848	12/30/2015	Letter Motion for William J. Brown requesting Hearing Date for Approval of Plan of Distribution submitted to Judge Christian F. Hummel. (Brown, William)
	847	12/30/2015	MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by William J. Brown. (Attachments: # (1) Notice of Motion, # (2) Declaration of William J. Brown, # (3) Memorandum of Law, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
	846	11/03/2015 Note: pdf file size 18 MB	Fifth MOTION COMPENSATION FOR SERVICES RENDERED Fifth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 12/17/2015 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 11/30/2015 filed by William J. Brown. (Attachments: # (1) Declaration, # (2) Exhibit(s) B-1, # (3) Exhibit(s) B-2, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
	845	09/01/2015	Letter dated August 27, 2015 from Richard L. Bove. (jel, )
	844	09/01/2015	Letter dated August 28, 2015 from Earl B. Seguine, Jr. (jel, )
	843	08/21/2015	LETTER BRIEF Receiver Letter in Response to Investor Letter (Docket No. 842) by William J. Brown. (Brown, William)
	842	08/20/2015	Letter dated August 12, 2015 from Richard L. Bove to the court. (jel, )
	841	07/10/2015	Mail Returned as Undeliverable regarding the # [835] Final Judgment as to David L. Smith, # [836] Final Judgment as to Defendant Timothy McGinn and # [837] Final Judgment as to Defendants Lynn A. Smith, Lauren T. Smith, Geoffrey R Smith and Nancy McGinn mailed to Nancy McGinn via regular mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the judgments will be resent via regular mail.(mc)
	840	07/08/2015	AMENDED FINAL JUDGMENT AS TO DEFENDANT TIMOTHY M. MCGINN: Amending the # [836] Judgment in favor of Securities and Exchange Commission against Timothy M. McGinn. Judgment amended to fix a monetary amount on page 6 previously listed as $11,668.132 and now updated to reflect the correct amount of $11,668,132. [Copy sent to pro se defendant Nancy McGinn via regular mail.] (mc)
	839	07/08/2015	Mail Returned as Undeliverable regarding the # [834] Text Order mailed to Nancy McGinn via regular mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the will be resent via regular mail. (mc)
	838	07/08/2015	Mail Returned as Undeliverable regarding the # [837] Judgment mailed to Nancy McGinn via certified mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the Judgment will be resent via certified mail. (mc)
	837	06/26/2015	FINAL JUDGMENT AS TO LYNN A. SMITH, LAUREN T. SMITH, GEOFFREY R. SMITH AND NANCY MCGINN: in favor of Securities and Exchange Commission against Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith and Nancy McGinn. The Court, on March 30, 2015, having issued a Memorandum-Decision and Order (Dkt. 816) granting plaintiff Securities and Exchange Commission’s motion for summary judgment on the Eighth Claim for Relief as alleged in the Second Amended Complaint (Dkt. 334). The transfers noted in Section 1 of this Order were made in violation of § 276 of the New York Debtor and Creditor Law, are declared void and are hereby set aside. It is ORDERED that L. Smith, as one of the transferors of the fraudulent transfers listed in Section I(2) through I(8) in this Order, shall be jointly and severally liable, together with D. Smith, for the return all such fraudulently transferred assets, or their equivalent value, to the Receiver, subject to the offset in Section III. It is ORDERED that the transferees identified in Section I in the Order shall be jointly and severally liable with D. Smith and L. Smith for the return of all assets fraudulently conveyed to them, or their equivalent value, to the Receiver, William J. Brown, Esq. as noted herein. It is ORDERED that the Receiver shall apply all proceeds of all payments and transfers to him pursuant to this Final Judgment, including all proceeds of the sale of the Sacandaga Lake Property, the Niskayuna Property and the Vero Beach Property, and the assets in the Smith Trust and the BOA Account, to the Distribution Fund for the benefit of the defrauded investors. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via certified and regular mail.] (mc)
	836	06/26/2015	FINAL JUDGMENT AS TO DEFENDANT TIMOTHY M. MCGINN: in favor of Securities and Exchange Commission against Timothy M. McGinn. On February 17, 2015 and March 30, 2015, having issued Memorandum-Decision and Orders (Dkt. 807, 816) granting plaintiff Securities and Exchange Commission’s motion for summary judgment of the First, Second, Third, Fourth, Sixth and Eighth Claims for relief. It is hereby ORDERED that Defendant Timothy M. McGinn is permanently enjoined and restrained from violating the sections of the Securities Act of 1933 noted herein, the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the of the mails, directly or indirectly as noted in the physical order. Pursuant to FRCvP 65(d)(2) directs that the following people receive personal service or otherwise, of this final judgment, (a) upon Defendant McGinn’s officers, agents, servants, employees and attorneys and (b) other persons in active concert or participation with Defendant McGinn. Pursuant to Section 21(d)(2) of the Exchange Act [15 U.S.C § 78u(d)(2), Defendant McGinn is prohibited from acting as an officer or director of any issuer that has a class of securities registered or is required to file reports. It is further ORDERED that Defendant McGinn is liable for disgorgement of $87,433,218, representing profits gained as a result of the conduct alleged in the Second Amended Complaint, together with prejudgment interest thereon in the amount of $11,668,132, for a total of $99,101,350. This liability for disgorgement and prejudgment interest shall be a joint and several liability of Defendant McGinn and Defendant David L. Smith. Defendant McGinn shall satisfy this obligation by paying $99,101,350 to William J. Brown, Esq., the Receiver appointed herein, within 14 days after the entry of this Final Judgment. See Order for further instruction on the impact of this payment. It is ORDERED that the property located at 26 Port Huron Drive, Niskayuna, NY from Timothy M. McGinn to the Defendant and Relief Defendant Nancy A. McGinn in October 2009 is hereby declared to have been a fraudulent conveyance and therefore the Receiver is authorized to apply the proceeds of this sale of the Niskayuna Property to the Distribution Fund. The Receiver shall hold all payments received and should submit to the Court a proposed Plan of Distribution. The Receiver is authorized to liquidate and monetize any assets recovered and deposit the proceeds thereof in an appropriate account. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via regular mail.] (mc)
	835	06/26/2015	FINAL JUDGMENT AS TO DEFENDANT DAVID L. SMITH: in favor of Securities and Exchange Commission against David L. Smith. On February 17, 2015 and March 30, 2015, having issued Memorandum-Decision and Orders (Dkt. 807, 816) granting plaintiff Securities and Exchange Commission’s motion for summary judgment of the First, Second, Third, Fourth, Sixth and Eighth Claims for relief. It is hereby ORDERED that Defendant David L. Smith is permanently enjoined and restrained from violating the sections of the Securities Act of 1933 noted herein, the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the of the mails, directly or indirectly as noted in the physical order. Pursuant to FRCvP 65(d)(2) directs that the following people receive personal service or otherwise, of this final judgment, (a) upon Defendant Smith’s officers, agents, servants, employees and attorneys and (b) other persons in active concert or participation with Defendant Smith. It is further ORDERED that Defendant Smith is liable for disgorgement of $87,433,218, representing profits gained as a result of the conduct alleged in the Second Amended Complaint, together with prejudgment interest thereon in the amount of $11,668,132, for a total of $99,101,350. This liability for disgorgement and prejudgment interest shall be a joint and several liability of Defendant David L. Smith and Defendant Timothy M. McGinn. Defendant Smith shall satisfy this obligation by paying $99,101,350 to William J. Brown, Esq., the Receiver appointed herein, within 14 days after the entry of this Final Judgment. See Order for further instruction on the impact of this payment. David Smith is a joint owner of a brokerage account in the name of Lynn A. Smith and is the beneficial owner of assets of David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 as such, all cash and securities, shall be treated as an asset and shall be applied to Smith’s payment obligation under this Final Judgment. David L. Smith transfers to L. Smith the titles of properties noted in section 7 (C) on page 7 are hereby set aside. The Receiver shall hold all payments received and should submit to the Court a proposed Plan of Distribution. The Receiver is authorized to liquidate and monetize any assets recovered and deposit the proceeds thereof in an appropriate account. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via regular mail.] (mc)
	834	06/25/2015	TEXT ONLY ORDER - Pending is plaintiff the Securities and Exchange Commissions (SEC) letter motion, (Dkt. No. 830), seeking entry of proposed final judgments as to defendants David Smith, (Dkt. No. 830, Attach. 1), Timothy McGinn, (Dkt. No. 830, Attach. 2), Lynn Smith, Geoffrey Smith, Lauren Smith, and Nancy McGinn, (Dkt. No. 830, Attach. 3). Also pending is Lynn Smith’s letter motion seeking a hearing. (Dkt. No. 831.) Consistent with the court’s February 17, 2015 Memorandum-Decision and Order, (Dkt. No. 807), and its March 30, 2015 Memorandum-Decision and Order, (Dkt. No. 816), the SEC’s motion, (Dkt. No. 830), is GRANTED and the Clerk is directed to enter the proposed judgments. Lynn Smith’s motion requesting a hearing, (Dkt. No. 831), is DENIED as unnecessary. IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 6/25/2015. (jel, )
	833	06/17/2015	LETTER BRIEF Receiver Reply Letter to Alan Werksman (Docket No. 832) by William J. Brown. (Brown, William)
	832	06/15/2015	Letter from Alan J. Werksman. (ban)
	831	06/11/2015	Letter Motion from Jonathan S. McCardle for Lynn A. Smith requesting Hearing submitted to Judge Gary L. Sharpe . (McCardle, Jonathan)
	830	06/10/2015	Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Proposed Final Judgments submitted to Judge Sharpe . (Attachments: # (1) Proposed Final Judgment as to Defendant David Smith, # (2) Proposed Final Judgment as to Defendant Timothy McGinn, # (3) Proposed Final Judgment as to Lynn Smith, Geoffrey Smith, Lauren Smith and Nancy McGinn)(Stoelting, David)
	829	04/30/2015	SUPPLEMENTAL ELECTRONIC NOTICE AND CERTIFICATION: sent to U.S. Court of Appeals regarding the # [822] Notice of Appeal, # [824] Notice of Appeal and # [827] Notice of Appeal. [Copy sent to pro se defendant via regular mail.](mc)
	828	04/24/2015	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, Geoffrey R. Smith re [827] Notice of Appeal (Linnan, James)
	827	04/24/2015	NOTICE OF APPEAL 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, Geoffrey R. Smith. Filing fee $ 505, receipt number 0206-3269084. (Linnan, James)
	826	04/23/2015	ELECTRONIC NOTICE AND CERTIFICATION: sent to U.S. Court of Appeals regarding the # [822] Notice of Appeal and the # [824] Notice of Appeal. [Copy sent to pro se defendant via regular mail.] (mc)
	825	04/22/2015	CERTIFICATE OF SERVICE by Lynn A. Smith re [824] Notice of Appeal (McCardle, Jonathan)
	824	04/22/2015	NOTICE OF APPEAL by Lynn A. Smith(Relief Defendant). Filing fee $ 505, receipt number 0206-3266747. (McCardle, Jonathan)
	823	04/22/2015	CERTIFICATE OF SERVICE by David L. Smith re [822] Notice of Appeal (Dreyer, William)
	822	04/22/2015	NOTICE OF APPEAL as to [816] Order on Motion for Summary Judgment,,,,,,,,,,,,,,,,, by David L. Smith. Filing fee $ 505, receipt number 0206-3266118. (Dreyer, William)
	821	04/21/2015	LETTER BRIEF Consent of Receiver to Entry of Judgment on Fifth and Sixth Causes of Action by William J. Brown. (Brown, William)
	820	04/21/2015	TEXT ONLY ORDER - In its March 30, 2015 Memorandum-Decision and Order, the court directed the receiver, William Brown, Esq., to file his consent, on behalf of the Four Funds, to entry of judgment on the Security and Exchange Commissions fifth and sixth causes of action as they relate to the Four Funds. (Dkt. No. 816 at 55.) To date, the receiver has not filed his consent. Accordingly, the receiver is directed to file his consent within seven (7) days of this text only order. The court notes that, as articulated in its March 30, 2015 Memorandum-Decision and Order, the filing of this consent will have no impact on when the court enters judgment against the receivership defendants, including the Four Funds. (Id. at 53-55.) IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 4/21/2015. (jel, )
	819	04/20/2015	Letter dated April 10, 2015 from Dorothy H. Puglisi. (jel, )
	818	04/08/2015	Letter dated April 2, 2015 from Ronald DeLeonardis to William Brown, Receiver. (jel, )
	817	03/31/2015	NOTICE of Appearance by Jonathan S. McCardle on behalf of Lynn A. Smith(Relief Defendant) (McCardle, Jonathan)
	816	03/30/2015	MEMORANDUM-DECISION and ORDER - That the remainder of the SEC’s motion for summary judgment (Dkt. No. 708, Attach. 1 at 14-29, 32-40) is GRANTED. That the SEC’s requests for disgorgement of profits in the amount of $87,433,218 and prejudgment interest in the amount of $11,668,132 are GRANTED. That $99,101,350 - the total amount of disgorged profits plus prejudgment interest - be returned to defrauded investors. That the following assets may be applied in order to satisfy the disgorgement order: (1) the Stock Account; (2) the Smith Vero Beach Home; (3) the Checking Account; and (4) the Smith Trust. That the Clerk defer entering judgment as against the Four Funds, MS & Co., MS Advisors, and MS Capital pending further direct from the court. That Brown, on behalf of the Four Funds, may consent to entry of judgment on the SEC’s fifth and sixth causes of action, and is directed to file his consent with the court within fourteen (14) days of this Memorandum-Decsiion and Order. That Brown is further directed to inform the court, in writing, once the funds have been distributed to investors and he is ready to close the receivership, so that the court may enter judgment. That L. Smith’s motion for summary judgment (Dkt. No. 696) is DENIED as moot. That the Smith Trust, L.T. Smith, and G. Smith’s motion for summary judgment (Dkt. No. 704) is DENIED. Signed by Chief Judge Gary L. Sharpe on 3/30/2015. (jel, )
	815	03/17/2015	MEMORANDUM OF LAW re [809] Memorandum of Law, filed by David L. Smith. (Dreyer, William)
		03/11/2015	CLERK’S CORRECTION OF DOCKET ENTRY: Upon consultation with Attorney Richard L. Reiter, the Clerk confirmed that during the filing of the # [814] Notice of Appearance docket entry he selected the option to add a new filer since the party "David M. Wojeski" was previously terminated in both the defendant and intervenor roles and therefore was unavailable for selection. The Clerk deleted the duplicate party, corrected the link to reflect the change, Attorney Fred N. Knopf has been terminated and Attorney Reiter has been added. [Copy of NEF sent to pro se defendant Nancy McGinn via regular mail.] (mc)
	814	03/10/2015	NOTICE of Appearance by Richard L. Reiter on behalf of David M. Wojeski (Reiter, Richard)
	813	03/10/2015	LETTER/ORDER granting [810] Letter Motion from William J. Dreyer for David L. Smith requesting extension of time to file response on or before March 16, 2015. Signed by Chief Judge Gary L. Sharpe on 3/9/2015. (jel, )
	812	03/10/2015	***SEALED DOCUMENT. (jel, )
	811	03/10/2015	***SEALED DOCUMENT by Securities and Exchange Commission. (jel, )
	810	03/05/2015	Letter Motion from William J. Dreyer for David L. Smith requesting extension of time to file response submitted to Judge Sharpe . (Dreyer, William)
	809	03/04/2015	MEMORANDUM OF LAW re [808] Order,, [807] Order,,,,,,,,,,,,, filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of William J. Brown, # (2) Brown Ex 1, # (3) Brown Ex 2, # (4) Brown Ex 3(a), # (5) Brown Ex 3(b), # (6) Brown Ex 4, # (7) Brown Ex 5(a), # (8) Brown Ex. 5(b), # (9) Declaration of Kerri L. Palen, # (10) Palen Ex 1, # (11) Declaration of Service)(Stoelting, David)
	808	02/20/2015	TEXT ONLY ORDER - To remedy an inadvertent error in the court’s February 17, 2015 Memorandum-Decision and Order, (compare Dkt. No. 807 at 46, with id. at 56), the SEC’s supplemental submission regarding the amount it seeks in disgorgement and the status of its remaining claims is to be filed within fourteen (14) days from the date that the Memorandum-Decision and Order was issued. Smith may file a response within seven (7) days of the SECs submission. The parties submissions are not to exceed ten (10) pages in length. IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 2/20/2015. (jel, ) (Entered: 02/20/2015)
	807	02/17/2015	MEMORANDUM-DECISION and ORDER - ORDERED that the SEC’s motion for summary judgment is GRANTED IN PART and DENIED IN PART as follows: GRANTED with respect to the SEC’s first cause of action alleging violations of § 17(a) of the Securities Act, as against MS & Co., MS Advisors, MS Capital, McGinn, and Smith; GRANTED with respect to the SEC’s second cause of action alleging violations of § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, as against MS & Co., MS Advisors, MS Capital, McGinn, and Smith; GRANTED with respect to the SEC’s third cause of action alleging violations of § 15(c)(1) of the Exchange Act as against MS & Co., and aiding and abetting violations of § 15(c)(1) as against McGinn and Smith; GRANTED with respect to the SEC’s fourth cause of action alleging violations of the Advisors Act as against MS & Co., MS Advisors, McGinn, and Smith; GRANTED with respect to the SEC’s sixth cause of action alleging violations of §§ 5(a) and 5(c) of the Securities Act as against MS & Co., MS Capital, McGinn, and Smith; GRANTED with respect to the SEC’s request for a permanent injunction barring McGinn and Smith from committing future violations of §§ 5(a), 5(c), and 17(a) of the Securities Act, § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, § 15(c)(1) of the Exchange Act, and Rule 10b-3 thereunder, and §§ 206(1), 206(2), and 206(4) of the Investment Advisers Act, and Rule 206(4)-8 thereunder; and GRANTED with respect to the SEC’s request for an order barring McGinn from serving as an officer or director of a public company; and DENIED with respect to the SEC’s request for civil penalties; and it is further; ORDERED that the court reserves judgment on the SEC’s request for disgorgement of profits, only as to the appropriate amount. If the SEC wishes to pursue this theory, consistent with this Memorandum-Decision and Order, the SEC must provide a reasonable approximation of the profits causally connected to the violations within SEVEN (7) DAYS from the issuance of this Memorandum-Decision and Order. Smith may respond within SEVEN (7) DAYS after the SEC files its submission; and it is further; ORDERED that the court reserves judgment on the remainder of the SEC’s motion; and it is further ORDERED that, within SEVEN (7) DAYS of this Memorandum-Decision and Order, the SEC inform the court whether it has abandoned and/or withdrawn its fifth cause of action and sixth cause of action insofar as it is alleged against the Four Funds, or whether it seeks a trial on those claims; and it is further ORDERED that McGinn and Smith are enjoined from committing future violations of §§ 5(a), 5(c), and 17(a) of the Securities Act, § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, § 15(c)(1) of the Exchange Act, and Rule 10b-3 thereunder, and §§ 206(1), 206(2), and 206(4) of the Investment Advisers Act, and Rule 206(4)-8 thereunder; and it is further ORDERED that McGinn is permanently and unconditionally barred from acting as an officer or director of any issuer that has a class of securities registered pursuant to 15 U.S.C. § 78l or that is required to file reports pursuant to 15 U.S.C. § 78o(d). Signed by Chief Judge Gary L. Sharpe on 2/17/2015. (jel, )