate Judge David R. Homer on 8/26/2010.
pdf_icon 123 8/26/2010 SUMMONS Returned Executed by Securities and Exchange Commission. Nancy McGinn served on 8/14/2010, answer due 9/7/2010.
pdf_icon 122 8/26/2010 STIPULATION and Proposed Order Extending Time to Respond to Amended Complaint to September 30, 2010 by Lynn A. Smith submitted to Judge David R. Homer.
pdf_icon 121 8/26/2010 ORDER granting [120] Letter Request for modification of the Court’s [118] Order as to plaintiff’s [103] motion for reconsideration as follows: (a) the Trust and any other defendants, relief defendants and intervenors shall file and serve any papers in opposition to plaintiff’s motion on or before 9/3/2010; (b) plaintiff may file and serve any reply papers thereto on or before 9/14/2010; and (c) a further conference will be scheduled following the filing of these papers to determine a schedule for completion of the litigation regarding the [103] motion. Signed by Magistrate Judge David R. Homer on 8/25/2010.
8/26/2010 [Text Only] Set/Reset Deadlines as to [103] motion for reconsideration: Response to Motion by The Trust and any other defendants, relief defendants and intervenors due by 9/3/2010; Plaintiff’s Reply to Response to Motion due by 9/14/2010.
pdf_icon 120 8/25/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting modification of current motion briefing schedule submitted to Judge Homer. Attachment: # (1) Proposed Order/Judgment Modifying current motion briefing schedule
pdf_icon 119 8/25/2010 NOTICE of Appearance by Jill A. Dunn on behalf of Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski
pdf_icon 118 8/17/2010 ORDER re conference held on 8/16/2010. ORDERED that Plaintiff Securities and Exchange Commission shall file Exhibit 14 to the Stoelting Declaration. Plaintiff’s motion for reconsideration of this Court’s decision unsealing the assets of the defendant Trust shall proceed according to the following schedule: The Trust and any other defendants, relief defendants and intervenors shall file and serve any papers in opposition to plaintiff’s motion on or before 8/30/2010; Plaintiff may file and serve any reply papers thereto on or before 9/9/2010; a further conference will be scheduled following the filing of these papers to determine a schedule for completion of the litigation regarding this motion. Signed by Magistrate Judge David R. Homer on 8/16/2010. (mab)
8/17/2010 [Text Only] Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Status Conference was held on-the-record on 8/16/2010 with all counsel. A schedule was set for submissions regarding plaintiff’s motion for reconsideration [103]. Plaintiff was directed to e-file Exhibit 14 to the Stoelting Declaration. A further conference will be set upon submission of the parties’ papers. A written order will be entered. (lah)
pdf_icon 117 8/16/2010 NOTICE by Securities and Exchange Commission re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Filing of Exhibit 14 (Stoelting, David)
8/16/2010 COURT TEXT NOTICE re the Rule 16 conference set for 9/2/2010 at 9:00 AM was previously scheduled before Magistrate Judge Treece in error. The Rule 16 conference will be held with Magistrate Judge David R. Homer on that same date and time. The Civil Case Management Plan shall be e-filed on or before 8/26/2010. Attorneys who are located out-of-town may participate by telephone. Please call chambers at 518-257-1850 with a contact telephone number for the conference. (lah, ) (Entered: 08/16/2010)
pdf_icon 116 8/16/2010 STIPULATION AND ORDER extending relief defendant/defendant Lynn A. Smith’s time to answer or otherwise respond in her capacity as a named Relief Defendant and Defendant to the Amended Complaint until 8/30/2010. Answer due date updated for Lynn A. Smith: answer due 8/30/2010. Signed by Magistrate Judge David R. Homer on 8/13/2010. (sg )
pdf_icon 115 8/16/2010 STIPULATION AND ORDER extending defendants Timothy M. McGinn’s and David L Smith’s time to answer or otherwise respond to the Amended Complaint until 8/30/2010. Answer due date updated for : Timothy M. McGinn answer due 8/30/2010; David L. Smith answer due 8/30/2010. Signed by Magistrate Judge David R. Homer on 8/13/2010. (sg )
pdf_icon 114 8/16/2010 STIPULATION and Proposed Order to Extend Time to Answer or Otherwise Respond to Amended Complaint by Lynn A. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
pdf_icon 113 8/16/2010 STIPULATION Stipulation and Proposed Order to Extend Time to Answer or Otherwise Respond to the Amended Complaint by Timothy M. McGinn, David L. Smith submitted to Judge Homer. (Cohen, Alison)
pdf_icon 112 8/16/2010 NOTICE of Appearance by Alison B. Cohen on behalf of Timothy M. McGinn, David L. Smith (Cohen, Alison)
pdf_icon 111 8/16/2010 NOTICE of Appearance by Martin P. Russo on behalf of Timothy M. McGinn, David L. Smith (Russo, Martin)
pdf_icon 110 8/16/2010 ORDER granting 108 letter requesting to withdraw defendant Lynn Smith’s 69 Motion to Dismiss. Signed by Judge Gary L. Sharpe on 8/10/2010. (jel, )
8/16/2010 8/10/10: COURT TEXT NOTICE. At the conference on August 16, 2010 with Magistrate Judge David R. Homer, the parties shall be prepared to address why Exhibit 14 to Stoelting Declaraton 103 should not be filed in the docket of this case. (lah, )
pdf_icon 109 8/16/2010 NOTICE of Appearance by Craig H. Norman on behalf of The Shoma Group (Norman, Craig)
pdf_icon 108 8/9/2010 Letter Motion from Scott J. Ely for Lynn A. Smith requesting to withdraw Motion to Dismiss submitted to Judge Gary L. Sharpe. (Featherstonhaugh, James)
8/6/2010 [Text Only] COURT TEXT NOTICE (SUPPLEMENTAL) re: Order to Show Cause [104]. The Trustee’s Verified Accounting to be served on or before August 16, 2010. (lah)
8/6/2010 [Text Only] COURT TEXT NOTICE re [104] AND [107]. The Telephone Conference previously set for 8/11/2010 at 11:00 AM with Magistrate Judge David R. Homer is RESCHEDULED to an IN-PERSON CONFERENCE on AUGUST 16, 2010 at 11:00 AM. During the conference new dates will be established for the parties’ responses and hearing date on the court’s order to show cause [104]. Leave of the court must be obtained to participate in this conference by telephone. (lah)
pdf_icon 107 8/6/2010 Letter Motion from Jill Dunn for David M. Wojeski, David M. Wojeski requesting Extension of deadlines in Order to Show Cause submitted to Judge Homer. (Dunn, Jill)
pdf_icon 106 8/5/2010 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] by Securities and Exchange Commission.(Stoelting, David)
pdf_icon 105 8/5/2010 Summons Issued as to Nancy McGinn, Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski. (Attachments: # (1) Summons Issued as to Geoffrey Smith, #(2) Summons Issued as to Lauren Smith, #(3) Summons Issued as to David Wojeski) (mab)

pdf_icon

1

 Summons Issued as to Geoffrey Smith
pdf_icon

2

 Summons Issued as to Lauren Smith
pdf_icon

3

 Summons Issued as to David Wojeski
8/5/2010 [Text Only] A Conference will be held with Magistrate Judge David R. Homer on AUGUST 11, 2011 at 11:00 AM re the pending Order to Show Cause [104]. The out-of-town attorneys may participate by telephone. The court will initiate the conference call. (lah)
8/4/2010 [Text Only] COURT TEXT NOTICE. The handwritten insertion on page 5 of the Order to Show Cause filed 8/4/2010 [104] appears illegible in part and, for the information of the parties, states as follows: "...deeming this application as a motion (1) to reconsider the portion of the order filed July 7 2010 [86] as to the trust, and (2) for a preliminary injunction as to Nancy McGinn,..." (lah)
pdf_icon 104 8/4/2010 ORDER re [103] Emergency MOTION. Show Cause Hearing set for 8/18/2010 at 10:00 AM in Albany before Magistrate Judge David R. Homer. IT IS FURTHER ORDERED that the Preliminary Injunction Order dated July 22, 2010 remains in full force and effect, except to the extent modified by this Order. Signed by Magistrate Judge David R. Homer on 8/3/2010. (mab)
pdf_icon 103 8/3/2010 Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief by Securities and Exchange Commission. (Stoelting, David)
Attachments:
pdf_icon

1

 Memorandum of Law in Support of Plaintiff’s Application for an Order to Show Cause and Emergency Relief pdf_icon

11

 Exhibit(s) 9
pdf_icon

2

 Declaration of David Stoelting pdf_icon

12

 Exhibit(s) 10
pdf_icon

3

 Exhibit(s) 1 pdf_icon

13

 Exhibit(s) 11
pdf_icon

4

 Exhibit(s) 2 pdf_icon

14

 Exhibit(s) 12
pdf_icon

5

 Exhibit(s) 3 pdf_icon

15

 Exhibit(s) 13
pdf_icon

6

 Exhibit(s) 4 pdf_icon

16

 Exhibit(s) 14
pdf_icon

7

 Exhibit(s) 5 pdf_icon

17

 Exhibit(s) 15
pdf_icon

8

 Exhibit(s) 6 pdf_icon

18

 Exhibit(s) 16
pdf_icon

9

 Exhibit(s) 7 pdf_icon

19

 Exhibit(s) 17
pdf_icon

10

 Exhibit(s) 8 pdf_icon

20

 Declaration of Roseann Daniello
pdf_icon 102 8/3/2010 ORDER re [99] Stipulation and Proposed Order filed by Defendants Timothy M. McGinn and David L. Smith. Answer due date updated for Timothy M. McGinn. Answer due 8/16/2010. Answer due date updated for David L. Smith. Answer due 8/16/2010. Signed by Magistrate Judge David R. Homer on 8/2/2010. (mab)
pdf_icon 101 8/3/2010 RESPONSE in Opposition re [69] MOTION to Dismiss filed by Securities and Exchange Commission. (McGrath, Kevin)
pdf_icon 100 8/3/2010 AMENDED COMPLAINT against First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, Timothy M. McGinn, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., David L. Smith, Lynn A. Smith, Third Albany Income Notes, LLC filed by Securities and Exchange Commission. (Stoelting, David)
Attachments:
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1

 Proposed Summons
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2

 Proposed Summons
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3

 Proposed Summons
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4

 Proposed Summons
pdf_icon 99 7/29/2010 STIPULATION for Extension of Time to Answer or Otherwise Respond to the Complaint and Proposed Order by Timothy M. McGinn, David L. Smith submitted to Judge Sharpe. (Kaplan, Martin)
pdf_icon 98 7/29/2010 NOTICE of Appearance by Martin H. Kaplan on behalf of Timothy M. McGinn, David L. Smith (Kaplan, Martin)
pdf_icon 97 7/29/2010 ORDER re [92] Notice of Substitution of Counsel filed by Timothy M. McGinn, David L. Smith. Signed by Judge Gary L. Sharpe on 7/28/2010. (mab)
pdf_icon 96 7/26/2010 ORDER re [58] Letter Motion from David Stoelting for Securities and Exchange Commission. IT IS HEREBY ORDERED that the Commission’s Motion for a Preliminary Injunction is GRANTED. Signed by Magistrate Judge David R. Homer on 7/22/2010. (mab)
7/23/2010 [Text Only] Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 7/22/2010 at the request of plaintiff SEC. SEC requested the court to freeze the Trust account pending this action. The request was denied without prejudice. A written order will be entered. (lah)
pdf_icon 95 7/23/2010 ORDER re telephone conference held on 7/22/2010. ORDERED that the request of the SEC for an order freezing the Trust is DENIED without prejudice to renewal by formal motion; and IT IS FURTHER ORDERED that the request of the Trust for an order compelling release of the assets of the Trust to the Trustee is DENIED without prejudice to renewal in a formal motion. Signed by Magistrate Judge David R. Homer on 7/23/2010. (mab)
pdf_icon 94 7/23/2010 RECEIPT for Returned Exhibits signed by David Stoelting on 7/23/2010. (mab)
pdf_icon 93 7/23/2010 Letter Motion from William J. Brown, Receiver for William J Brown submitted to Judge Homer
pdf_icon 92 7/23/2010 Notice of Substitution of Counsel
pdf_icon 91 7/20/2010 RECEIPT for Returned Exhibits signed by Featherstonhaugh, Wiley Law Firm on 7/15/2010
pdf_icon 90 7/15/2010 Receipt for Returned Exhibits signed by Jill A. Dunn on 7/15/2010
89 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/11/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
88 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/10/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
87 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/9/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
pdf_icon 86 7/8/2010 Memorandum Decision and Order
pdf_icon 85 7/6/2010 ORDER granting Letter Request, Timothy M. McGinn answer due 7/30/2010; David L. Smith answer due 7/30/2010. Signed by Magistrate Judge David R. Homer on 7/2/2010
pdf_icon 84 7/1/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting extension of time to July 30, 2010 for defendants McGinn and Smith to answer the Complaint submitted to Judge David R. Homer
6/28/2010 [Text Only] Text Only Order - On June 24, 2010, the plaintiff filed a letter requesting an extension of time to respond to defendant Lynn Smiths motion to dismiss. (Dkt. No. 81). Defendant Lynn Smith opposes plaintiffs request. (Dkt. No. 82). The court has reviewed the parties submissions. IT IS ORDERED, that the plaintiffs response papers are to be filed on or before August 2, 2010. Defendant Lynn Smiths reply papers are to be filed on or before August 9, 2010. The motion hearing has been rescheduled for August 19, 2010 at 9:30 a.m. Issued by Judge Gary L. Sharpe on 6/25/2010.
pdf_icon 83 6/28/2010 Transcript Request by Securities and Exchange Commission for proceedings held on June 9-11, 2010 before Judge Homer
pdf_icon 82 6/28/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting Letter Opposing Plaintiff’s Request for Extension to File Response to Relief Defendant’s Motion to Dismiss submitted to Judge Sharpe
pdf_icon 81 6/28/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to respond to motion to dismiss filed by relief defendant Lynn A. Smith submitted to Judge Sharpe
pdf_icon 80 6/21/2010 Memorandum of Law in Opposition to Request for Adverse Inferences Based on Defendants McGinn and Smith’s Invocation of their Constitutional Rights
pdf_icon 79 6/21/2010 Memorandum of Law In Opposition To The Application Of Adverse Inferences Proposed To Be Drawn From Defendants’ Assertions Of The Fifth Amendment filed by Lynn A. Smith
pdf_icon 78 6/21/2010 Notice of Appearance by William J. Brown on behalf of First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., Third Albany Income Notes, LLC
pdf_icon 77 6/21/2010 Minute Entry (CTRM #1 Electronically and steno graphically recorded) for proceedings held before Magistrate Judge David R. Homer: Motion for a Preliminary Injuction held on 6/11/2010. Witness for defense: John D’Aleo, Intervenor witness: Jeffrey Smith, David Wojeski. Closings made. TRO remains in effect until motion for prelim injunction is decided.
pdf_icon 76 6/21/2010 Minute Entry (CRTRM #1/electronically & stenographically recorded) for proceedings held before Magistrate Judge David R. Homer: Motion for Preliminary Injunction held on 6/10/2010. Witnesses for plaintiff: Timothy R. Welles, Lynn A. Smith. Witness for defendant Lynn Smith: John D’Aleo. Court is adjourned until 10:15 am June 11, 2010.
pdf_icon 75 6/16/2010 Order granting 73 Letter Request. Signed by Magistrate Judge David R. Homer on 6/16/2010
pdf_icon 74 6/16/2010 Memorandum of Law Regarding Adverse Inferences to be Drawn From Defendants’ Assertions of the Fifth Amendment filed by Securities and Exchange Commission
pdf_icon 73 6/16/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting extension of time to July 2, 2010 for defendants McGinn and Smith to respond to the Complaint submitted to Judge David L. Homer
pdf_icon 72 6/16/2010 Intervenor’s Supplemental Exhibit List filed by Jill A. Dunn
pdf_icon 71 6/15/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting correction of a misstatement in Plaintiff’s Memorandum of Law in Response to: (1) Relief Defendant Lynn A. Smith’s Opposition to Plaintiff’s Motion for a Preliminary Injunction; and (2) Intervenor’s Order to Show Cause submitted to Judge David R. Homer
6/14/2010 [Text Only] Notice of Hearing on Motionto Dismiss : Response to Motion due by 6/28/2010. Reply to Response to Motion due by 7/6/2010. Motion Hearing set for 7/15/2010 at 09:00 AM in Albany before Judge Gary L. Sharpe
pdf_icon 70 6/14/2010 Minute Entry (FTR recorded in CTRM #1/CR Bonnie Buckley) for proceedings held before Magistrate Judge David R. Homer: Motion for Preliminary Injuction held on 6/9/2010. Witnesses for plaintiff: William J. Brown, Isreal Maya, Roseann Daniello,Bernard Malmud, David McQuade. Court is adjourned to 9:15 am on 6/10/10
pdf_icon 69 6/10/2010 Motion to Dismiss Motion Hearing set for 7/12/2010 10:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 6/25/2010 Reply to Response to Motion due by 7/1/2010 filed by Lynn A. Smith
pdf_icon 68 6/10/2010 Order granting Letter Request. Signed by Magistrate Judge David R. Homer on 6/9/2010
pdf_icon 67 6/10/2010 Order granting Letter Request. Timothy M. McGinn answer due 6/18/2010; David L. Smith answer due 6/18/2010. Signed by Magistrate Judge David R. Homer on 6/9/2010
pdf_icon 66 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Reply Declaration of Jill Dunn filed by David M. Wojeski
pdf_icon 65 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Reply Affidavit of Intervenor filed by David M. Wojeski
pdf_icon 64 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Memorandum of Law filed by David M. Wojeski
pdf_icon 63 6/9/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to June 18, 2010 for defendants Smith and McGinn to respond to the Complaint
pdf_icon 62 6/9/2010 Exhibit List relating to Preliminary Injunction hearing scheduled for June 9, 2010 by Securities and Exchange Commission
pdf_icon 61 6/9/2010 Notice by Timothy M. McGinn, David L. Smith re 58 Letter Motion from David Stoelting for Securities and Exchange Commission requesting submitting revised Preliminary Injunction Order consented to by all defendants submitted to Judge Homer Consent to Entry of Preliminary Injunction Order
pdf_icon 60 6/9/2010 Notice by David M. Wojeski of Disclosure of Witnesses and Exhibits
pdf_icon 59 6/9/2010 Consent Order Referring Motion for Temporary Restraining Order Motion for Preliminary Injunction filed by Securities and Exchange Commission. Signed by Judge Gary L. Sharpe on 6/8/2010
pdf_icon 58 6/9/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting submitting revised Preliminary Injunction Order consented to by all defendants submitted to Judge Homer
pdf_icon 57 6/9/2010 Notice by Lynn A. Smith of Initial Disclosure of Potential Witnesses and Exhibits
pdf_icon 56 6/8/2010 Notice of Appearance by Kevin P. McGrath on behalf of Securities and Exchange Commission
pdf_icon 55 6/8/2010 Order granting 53 Letter Request. It is ordered that Intervenor shall file and serve any reply papers to the Plaintiff’s motion for a preliminary injunction on or before 6/8/2010
6/8/2010 [Text Only] Notice re [52] Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting conference call. A Telephone Conference will be held with all counsel and Magistrate Judge David R. Homer on June 8, 2010 at 3:00 PM. The court will initiate the conference call.
pdf_icon 54 6/7/2010 Letter Brief regarding Consent Order Regarding Pine Street Entities by David M. Wojeski
pdf_icon 53 6/7/2010 Letter Motion from Jill Dunn for David M. Wojeski requesting extension of time to file reply papers submitted to Judge Homer
pdf_icon 52 6/7/2010 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting conference call submitted to Judge Homer
pdf_icon 51 6/7/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Order Regarding Pine Street Entities submitted to Judge Homer
pdf_icon 50 6/7/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting Response to Plaintiff’s Memorandum of Law Response to Relief Defendant Lynn A. Smith’s Opposition to Plaintiff’s Motion for a Preliminary Injunction and Intervenor’s Order to Show Cause submitted to Judge David R. Homer
pdf_icon 49 6/4/2010 First Report of the Receiver
pdf_icon 48 6/4/2010 Receiver’s Consent to Preliminary Injunction Order
pdf_icon 47 6/4/2010 Memorandum of Law in Response to: (1) Relief Defendant Lynn A. Smith’s Opposition to Plaintiff’s Motion for a Preliminary Injunction; and (2) Intervenor’s Order to Show Cause filed by Securities and Exchange Commission
46 6/4/2010 Supplemental Declaration of Roseann Daniello dated June 2, 2010 with Exhibits (5 parts)
pdf_icon Part 1
pdf_icon Part 2
pdf_icon Part 3
pdf_icon Part 4
pdf_icon Part 5
pdf_icon 45 6/4/2010 Order Granting request in #44 above
pdf_icon 44 6/3/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to June 3, 2010 at 4:00 pm to file papers re preliminary injunction motion submitted to Judge Homer
pdf_icon 43 6/3/2010 Order Granting Request in #40 above
pdf_icon 42 6/3/2010 Letter Motion from James Featherstonhaugh for Lynn A. Smith requesting Response to Plaintiff’s Motion for a Protective Order submitted to Judge Hon. David R. Homer
pdf_icon 41 6/1/2010 Motion for Protective Order to ensure compliance with paragraph 1 of the Order dated 5/25/10 concerning scope of deposition filed by SEC (w/ Memorandum of Law attached)
pdf_icon 40 6/1/2010 Letter Motion from David Stoelting for SEC Requesting (1) Extension to 6/2/10 for plaintiff to respond to Intervenor and Lynn Smith motions; and (2) Intervenor to 6/7/10 to file reply submitted to Judge Homer
pdf_icon 39 6/1/2010 Order Granting Trustee of David L. and Lynn A. Smith Irrevocable Trust leave to intervene and rescheduling Preliminary Injunction Hearing
pdf_icon 38 5/28/2010 Status Report of McGinn and Smith
pdf_icon 37 5/28/2010 Signed Consent Order
pdf_icon 36 5/28/2010 Proposed Consent Order
pdf_icon 35 5/28/2010 Intervenor’s Memorandum of Law
pdf_icon 34 5/28/2010 Affidavit of Lynn A. Smith in support of Motion to Intervene
pdf_icon 33 5/28/2010 Declaration of Jill A. Dunn in Support of Motion to Intervene For Limited Purpose
pdf_icon 32 5/28/2010 Affidavit of David M. Wojeski in Support of Motion to Intervene
pdf_icon 31 5/28/2010 Order to Show Cause to Establish Method for Service and Motion Schedule on Motion to Intervene
pdf_icon 30 5/26/2010 Order regarding Depositions
pdf_icon 29 5/26/2010 Order regarding Stay of Proceedings
pdf_icon 28 5/26/2010 SEC Response (Memorandum of Law)
pdf_icon 27 5/24/2010 Consent Order
pdf_icon 26 5/24/2010 Emergency Motion for Temporary Restraining Order Stay of Discovery by Timothy M. McGinn
pdf_icon 25 5/24/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Modification of Dates for Defendants to File Opposition Brief and Plaintiff to File Reply Concerning Order to Show Cause
pdf_icon 24 5/24/2010 Memorandum of Law filed by Lynn A. Smith
pdf_icon 23 5/24/2010 Affidavit by Lynn A. Smith
pdf_icon 22 5/20/2010 Response of McGinn and Smith
pdf_icon 21 5/7/2010 Consent Order
pdf_icon 20 5/6/2010 SEC Proposed Consent Order for Extension of Time
pdf_icon 19 5/6/2010 Statement of Assets (Redacted)
pdf_icon 18 5/3/10 Response of Timothy M. McGinn
pdf_icon 17 5/3/10 Response of David L. Smith
pdf_icon 16 5/3/10 Notice of Appearance
pdf_icon 15 5/3/10 Consent Order Extending Dates in Order to Show Cause
pdf_icon 14 5/3/10 List of Accounts
pdf_icon 13 5/3/10 Notice of Appearance
pdf_icon 12 4/29/10 Consent Order Referring Motion
pdf_icon 11 4/29/10 Letter
pdf_icon 10 4/29/10 Corrected Notice by SEC
pdf_icon 9 4/29/10 Notice by SEC
pdf_icon 8 4/29/10 Notice from KeyBank re Temporary Restraining Order
pdf_icon 7 4/29/10 Order Reassigning Case
pdf_icon 6 4/29/10 Certificate of Service
pdf_icon 5 4/20/10 Order to Show Cause, Temporary Restraining Order and Order Freezing Assets and Granting Other Relief
4 4/20/10 Motion for Temporary Restraining Order filed by Securities and Exchange Commission. (Attachments: Memorandum of Law, Declaration of Israel Maya, Declaration of Lara Shalov Mehraban, Declaration of Roseann Daniello, and Exhibits 1-67).
pdf_icon a Documents pdf_icon Exhibit 20 Part II
pdf_icon b Listing of Exhibits 1 to 19 pdf_icon Exhibit 21 Part I
pdf_icon b Listing of Exhibits 20 to 27 pdf_icon Exhibit 21 Part II
pdf_icon Exhibits 01 to 03 pdf_icon Exhibits 22 to 23
pdf_icon Exhibits 04 to 06 pdf_icon Exhibit 24
pdf_icon Exhibit 07 pdf_icon Exhibits 25 to 27
pdf_icon Exhibit 08 pdf_icon Exhibits 28 to 49
pdf_icon Exhibit 09 pdf_icon Exhibits 50 to 59
pdf_icon Exhibits 10 to 12 pdf_icon Exhibits 60 to 66
pdf_icon Exhibits 13 to 15 pdf_icon Exhibit 67 Part I
pdf_icon Exhibits 16 to 19 pdf_icon Exhibit 67 Part II
pdf_icon Exhibit 20 Part I pdf_icon Exhibit 67 Part III and IV
pdf_icon 3 4/20/10 Filing Order.
pdf_icon 2 4/20/10 Summons.
pdf_icon 1 4/20/10 Complaint.