12/30/2019

TEXT ONLY NOTICE of Hearing on Motion [1100] Tenth MOTION for an Order Disallowing Unresolved Paper Claims : Response to Motion due by 2/3/2020. Reply to Response to Motion due by 2/10/2020. Motion Hearing set for 2/20/2020 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. (jel, )

pdf_icon 1102 12/30/2019 ORDER granting [1092] Motion approving TENTH INTERIM APPLICATION OF CHIAMPOU TRAVIS BESAW & KERSHNER LLP FOR APPROVAL OF FEES. Signed by Magistrate Judge Christian F. Hummel on 12/27/2019. (tab)
pdf_icon 1101 12/30/2019 ORDER granting [1091] Motion for Attorney Fees/APPROVING THIRTEENTH INTERIM APPLICATION OF PHILLIPS LYTLE LLP AND THE RECEIVER FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES. Signed by Magistrate Judge Christian F. Hummel on 12/27/2019. (tab)
pdf_icon 1100 12/20/2019 Tenth MOTION for an Order Disallowing Unresolved Paper Claims Motion Hearing set for 2/20/2020 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 2/3/2020 filed by William J. Brown. (Attachments: # (1) Tenth Claims Motion, # (2) Exhibit(s) A, # (3) Declaration, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1099 12/13/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifty-Fifth Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1098 12/13/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifty-Fourth Payment Schedule of First Investor Distribution (Brown, William)
pdf_icon 1097 11/25/2019 REPLY to Response to Motion re [1075] Ninth MOTION for an Order (A) Disallowing Certain Disputed Claims, (B) Reclassifying Certain Disputed Claims, (C) Applying Preferential Payment Offset to Certain Disputed Claim, and (D) Expunging Paper Claims Receiver's Reply to Response of Stan and Eva Rabinovich in Opposition to Ninth Claims Motion filed by William J. Brown. (Attachments: # (1) Exhibit(s) 1 - Proposed Order, # (2) Declaration, # (3) Certificate of Service)(Brown, William)
pdf_icon 1096 11/22/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifty-Third Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1095 11/22/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifty-Second Payment Schedule of First Investor Distribution (Brown, William)
    11/20/2019 TEXT ONLY NOTICE of Hearing on Motion [1090] MOTION for an Order in Aid of Administration (A) Approving Procedure for Notice and Abandonment of Claims of Lost Investors and Investors with Incomplete Claim Files, (B) Approving Redistribution of Allocated Recoveries to Receivership Estate for Bene : Response to Motion due by 12/2/2019 Reply to Response to Motion due by 12/9/2019. Motion Hearing set for 12/19/2019 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. (jel, )
pdf_icon 1094 11/19/2019 RESPONSE in Opposition re [1075] Ninth MOTION for an Order (A) Disallowing Certain Disputed Claims, (B) Reclassifying Certain Disputed Claims, (C) Applying Preferential Payment Offset to Certain Disputed Claim, and (D) Expunging Paper Claims filed by Eva Rabinovich, Stan Rabinovich. (Attachments: # (1) Affidavit Stanley Rabinovich, # (2) Affidavit Eva Rabinovich, # (3) Affidavit James Henry Glavin IV, # (4) Exhibit(s) A, # (5) Exhibit(s) B, # (6) Exhibit(s) C, # (7) Exhibit(s) D, # (8) Exhibit(s) E, # (9) Exhibit(s) F, # (10) Certificate of Service)(Glavin, James)
pdf_icon 1093 11/15/2019 NOTICE OF WITHDRAWAL of the appearance of Attorney Thomas E. Peisch as counsel of record for non-party Thomas J Urbelis. (Attachments: # (1) Cover letter, # (2) Copy of mailing envelope)(see)
pdf_icon 1092 11/14/2019 Tenth MOTION Compensation for Services Rendered Motion Hearing set for 12/19/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 12/2/2019 filed by William J. Brown. (Attachments: # (1) Tenth Fee Application, # (2) Exhibit(s) A - Declaration, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1091 11/14/2019 Interim MOTION for Attorney Fees Thirteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 12/19/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 12/2/2019 filed by William J. Brown. (Attachments: # (1) Thirteenth Fee Application, # (2) Exhibit(s) A - Declaration, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 1090 11/13/2019 MOTION for an Order in Aid of Administration (A) Approving Procedure for Notice and Abandonment of Claims of Lost Investors and Investors with Incomplete Claim Files, (B) Approving Redistribution of Allocated Recoveries to Receivership Estate for Benefit of Investors with Allowed Claims, (C) Expunging Abandoned Claims and Incomplete Claims and (D) Disallowing Certain Remaining Paper Claims Motion Hearing set for 12/19/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 12/2/2019 filed by William J. Brown. (Attachments: # (1) Motion for Order in Aid of Administration, # (2) Exhibit(s) A-1, # (3) Exhibit(s) A-2, # (4) Exhibit(s) B, # (5) Exhibit(s) C, # (6) Exhibit(s) D, # (7) Declaration, # (8) Memorandum of Law, # (9) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1089 11/06/2019 ORDER TO LIQUIDATE SECURITIES PURSUANT TO FINAL JUDGMENT AND MAKE TRANSFERS TO THE RECEIVER. Signed by Senior Judge Gary L. Sharpe on 11/6/2019. (jel, )
pdf_icon 1088 11/05/2019 STATUS REPORT by Steven R. Kramer, Esq., as to Joseph Allegretta, Suzanne Allegretta, JAT Construction Co., Inc. Defined Benefit Pension Plan. (jel, )
pdf_icon 1087 11/05/2019 Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Proposed Order to Liquidate Securities Pursuant to Final Judgment and Make Transfers to the Receiver submitted to Judge Sharpe . (Attachments: # (1) Proposed Order to Liquidate Securities Pursuant to Final Judgment and Make Transfers to the Receiver)(Stoelting, David)
pdf_icon 1086 11/01/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifty-First Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1085 11/01/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fiftieth Payment Schedule of First Investor Distribution (Brown, William)
  1084 10/30/2019 Text Only Order - Claimants' request for an extension of the response deadline to the motion, (Dkt. No. 1083) is GRANTED. Response papers shall be filed on or before November 18, 2019. Reply papers are to be filed on or before November 25, 2019. Motion hearing has been rescheduled for December 5, 2019 at 9:00 a.m. on SUBMIT only. No personal appearances are needed. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 10/30/2019. (jel, )
pdf_icon 1083 10/30/2019 Letter Motion from J. Glavin for Eva Rabinovich, Stan Rabinovich requesting Extension of Time to File Response to Dkt. No. 1075 . (Glavin, James)
pdf_icon 1082 10/30/2019 ORDER MODIFYING ASSET FREEZE - That, on consent of the SEC and L. Smith, the Preliminary Injunction Order is modified such that the L. Smith IRA Account is released from the asset freeze. That with the exception of the modification set forth herein and in certain prior Court orders, the asset freeze as set forth in the Preliminary Injunction Order remains in full effect. Signed by Senior Judge Gary L. Sharpe on 10/29/2019. (Copy served via regular mail to L. Smith)(jel, )
pdf_icon 1081 10/30/2019 Mail Returned as Undeliverable re [1079] Text Order sent to Lauren Smith. Address sent to: 240 Holland Thompson Drive, Carbondale, CO 81623. (dpk)
pdf_icon 1080 10/29/2019 Letter Motion from David Stoelting for Securities and Exchange Commission requesting release of L. Smith IRA Account from asset freeze submitted to Judge Sharpe . (Attachments: # (1) Proposed Order Modifying Asset Freeze)(Stoelting, David)
  1079 10/17/2019 Text Only Order - Plaintiff's request for an extension of time for the SEC and the Receiver to respond to Lynn Smith's Motion to Modify Asset Freeze to Allow the Release of Certain Property until October 28, 2019 (Dkt. No. 1078) is GRANTED. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 10/16/2019. (jel, )
pdf_icon 1078 10/17/2019 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Extension of Time to File Response to Dkt. No. 1073 submitted to Judge Sharpe . (Stoelting, David)
pdf_icon 1077 10/16/2019 CONSENT ORDER RESOLVING EIGHTH CLAIMS MOTION OF WILLIAM J. BROWN, AS RECEIVER, AS TO LAUREN SMITH CLAIMS. Signed by Senior Judge Gary L. Sharpe on 10/16/2019. (jel, )
pdf_icon 1076 10/14/2019 Letter Motion from Catherine N. Eisenhut for William J. Brown requesting Consent Order as to Lauren Smith Claims submitted to Judge Hon. Gary L. Sharpe . (Eisenhut, Catherine)
    10/11/2019

TEXT ONLY NOTICE of Hearing on Motion [1075] Ninth MOTION for an Order (A) Disallowing Certain Disputed Claims, (B) Reclassifying Certain Disputed Claims, (C) Applying Preferential Payment Offset to Certain Disputed Claim, and (D) Expunging Paper Claims : Response to Motion due by 11/4/2019. Reply to Response to Motion due by 11/12/2019. Motion Hearing set for 11/21/2019 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. (jel, )

pdf_icon 1075 10/11/2019 Ninth MOTION for an Order (A) Disallowing Certain Disputed Claims, (B) Reclassifying Certain Disputed Claims, (C) Applying Preferential Payment Offset to Certain Disputed Claim, and (D) Expunging Paper Claims Motion Hearing set for 11/21/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 11/4/2019 filed by William J. Brown. (Attachments: # (1) Ninth Claims Motion, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C-1, # (5) Exhibit(s) C-2, # (6) Exhibit(s) D-1, # (7) Exhibit(s) D-2, # (8) Exhibit(s) D-3, # (9) Exhibit(s) E, # (10) Declaration w/ Exhibits 1 & 2, # (11) Memorandum of Law, # (12) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1074 10/04/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Ninth Payment Schedule of First Investor Distribution (Brown, William)
    10/02/2019

TEXT ONLY NOTICE of Hearing on Motion [1073] MOTION to Modify Asset Freeze to Allow the Release of Certain Property : Response to Motion due by 10/21/2019. Motion Hearing set for 11/7/2019 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. (Copy mailed to non cm/ecf litigants.) (jel, )

pdf_icon 1073 10/02/2019 MOTION to Modify Asset Freeze to Allow the Release of Certain Property filed by Lynn A. Smith. (Attachments: # (1) Affidavit of Relief Defendant Lynn A. Smith, # (2) Cover Letter, # (3) Envelope) Motions referred to Christian F. Hummel. (dpk)
pdf_icon 1072 09/26/2019 NOTICE of Appearance by Catherine N. Eisenhut on behalf of Phillips Lytle LLP (Eisenhut, Catherine)
  1071 09/25/2019 Text Only Order - On September 23, 2019, Catherine Eisenhut, Esq. filed a letter on behalf of William Brown, Receiver, requesting an adjournment of the Receiver's Eighth Claims Objection Motion. (Dkt. No. 1070.) In an earlier filing, Eisenhut declared that she is counsel to the Receiver. (Dkt. No. 1020, Attach. 27.) Additionally, Eisenhut has filed documents on behalf of Brown on various other occasions. (Dkt. Nos. 974, 975, 1020, 1025 and 1057.) Even though Brown, as Receiver, is not a "party" within the meaning of N.D.N.Y. L.R. 83.2(a), Eisenhut is directed to file a notice of appearance as soon as is practicable. As for Brown's request for an adjournment of the Eighth Claims Objection Motion, (Dkt. No. 1070), it is GRANTED. Response papers are to be filed on or before October 14, 2019. Reply papers are to be filed on or before October 21, 2019. Motion Hearing has been rescheduled for October 31, 2019 at 9:00 A.M. on SUBMIT only. No personal appearances are needed. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 9/25/2019. (Copy served via regular mail)(jel, )
pdf_icon 1070 09/23/2019 Letter Motion from William J. Brown, Receiver for William J. Brown requesting Adjournment of Return Date submitted to Judge Hon. Gary L. Sharpe. (Brown, William)
pdf_icon 1069 09/20/2019 ORDER granting [1065] Motion for NINTH INTERIM APPLICATION OF CHIAMPOU TRAVIS BESAW & KERSHNER LLP FOR APPROVAL OF FEES. Signed by Magistrate Judge Christian F. Hummel on 9/20/2019. (tab)
pdf_icon 1068 09/20/2019 ORDER granting [1064] Motion for Attorney Fees [TWELFTH INTERIM APPLICATION OF PHILLIPS LYTLE LLP AND THE RECEIVER FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES]. Signed by Magistrate Judge Christian F. Hummel on 9/20/2019. (tab)
    09/17/2019 TEXT ONLY NOTICE of Hearing on Motion [1067] Eighth MOTION for an Order (A) Disallowing or Equitably Subordinating the Smith Claims or (B) Offsetting the Judgment Obligations with Smith Claim Distributions, and (C) Expunging Smith Paper Claims : Response to Motion due by 9/30/2019. Reply to Response to Motion due by 10/7/2019. Motion Hearing set for 10/17/2019 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed.(jel, )
pdf_icon 1067 09/12/2019 Eighth MOTION for an Order (A) Disallowing or Equitably Subordinating the Smith Claims or (B) Offsetting the Judgment Obligations with Smith Claim Distributions, and (C) Expunging Smith Paper Claims Motion Hearing set for 10/17/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 9/30/2019 filed by William J. Brown. (Attachments: # (1) Eighth Claims Motion, # (2) Exhibit(s) A&B to Motion, # (3) Declaration, # (4) Memorandum of Law, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1066 09/05/2019 SUMMARY ORDER - That David Smith's motion to modify asset freeze to allow the release of certain property (Dkt. No. 1039) is DENIED. That Lynn Smith's letter motion dated May 9, 2019 presenting the same arguments as David Smith's motion (Dkt. No. 1054) is DENIED. Signed by Senior Judge Gary L. Sharpe on 9/4/2019. (Copy served via regular mail)(jel, )
pdf_icon 1065 08/09/2019 Ninth MOTION Compensation for Services Rendered Ninth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 9/19/2019 09:30 AM before Magistrate Judge Christian F. Hummel Response to Motion due by 9/3/2019 filed by William J. Brown. (Attachments: # (1) Ninth Interim Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1064 08/09/2019 Interim MOTION for Attorney Fees Twelfth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 9/19/2019 09:30 AM before Magistrate Judge Christian F. Hummel Response to Motion due by 9/3/2019 filed by William J. Brown. (Attachments: # (1) Twelfth Interim Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 1063 08/05/2019 TURNOVER ORDER (FED. R. CIV. P. 69(a) AND NY CPLR § § 5225(b) AND 5227) TO THE M&T BANK. Signed by Senior Judge Gary L. Sharpe on 8/5/2019. (jel, )
  1062 07/24/2019 TEXT ONLY ORDER - On July 18, 2019, plaintiff Securities and Exchange Commission filed a letter motion for a turnover order pursuant to Fed. R. Civ. P. 69(a), N.Y. C.P.L.R. 5225(b), and 5227, regarding certain funds in the name of defendant-judgment debtor Timothy McGinn. (Dkt. No. 1061.) Any objection or other response to that motion is to be filed on or before July 30, 2019. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 7/24/2019. (jel, )
pdf_icon 1061 07/19/2019 Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Proposed Turnover Order re M&T account in the name of Defendant-Judgment-Debtor Timothy McGinn submitted to Judge Sharpe. (Attachments: # (1) Proposed Turnover Order)(Stoelting, David)
pdf_icon 1060 06/21/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Eighth Payment Schedule of First Investor Distribution (Brown, William)
pdf_icon 1059 06/21/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Seventh Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1058 06/05/2019 CERTIFICATE OF SERVICE by William J. Brown re [1056] Seventh MOTION an Order (A) Disallowing Preferred Investor Paper Claims and (B) Applying Recovery Offset to Preferred Investor Claims (Investment Fund Redemptions) (Brown, William)
pdf_icon 1057 05/28/2019 CERTIFICATE OF SERVICE by William J. Brown re Notice of Hearing on Motion, Seventh Claims Motion of William J. Brown, as Receiver, for an Order (A) Disallowing Preferred Investor Paper Claims and (B) Applying Recovery Offset to Preferred Investor Claims (Investment Fund Redemptions) (Eisenhut, Catherine)
    05/28/2019 Text Only Notice - The motion for an order disallowing preferred investor paper claims and applying recovery offset to preferred investor claims (Dkt. No. 1056) has been rescheduled as follows: Response papers are to be filed on or before July 1, 2019. Reply papers shall be filed on or before July 8, 2019. Motion hearing is scheduled for July 18, 2019 at 9:00 a.m. before Senior District Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. (jel, )
pdf_icon 1056 05/22/2019 Seventh MOTION an Order (A) Disallowing Preferred Investor Paper Claims and (B) Applying Recovery Offset to Preferred Investor Claims (Investment Fund Redemptions) Motion Hearing set for 7/18/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 7/1/2019 filed by William J. Brown. (Attachments: # (1) Seventh Claims Motion with Exhibits A-C, # (2) Declaration with Exhibits A-C, # (3) Memorandum of Law, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1055 05/10/2019 REPLY to Response to the #[1039] MOTION to Modify Asset Freeze to Allow the Release of Certain Property filed by David L. Smith. (Attachments: # (1) Mailing envelope)(meb)
pdf_icon 1054 05/10/2019 Letter Motion dated 5/5/2019 to join the #[1039] Motion, filed by Lynn A. Smith. Submitted to Judge Gary L. Sharpe. (Mailing envelope included.) (meb)
  1053 05/02/2019 TEXT ONLY ORDER - On February 19, 2019, defendant David L. Smith, acting pro se and purportedly on behalf of defendant Lynn A. Smith, filed a motion to modify asset freeze to allow the release of certain property. (Dkt. No. 1039.) Plaintiff Securities and Exchange Commission filed a response in opposition, (Dkt. No. 1049), as did William J. Brown, as Receiver, (Dkt. No. 1050). Pending is David L. Smith's letter motion requesting leave to file a reply of "approximately 5-6 pages" to those responses. (Dkt. No. 1051.) Notwithstanding the fact that David L. Smith cannot, as a non-attorney, represent Lynn A. Smith, see Guest v. Hansen, 603 F.3d 15, 20 (2d Cir. 2010); Robinson v. Fischer, No. 9:13CV1545, 2014 WL 1289611, at *5 (N.D.N.Y. Mar. 31, 2014), his request is GRANTED. The reply is not to exceed six (6) pages and must be filed within fourteen (14) days of this Text Only Order. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 5/2/2019. (Copy served via regular mail on non cm/ecf parties)(jel, )
pdf_icon 1052 04/25/2019 Sixth MOTION for an Order (A) Applying Preferential Payment Offset to Lesley Levy Claims and (B) Equitably Subordinating Lesley Levy Claims Motion Hearing set for 6/20/2019 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 6/3/2019 filed by William J. Brown. (Attachments: # (1) Sixth Claims Motion with Exhibits A-C, # (2) Declaration with Exhibits A-H, # (3) Memorandum of Law, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1051 04/24/2019 Letter Motion from David L. Smith requesting leave to file a reply to response to [1039] Motion submitted to Judge Gary L. Sharpe. (dpk)
pdf_icon 1050 04/12/2019 RESPONSE to Motion re [1039] MOTION Motion to Modify Asset Freeze to Allow the Release of Certain Property Receiver's Joinder to Plaintiff's Brief in Opposition to Defendant David L. Smith's Motion to Modify the Asset Freeze to Allow the Release of Certain Property filed by William J. Brown. (Attachments: # (1) Certificate of Service)(Brown, William)
pdf_icon 1049 04/12/2019 RESPONSE in Opposition re [1039] MOTION Motion to Modify Asset Freeze to Allow the Release of Certain Property filed by Securities and Exchange Commission. (Attachments: # (1) Ex A - Acc't Statement [redacted], # (2) Ex B - SEC v. Garber, # (3) Ex C - Acc't Statements [redacted])(Stoelting, David)
  1048 04/02/2019 Text Only Order - Plaintiff's request for an extension of time to file a response to the motion to modify asset freeze to allow the release of certain property (Dkt. No. 1047) is GRANTED. Plaintiff's response is to be filed on or before April 12, 2019. Motion hearing is scheduled for April 17, 2019 at 9:00 a.m. on SUBMIT only. No personal appearances are needed. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 4/3/2019. (Copy served via regular mail on non cm/ecf parties)(jel, )
pdf_icon 1047 04/01/2019 First MOTION for Extension of Time to File Response/Reply as to [1039] MOTION Motion to Modify Asset Freeze to Allow the Release of Certain Property filed by Securities and Exchange Commission. Motions referred to Christian F. Hummel. (Stoelting, David)
pdf_icon 1046 03/26/2019 Letter dated March 19, 2019 from Chris Ann Gustafson to Receiver William Brown. (jel, )
pdf_icon 1045 03/22/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Sixth Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1044 03/22/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Fifth Payment Schedule of First Investor Distribution (Brown, William)
pdf_icon 1043 03/06/2019 SUMMARY ORDER - That, upon the third motion of William J. Brown, as Receiver, for an order disallowing certain claims (Dkt. No. 984); and notice of the motion having been given to the Securities and Exchange Commission, each of the brokers listed on Exhibit A to the motion (Dkt. No.984, Attach. 2), Kathleen Lex, and Kimellen Lex, by first class mail, and all parties who have filed a Notice of Appearance in this action by ECF, and all creditors of the McGinn, Smith entities and other parties in interest via the Receiver's website, which notice is deemed good and sufficient notice; and the court having deemed that sufficient cause exists, the motion is GRANTED. That each of the claims listed on Exhibit A to the motion (Dkt. No. 984, Attach. 2) is disallowed; and the rights of the Receiver to object on any other basis to the claims of all investors or claimants is expressly preserved. That Rabinovich’s request for redaction (Dkt. No. 1040) is DENIED. Signed by Senior Judge Gary L. Sharpe on 3/6/2019. (Copy served via regular mail)(jel, )
pdf_icon 1042 03/06/2019 SUMMARY ORDER - That, upon the Fourth Motion of William J. Brown, as Receiver, for an order (a) disallowing Preferred Investor paper claims and (b) applying Preferential Payment offset (Dkt. No. 1009); and notice of the Fourth Motion having been given to the Securities and Exchange Commission, each of Preferred Investor listed on Exhibits A-1, A-2, A-3, B-1, and B-2 to the Fourth Motion (Dkt. No. 1009, Attachs. 1-5), by first class mail, and all parties who have filed a Notice of Appearance in this action by ECF, and all creditors of the McGinn, Smith entities and other parties in interest via the Receiver's website, which notice is deemed good and sufficient notice; and the court having deemed that sufficient cause exists, the motion is GRANTED. That each of the paper claims listed on Exhibits A-1 through A-3 to the Fourth Motion (Dkt. No. 1009, Attachs. 1-3) is disallowed; and the rights of the Receiver to object on any other basis to the claims of all investors or claimants is expressly preserved. That the application of the Preferential Payment offset to reduce the distributions to Preferred Investors is approved as set forth on the updated Exhibits B-1 and B-2 to the Reply in support of the Fourth Motion (Dkt. No. 1020, Attachs. 1-2). That, upon the Fifth Motion of William J. Brown, as Receiver, for an order applying Preferential Payment offset to certain Preferred Investor claims (Dkt. No. 1025); and notice of the Fifth Motion having been given to the Securities and Exchange Commission, each of One City Center Associates (OCC) and Burton Fisher by first class mail, and all parties who have filed a Notice of Appearance in this action by ECF, and all creditors of the McGinn, Smith entities and other parties in interest via the Receiver's website, which notice is deemed good and sufficient notice; and the court having deemed that sufficient cause exists, the motion is GRANTED. That the application of the Preferential Payment offset to reduce the distributions to OCC and Fisher is approved as set forth on Exhibits A and B to the Fifth Motion (Dkt. No. 1025, Attach. 2), and the rights of the Receiver to object on any other basis to the claims of all investors or claimants, including OCC and Fisher, are expressly preserved. Signed by Senior Judge Gary L. Sharpe on 3/6/2019. (Copy served via regular mail)(jel, )
pdf_icon 1041 03/06/2019 LETTER BRIEF Letter to Hon. Christian F. Hummel in Response to Letter from Philip S. Rabinovich (Docket No. 1040) by William J. Brown. (Brown, William)
pdf_icon 1040 03/01/2019 RESPONSE to Motion re [1032] Supplemental MOTION Disallowance of Certain Claims (Broker Claims) re [984] Third MOTION Disallowance of Certain Claims (Broker Claims) by Philip S. Rabinovich. (Attachments: # (1) Envelope) (dpk)
pdf_icon 1039 02/20/2019 MOTION to Modify Asset Freeze to Allow the Release of Certain Property filed by David L. Smith and Lynn A. Smith. (Attachments: # (1) Cover Letter and Affidavit of Service, # (2) Mailing Envelope) Motions referred to Christian F. Hummel. (dpk)
pdf_icon 1038 02/15/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of AMENDED Forty-Fourth Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1037 02/13/2019 AFFIDAVIT re [1035] Memorandum of Law, Declaration of David Stoelting by Securities and Exchange Commission. (Attachments: # (1) Ex 1, # (2) Ex 2, # (3) Ex 3, # (4) Ex 4, # (5) Ex 5, # (6) Ex 6, # (7) Ex 7, # (8) Ex 8, # (9) Ex 9, # (10) Ex 10, # (11) Ex 11, # (12) Ex 12, # (13) Ex 13, # (14) Ex 14, # (15) Ex 15, # (16) Ex 16, # (17) Ex 17, # (18) Ex 18, # (19) Ex 19, # (20) Ex 20, # (21) Ex 21, # (22) Ex 22, # (23) Ex 23, # (24) Ex 24)(Stoelting, David)
pdf_icon 1036 02/13/2019 AFFIDAVIT re [1035] Memorandum of Law, Declaration of Kerri Palen by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 1, # (2) Exhibit(s) 2, # (3) Exhibit(s) 3, # (4) Exhibit(s) 4, # (5) Exhibit(s) 5, # (6) Exhibit(s) 6, # (7) Exhibit(s) 7, # (8) Exhibit(s) 8, # (9) Exhibit(s) 9, # (10) Exhibit(s) 10)(Stoelting, David)
pdf_icon 1035 02/13/2019 MEMORANDUM OF LAW re [1032] Motion for Miscellaneous/Other Relief, [985] Memorandum of Law, Plaintiff's Brief in Support of the Receiver's Motion to Disallow the Broker Claims filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 1034 02/08/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Fourth Payment Schedule of First Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1033 02/08/2019 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Forty-Third Payment Schedule of First Investor Distribution (Brown, William)
pdf_icon   02/05/2019 CLERK'S CORRECTION OF DOCKET ENTRY re [1032] Supplemental MOTION Disallowance of Certain Claims (Broker Claims) filed by William J. Brown. Attachment Exhibit A was replaced by the Clerk with a clear, readable, copy. (tab)
pdf_icon 1032 01/29/2019 Supplemental MOTION Disallowance of Certain Claims (Broker Claims) re [984] Third MOTION Disallowance of Certain Claims (Broker Claims) filed by William J. Brown. (Attachments: # (1) Exhibit(s) A, # (2) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1031 01/02/2019 ORDER granting [1023] : APPROVING ELEVENTH INTERIM APPLICATION OF PHILLIPS LYTLE LLP AND THE RECEIVER FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES. Signed by Magistrate Judge Christian F. Hummel on 1/2/2019. (tab)