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Case TitleGavin v. United States Securities and Exchange Commission
DistrictDistrict of Minnesota
CityDMN
Case Number0:2004cv04522
Date Filed2004-10-18
Date Closed2007-08-30
JudgeSenior Judge Paul A. Magnuson
PlaintiffJ. Patrick Gavin a/k/a John P. Gavin, also doing business as SEC Insight, Inc.
DefendantUnited States Securities and Exchange Commission
AppealEighth Circuit 06-1917
Documents
Docket
Complaint
Complaint attachment 1
Opinion/Order [54]
FOIA Project Annotation: A federal court in Minnesota has told the SEC that it must respond to a series of requests filed by SEC Insight, which has effectively used FOIA to research publicly-held companies, now that the agency has closed its investigation of the companies involved and Exemption 7(A) (interference with law enforcement investigation or proceeding) no longer applies. But the court found that for requests where an investigation was still underway, the agency could provide a category-by-category explanation of the types of records involved. However, the court concluded that the agency would have to conduct a document-by-document review to substantiate the inclusion of records into the five categories established by the agency. After SEC Insight began using FOIA to spot companies that were running into trouble with the SEC, the agency began to frequently invoke a Glomar response to neither confirm nor deny the existence of records. SEC Insight noted that the agency had used a Glomar response three times in the decade prior to 2002, but invoked it 99 times in 2003 alone, with 66 of those being in response to requests from SEC Insight. Rejecting the company's request that he enjoin the SEC from using a Glomar response, District Court Judge Paul A. Magnuson noted that "future harm is merely speculative in nature, and injunctive relief is inappropriate." As to other requests for which the agency had initially invoked a Glomar response but had since claimed Exemption 7(A), Magnuson pointed out that "the issue now is whether the SEC is properly withholding documents under Exemption 7(A). From this record. . . the Court cannot conclude that SEC has satisfied its burden that it has properly withheld documents. Thus, both Plaintiff's and Defendant's Motions are denied on this point." The SEC tried to shift the burden onto SEC Insight by arguing that for requests where Exemption 7(A) no longer applied, the matter was now moot and the company should be required to resubmit its FOIA requests. Quoting from prior case law that "mootness occurs when requested documents have already been produced," Magnuson observed that "here, the SEC has not disclosed any documents in response to these requests. Rather, the SEC maintains that since internal investigations have closed, circumstances have changed to permit Plaintiff to resubmit these FOIA requests." He explained that "indeed, Plaintiff may file a new FOIA request, and if he does, 'he will stand in line behind other FOIA requesters.' This ensures that the agency need not follow 'an endlessly moving target.' However, if the agency unlawfully withheld documents in its prior responses, then the Court may have 'warrant' to place the requester at the 'head of the current [ ] FOIA queue.' In this case, the record is completely devoid of any evidence regarding the propriety of the SEC's prior withholdings. Therefore, in light of the specific circumstances of this case, the Court finds that the more appropriate remedy is to remand these ten requests for reprocessing." Turning to the use of Exemption 7(A), Magnuson indicated that the agency had to show that the records were compiled for law enforcement purposes and that disclosure could reasonably be expected to interfere with law enforcement proceedings. To show the latter, Magnuson noted, "the agency 'is not required to make a specific factual showing with respect to each withheld document that disclosure would actually interfere with a particular enforcement proceeding.' Rather, the Court must focus on 'the particular categories of documents, and the likelihood that the release of documents within those categories could reasonably be expected to threaten enforcement proceedings.'" He observed that "Plaintiff's argument that a categorical approach is improper is meritless. Numerous courts, including the Eighth Circuit, hold that the agency may utilize the categorical approach to justify its burden with regard to FOIA Exemption 7(A)." He noted that the categorical approach required the SEC to define functional categories, conduct a document-by-document review to assign documents to proper categories, and explain to the court how the release of each category would interfere with enforcement proceedings. He pointed out that the agency had divided the documents into five categories " documents produced by third parties, SEC correspondence with potential witnesses, testimony transcripts, attorney notes and trial preparation materials, and memoranda by SEC staff. SEC Insight argued that the categories were not functional but merely classified how the documents were obtained. Magnuson disagreed, noting that "after careful review of the record, the Court finds that the declarations submitted by the SEC provide [a] rational link [between the nature of the document and the alleged likely interference]. Each declaration specifies the category, the kinds of documents or records in that category, how those documents assist in the particular enforcement proceedings, and the likely interference that would result from disclosure of those documents. Thus, the declarations contain functional categories and explain to the Court the anticipated interference with pending enforcement proceedings." But Magnuson noted that "the declarations do not attest that document-by-document reviews were completed by the SEC, when categorizing the documents, as required." He added that "based on the record, the Court cannot conclude that [a document-by-document review] was conducted in this case, undermining the functionality of the categories and the relationship of the withheld documents to the purported enforcement proceedings. While the SEC does not need to present a Vaughn index to the Court, it nevertheless must attest to and assure the Court that it conducted a document-by-document review of responsive documents for categorization. The Court is not convinced that such analysis occurred in this case." SEC Insight argued that the disclosure of some documents, such as initial correspondence and subpoenas, would not interfere with enforcement proceedings. The agency, in response, claimed that once it had categorized the documents, no further segregation was needed. Magnuson disagreed with the agency, noting that "plainly, there is no declaration or affidavit that even, at a minimum, attests that the entirety of the documents are exempt, or that the non-exempt portions of the documents are inextricably intertwined with the exempt portions. The record is simply insufficient to allow the Court to determine whether the SEC has sustained its burden of reasonable segregability under the FOIA." Magnuson added in a footnote that "the express language of the statute requires that reasonably segregable portions of responsive materials not exempt must be disclosed, and the Court thus finds that the utilization of the categorical approach does not eliminate the agency's duty to determine segregability."
Issues: Determination - Glomar response
Opinion/Order [57]
FOIA Project Annotation: A federal court in Minnesota has rejected the SEC's claim that to do a document-by-document review of records to ascertain the categories under which they fall for purposes of Exemption 7(A) (interference with law enforcement investigation or proceeding) would "monopolize SEC personnel and resources thereby significantly impeding ongoing enforcement proceedings." The agency told Judge Paul Magnuson that the files contained between hundreds of thousands to tens of millions of pages and review could take years to complete. Magnuson noted that "the Court does not question that review of the documents will require significant resources. Nevertheless, the Court questions how the SEC is able to assign the documents in proper categories without reviewing the documents. Moreover, Exemption 7(A) applies when disclosure of the documents would jeopardize enforcement proceedings. It does not obviate the requirement that an agency conduct a document-by-document review �" even if that review may require arduous efforts by the agency. The SEC must conduct a document-by-document review to discern whether documents or portions of the documents fall outside the functional categories." Magnuson rejected the agency's claim that there were no segregable records in the files, pointing out that "because the SEC has not reviewed the documents at issue, the Court is unable to determine what proportion of the information is exempt or nonexempt." Magnuson concluded that "the Court has merely required the SEC to show that release of categories of records [the plaintiff] seeks would interfere with its enforcement actions. Without requiring a review of each document, the Court would essentially provide the SEC with a blanket exemption for the records simply because they were compiled for law enforcement purposes. This contravenes clear congressional intent."
Issues: Exemption 7(A) - Categorical exemption
Opinion/Order [58]
Opinion/Order [59]
Opinion/Order [61]
FOIA Project Annotation: A federal court in Minnesota has rejected the SEC's request that it allow the agency to file an interlocutory appeal to the Eighth Circuit concerning the district court's ruling that the agency must conduct a document-by-document review to determine what documents fit into which functional categories for purposes of Exemption 7(A) (interference with ongoing investigation or proceeding). Judge Paul Magnuson told the agency that his decision was not in conflict with In re Department of Justice, 999 F.2d 1302 (8th Cir. 1993), the circuit's precedent on Exemption 7(A) indexing, and added that other cases cited by the agency also did not conflict with his ruling. He then said the SEC had misinterpreted his ruling to mean that a document-by-document review for segregability was required under 7(A). He pointed out that "clearly, the SEC need not provide a particularized index of each document it withholds. Rather, it may create functional categories and withhold documents that fall within those categories. However, the SEC must conduct a document-by-document review to determine whether the documents contain reasonably segregable information that is non-exempt and therefore falls outside the functional categories. . .[T]he SEC fails to show that this issue is a controlling question of law for which there is a substantial difference of opinion." Magnuson also noted another contentious issue involved in the case �" who should bear the cost of the review. The SEC has claimed the cost of reviewing various investigatory files would cost $2 million and has suggested that John Gavin's company SEC Insight pay these costs as a commercial requester. However, since the agency had not raised this issue in its Motion for Reconsideration, Magnuson indicated he would not consider it at this time.
Issues: Exemption 7(A) - Categorical exemption
Opinion/Order [79]
FOIA Project Annotation: A federal court in Minnesota has refused to grant several motions filed by the SEC after finding that the agency had filed its papers without prior approval of the court. In an FOIA case filed by John Gavin, the court noted that the agency's concerns about the cost of reviewing documents to determine what categories they fell into for purposes of Exemption 7(A) (interference with law enforcement investigation or proceedings) could be addressed later in the litigation. The court pointed out that "if the Court ultimately determines that Gavin must pay for the document-by-document review, it will order Gavin to do so. Finally, the Court finds that granting a stay would allow the SEC to evade FOIA requirements. Thus, denying the stay will serve the public interest in requiring agencies to make certain information available to the public and to establish an enforceable right of access to that information."
Issues: Exemption 7(A) - Categorical exemption
Opinion/Order [124]
FOIA Project Annotation: A federal court in Minnesota has ruled that the SEC must continue to process a number of requests submitted by John Gavin for records pertaining to agency investigations. Gavin filed the case after the agency claimed that all the investigations were protected under Exemption 7(A) (interference with law enforcement investigation or proceeding). During the course of the litigation, the agency admitted that closed investigations no longer qualified for 7(A) protection and argued that Gavin should now resubmit those requests for processing. The court had found that the agency was required to provide a Vaughn index that divided the records into functional categories for purposes of 7(A) and rejected the agency's claim that it did not have to conduct a document-by-document review in order to justify the inclusion of records in the various functional categories. This time around, the agency argued that it was not required to perform a segregation analysis for records that were already categorized under 7(A). The agency based its argument on Judicial Watch v. Dept of Justice, 432 F.3d 166 (D.C. 2005), a case in which the D.C. Circuit said that if records were protected by the work product privilege there was no need to consider whether they could be redacted because they were completely protected by the nature of the privilege. The court noted that the agency wanted to take the case one step further, "arguing that once an investigatory document falls within a functional category, it is wholly exempt and no segregability review is necessary. The Court declines to leap that far. While the work-product doctrine may apply to the functional category of attorney notes and trial preparation materials, it does not necessarily apply to other functional categories, such as documents produced by third parties, SEC correspondence, testimony transcripts, and SEC memoranda. Such a broad application of Judicial Watch in this case would eviscerate the segregation requirement under Exemption 7(A)." The agency also argued that it was not required to conduct a document-by-document review until Gavin committed to paying any potential costs. The court pointed out that it "adamantly disapproves of the manner in which the SEC has conducted itself as it relates to Gavin's requests. The SEC has shirked its responsibility by brazenly refusing to conduct a document-by-document review �" despite a direct order from the Court. Moreover, it raises the cost issue as an after-the-fact argument to circumvent the requirements of FOIA. The SEC should have completed the document-by-document reviews from the outset before ever relying on Exemption 7(A). Instead, it arbitrarily relied on the Exemption without first determining whether the Exemption truly applies." Saying there was no evidence that Gavin had refused to pay potential costs, the court urged "the parties to pinpoint the scope of Gavin's requests to clarify the records he seeks. If Gavin agrees to pay the review costs associated with the defined requests, the SEC shall conduct the document-by-document reviews within sixty days of receipt of his payment." The court found that Gavin had constructively exhausted his remedies for requests that had been remanded after the investigation was closed. The court noted that "Gavin commenced this litigation after exhausting his administrative remedies. The SEC conducted an administrative review of his requests. If the Court required Gavin to exhaust his administrative remedies each time the SEC asserts a new exemption, two consequences would result. First, the SEC could evade the efficient, prompt, and full disclosure of information. Second, the SEC could indefinitely evade judicial review. The Court will not allow the SEC to circumvent its statutory obligations by ping-ponging from one exemption to another."
Issues: Exemption 7(A) - Interference with ongoing investigation
Opinion/Order [131]
Opinion/Order [170]
FOIA Project Annotation: A federal court in Minnesota has ruled that the SEC has finally shown that information pertaining to closed investigations of various companies is exempt under Exemption 7(A) (interference with ongoing investigation or proceeding), Exemption 2 (internal practices and procedures), Exemption 4 (confidential business information), Exemption 5 (privileges), Exemption 7(C) (invasion of privacy concerning law enforcement records) and Exemption 8 (financial examination records). The agency's victory comes after it ended its continued resistance to the court's order to review its original claims by submitting a document-by-document index to justify category-by-category exemption claims. Under Exemption 7(A), agencies are allowed to make categorical exemption claims, but the court may require the agency to substantiate those claims based on a document-by-document review. In response to 26 requests filed by John Gavin of SEC Insight for records concerning various investigations, the agency originally asserted a Glomar response neither confirming nor denying the existence of the investigations. When the court rejected that defense, the agency continued to claim 7(A) and refused to provide any significant detail. The court then ordered the agency to conduct a document-by-document review and ordered Gavin to pay for the review. As a result, Gavin narrowed his request and the agency conducted a document-by-document review of the remaining open investigations; as investigations were closed, Exemption 7(A) no longer applied and those requests were processed subject to other FOIA exemptions. This time, Judge Paul Magnuson found the agency had abided by his previous instructions concerning Exemption 7(A) as it pertained to those investigations that remained open. Although Gavin argued its affidavits were conclusory, Magnuson noted that "to the contrary, the initial and supplemental declarations of the SEC attorneys specifically explain how the release of documents in each functional category will interfere with pending law enforcement proceedings, that the document-by-document review revealed that each document fell within a functional category identified in the declarations, and either that no document contained information that could be segregated and released without risking interference with ongoing enforcement proceedings or that reasonably segregable, non-exempt information existed and would be released." Magnuson agreed that Exemption 2 covered names of staff members, pointing out that "merely knowing that a particular staff member was assigned to an investigation provides no indication as to what the staff member did on the investigation or how much time was devoted to the investigation. The redacted information is purely trivial, administrative information to which Exemption 2 applies." Magnuson found that some information would cause competitive harm under Exemption 4 and that other voluntarily submitted information was confidential and not customarily disclosed to the public. In reaching its conclusion on voluntarily submitted information, he relied on the standard in Critical Mass even though the Eighth Circuit has not yet accepted that standard. Magnuson agreed that much of the information was protected by Exemption 5, noting that "SEC attorneys prepared these documents in the course of active investigations focusing on specific actions and possible securities law violations. The documents also contain reports and recommendations with respect to the status of an ongoing investigation. As such, the documents were prepared in anticipation of litigation and qualify as attorney work product." When Gavin attacked the invocation of Exemption 8 by arguing that the segregable information could be disclosed, Magnuson indicated that "the documents were produced in connection with an ongoing SEC examination or investigation and provide insight into the information and entities the SEC attorneys were examining and investigating. As such, the documents fall within the scope of Exemption 8." Magnuson found Gavin had substantially prevailed by filing suit, noting that "Gavin's vigorous and persistent prosecution of the action �" not the mere passage of time �" forced the SEC to release the documents and comply with FOIA." Nonetheless, he then decided there was no public interest in disclosure and that Gavin had a strong commercial and personal interest in the records that weighed against an award of attorney's fees. He also rejected Gavin's claim for sanctions, pointing out that, although he had "expressed great frustration with the SEC's litigation tactics in this action," the agency's behavior was "neither clearly unreasonable nor vexatious."
Issues: Exemption 7(A) - Interference with ongoing investigation, Exemption 7(A) - Categorical exemption
User-contributed Documents
 
Docket Events (Hide)
Date FiledDoc #Docket Text

2004-10-181COMPLAINT FOR INJUNCTIVE RELIEF against United States Securities and Exchange Commission (Filing fee $ 150 - Receipt 432963.), filed by J. Patrick Gavin. Assigned on the master list to Senior Judge Paul A Magnuson, referred to Magistrate Judge Raymond L Erickson. (Attachments: # 1 Civil Cover Sheet)(JLB) Modified on 10/19/2004 - corrected date filed (MMC). (Entered: 10/19/2004)
2004-10-18Summons Issued as to United States Securities and Exchange Commission, U.S. Attorney and U.S. Attorney General (JLB) (Entered: 10/19/2004)
2004-10-182MOTION for Admission Pro Hac Vice for Scott A. Hodes by J. Patrick Gavin. (MMC) (Entered: 10/19/2004)
2004-10-18TEXT ONLY ENTRY - ORDER granting 2 Motion for Admission Pro Hac Vice of attorney Scott A Hodes for J. Patrick Gavin. Fee paid; receipt number 432964. Approved by Clerk Richard D Sletten on 10/18/04. (MMC) (Entered: 10/19/2004)
2004-11-123SUMMONS Returned Executed by J. Patrick Gavin. United States Securities and Exchange Commission served through Assistant U.S. Attorney Thomas Heffelfinger on 10/20/2004, answer due 12/19/2004. (LJD) (Entered: 11/17/2004)
2004-11-194MOTION for Admission Pro Hac Vice for Kathleen Cody by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 11/19/2004)
2004-11-195MOTION for Admission Pro Hac Vice for Donna S. McCaffrey by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 11/19/2004)
2004-11-19TEXT ONLY ENTRY - ORDER granting 4 5 Motions for Admission Pro Hac Vice of U.S. Government attorneys Kathleen Cody and Donna S McCaffrey for United States Securities and Exchange Commission. Approved by Clerk Richard D Sletten on 11/19/04. (MMC) (Entered: 11/19/2004)
2004-11-226ANSWER to Complaint by United States Securities and Exchange Commission.(Sekus, Perry) (Entered: 11/22/2004)
2004-11-227CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 6 Answer to Complaint (Sekus, Perry) (Entered: 11/22/2004)
2004-12-018Return of Service Executed for Summons and Complaint served on General Counsel on 11/20/04., filed by J. Patrick Gavin. Summons Returned Executed already filed on 11/12/04 re 3 . (LJD) (Entered: 12/01/2004)
2004-12-079PRETRIAL NOTICE AND ORDER Pretrial Conference set for 1/25/2004 01:45 PM in In Chambers Hearing before Magistrate Judge Raymond L Erickson. Signed by Magistrate Judge Raymond L Erickson on 12/7/04. (Attachments: # 1 Consent Form)(JLB) (Entered: 12/07/2004)
2004-12-0810NOTICE - Rule 16 Pretrial Conference on January 19, 2005 @ 10:20 a.m. before Judge Paul A. Magnuson in St. Paul. (see notice) (smr) (Entered: 12/08/2004)
2004-12-1011ORDER That the Pretrial Conference set for Tuesday, 1/25/05, is stricken from this Court's calendar. Signed by Magistrate Judge Raymond L Erickson on 12/10/04. (JLB) (Entered: 12/10/2004)
2005-01-0512REPORT of Rule 26(f) Planning Meeting by J. Patrick Gavin.(Rosen, Rachel) (Entered: 01/05/2005)
2005-01-0513CERTIFICATE OF SERVICE by J. Patrick Gavin re 12 Report of Rule 26(f) Planning Meeting (Rosen, Rachel) (Entered: 01/05/2005)
2005-01-1914Minute Entry - Pretrial Conference held before Judge Paul A Magnuson on 1/19/2005. Pretrial schedule set. Order to be submitted.(smr) (Entered: 01/20/2005)
2005-03-2115MOTION for Summary Judgment by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2116MEMORANDUM in Support re 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2117Declaration of Thomas J. Meier in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2118Declaration of Amy Wilsey Miller in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2119Declaration of Elisha Anagnostis in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2120Declaration of Matthew Baughman in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2121Declaration of William Dixon in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2122Declaration of William Finkel in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2123Declaration of David Frohlich in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2124Declaration of Toby M. Galloway in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2125Declaration of Frank Henderson in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2126Declaration of Stephen R. Herm in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2127Declaration of Janene M. Smith in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2128Declaration of Kingdon Kase in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2129Declaration of Lorraine Echavarria in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2130Declaration of Michael E. Mashburn in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2131Declaration of Anne C. McKinley in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2132Declaration of Douglas B. Paul in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2133Declaration of Carl Rollins in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A-E# 2 Exhibit F-K# 3 Exhibit L-P)(Sekus, Perry) (Entered: 03/21/2005)
2005-03-2134Declaration of Thomas D. Silverstein in Support of 15 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2135CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 18 Declaration in Support, 19 Declaration in Support, 20 Declaration in Support, 21 Declaration in Support, 22 Declaration in Support, 23 Declaration in Support, 24 Declaration in Support, 25 Declaration in Support, 31 Declaration in Support, 26 Declaration in Support, 32 Declaration in Support, 27 Declaration in Support, 33 Declaration in Support, 15 MOTION for Summary Judgment, 16 Memorandum in Support of Motion, 17 Declaration in Support, 28 Declaration in Support, 34 Declaration in Support, 29 Declaration in Support, 30 Declaration in Support (Sekus, Perry) (Entered: 03/21/2005)
2005-03-2536NOTICE of Hearing on Motion 15 MOTION for Summary Judgment: Motion Hearing set for 7/21/2005 10:00 AM in St Paul - Courtroom 1 before Senior Judge Paul A Magnuson. (Attachments: # 1 Certificate of Service)(Sekus, Perry) (Entered: 03/25/2005)
2005-05-0637MOTION for Summary Judgment by J. Patrick Gavin. (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0638NOTICE of Hearing on Motion 37 MOTION for Summary Judgment: Motion Hearing set for 7/21/2005 10:00 AM in St Paul - Courtroom 1 before Senior Judge Paul A Magnuson. (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0639MEMORANDUM in Support re 37 MOTION for Summary Judgment filed by J. Patrick Gavin. (Attachments: # 1 Exhibit SEC Insight Report# 2 Exhibit SEC Annual FOIA Report 2000-2001# 3 Exhibit SEC Annual FOIA Report 2001-2002# 4 Exhibit SEC Annual FOIA Report 2002-2003# 5 Exhibit SEC Annual FOIA Report 2003-2004# 6 Exhibit Tier Technologies FOIA Request No.: 05-03033# 7 Exhibit Riggs National Corporation FOIA Request No.: 05-03853# 8 Exhibit eFunds Corporation FOIA Request No.: 2005-01195# 9 Exhibit Biovail Documents# 10 Exhibit Worldcom Inc. Documents# 11 Exhibit Mosaic Nutriceuticals Corporation FOIA Request No.: 05-03269)(Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0640Declaration of John P. Gavin in Support of 37 MOTION for Summary Judgment filed by J. Patrick Gavin. (Attachments: # 1 Exhibit Glomar Exhibit)(Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0641MOTION for Summary Judgment in Opposition to Defendant's Motion for Summary Judgment by J. Patrick Gavin. (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0642MEMORANDUM in Opposition re 41 MOTION for Summary Judgment in Opposition to Defendant's Motion for Summary Judgment filed by J. Patrick Gavin. (Attachments: # 1 Exhibit SEC Insight Report# 2 Exhibit SEC Annual FOIA Report 2000-2001# 3 Exhibit SEC Annual FOIA Report 2001-2002# 4 Exhibit SEC Annual FOIA Report 2002-2003# 5 Exhibit SEC Annual FOIA Report 2003-2004# 6 Exhibit Tier Technologies FOIA Request No.: 05-03033# 7 Exhibit Riggs National Corporation FOIA Request No.: 05-03853# 8 Exhibit eFunds Corporation FOIA Request No.: 2005-01195# 9 Exhibit Biovail Documents# 10 Exhibit Worldcom Inc. Documents# 11 Exhibit Mosaic Nutriceuticals Corporation FOIA Request No.: 05-03269)(Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0643DECLARATION of John P. Gavin in Opposition to 41 MOTION for Summary Judgment in Opposition to Defendant's Motion for Summary Judgment filed by J. Patrick Gavin. (Attachments: # 1 Exhibit Glomar Exhibit)(Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0644CERTIFICATE OF SERVICE by J. Patrick Gavin re 37 MOTION for Summary Judgment, 38 Notice of Hearing on Motion, 39 Memorandum in Support of Motion,,, 40 Declaration in Support, 41 MOTION for Summary Judgment in Opposition to Defendant's Motion for Summary Judgment , 42 Memorandum in Opposition to Motion,,, 43 Declaration in Opposition (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0645CERTIFICATE OF SERVICE by J. Patrick Gavin for Proposed Order (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0646MOTION for Extension of Time to File Cross-Motion for Summary Judgment by J. Patrick Gavin. (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0647CERTIFICATE OF SERVICE by J. Patrick Gavin Motion for Extension of Time (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0648MOTION for Extension of Time to File Response/Reply to Defendant's Motion for Summary Judgment by J. Patrick Gavin. (Rosen, Rachel) (Entered: 05/06/2005)
2005-05-0649CERTIFICATE OF SERVICE by J. Patrick Gavin (Rosen, Rachel) (Entered: 05/06/2005)
2005-06-0650REPLY re 41 MOTION for Summary Judgment in Opposition to Defendant's Motion for Summary Judgment filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit 1-2)(Sekus, Perry) (Entered: 06/06/2005)
2005-06-0651CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 50 Reply (Sekus, Perry) (Entered: 06/06/2005)
2005-07-0652REPLY re 50 Reply Memorandum filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/06/2005)
2005-07-0653CERTIFICATE OF SERVICE by J. Patrick Gavin (Rosen, Rachel) (Entered: 07/06/2005)
2005-08-31***TEXT ONLY***Minute Entry for proceedings held before Judge Paul A Magnuson on 8/31/2005 [Doc #15] MOTION for Summary Judgment filed by U.S. Securities and Exchange Commission, and [Doc #37] MOTION for Summary Judgment filed by J. Patrick Gavin, argued, taken under advisement. (Court Reporter Julie Rixe)(smr) (Entered: 09/01/2005)
2005-09-29TEXT ENTRY ONLY-CLERK'S NOTICE OF REASSIGNMENT OF MAGISTRATE JUDGE. The Clerk of Court is directed to reassign the Magistrate Judge in this case. Case is reassigned to Magistrate Judge Janie S Mayeron for all further proceedings. In addition, any proceedings currently scheduled before the transferring Magistrate Judge will proceed in front of that Judge, unless directed otherwise. If you have questions regarding this assignment, please direct your inquiries to Katie Haagenson at #651-848-1190. Please note: the new case number is 04-cv-4522 PAM/JSM. Please use this case number on your pleadings. Chief Magistrate Judge Raymond L Erickson no longer assigned to case. Signed by Clerk Richard D Sletten on 9/29/05. (SJH) (Entered: 09/29/2005)
2005-10-2454ORDER: Defendant's Motion for Summary Judgement 15 is GRANTED IN PART and DENIED IN PART: Count 4 of the Complaint is DISMISSED and Count 6 is DISMISSED in part; Counts 2,3,5,6 (the 7(A) portion), 8,9,10,17,19,20 are REMANDED to the SEC for reprocessing; The SEC must submit detailed affidavits addressing the deficiencies identified by the Court by January 1, 2006: i. If appropriate, the parties may renew their motions for summary judgment and file briefs in support by February 1, 2006. ii. Opposition papers are due February 20, 2006. iii. Replies are due March 1, 2006. These renewed motions will be decided without oral argument; Plaintiff's Motions for Summary Judgment [37, 41] are DENIED. (Written Opinion). Signed by Judge Paul A. Magnuson on 10/22/05.(jmf) (Entered: 10/24/2005)
2005-12-3055MOTION for Reconsideration re 54 Order on Motion for Summary Judgment,,,,,,,,,,, by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Kase Declaration# 2 Exhibit Smith Declaration# 3 Exhibit Baughman Declaration# 4 Exhibit Dixon Declaration# 5 Exhibit Mashburn Declaration# 6 Exhibit Anagnostis Declaration# 7 Exhibit Paul Declaration# 8 Exhibit Silverstein Declaration# 9 Exhibit Herm Declaration# 10 Exhibit Frohlich Declaration# 11 Exhibit Finkel Declaration# 12 Exhibit Galloway Declaration)(McCaffrey, Donna) (Entered: 12/30/2005)
2006-01-1756TRANSCRIPT of Motion Hearing held on 8/31/05 before Senior Judge Paul A. Magnuson. Court Reporter: Julie A. Rixe. (50pgs) FILED CONVENTIONALLY. (akl) (Entered: 01/23/2006)
2006-01-2657ORDER: SEC's Motion for Partial Reconsideration 55 is DENIED. (Written Opinion). Signed by Judge Paul A. Magnuson on 01/25/06. (jmf) (Entered: 01/26/2006)
2006-01-3158**DOCUMENT REMOVED - FILED IN ERROR - WILL REFILE** Modified on 1/31/2006 (JLB). (Entered: 01/31/2006)
2006-01-3159ORDER - this matter is before the Court on Pltf's informal request to extend filing deadlines. The Court finds the request is reasonable. IT IS HEREBY ORDERED that the deadlines are extended as set forth in this order. The renewed motions will be decided without oral argument. Signed by Judge Paul A Magnuson on January 30, 2006. (smr) (Entered: 01/31/2006)
2006-03-1460MOTION for Leave to Appeal and for Stay by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Bresnan Declaration# 2 Exhibit Henderson Declaration)(McCaffrey, Donna) (Entered: 03/14/2006)
2006-03-1561ORDER denying 60 MOTION for Leave to Appeal and for Stay filed by United States Securities and Exchange Commission, (Written Opinion). Signed by Judge Paul A. Magnuson on 03/15/06. (jmf) (Entered: 03/15/2006)
2006-03-1762MOTION Clarification by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 03/17/2006)
2006-03-2463NOTICE OF APPEAL TO 8TH CIRCUIT by United States Securities and Exchange Commission. (Attachments: # 1 COA - Form A Appeal Information Form)(McCaffrey, Donna) (Entered: 03/24/2006)
2006-03-2764Transmittal LETTER to the Eighth Circuit Court of Appeals re: 63 Notice of Appeal. (Attachments: # 1 Notice of Appeal cc: Rachel Rosen, Scott Hodes, Donna McCaffrey, Kathleen Cody, Perry Sekus)(JMH) (Entered: 03/27/2006)
2006-03-27Transmission of Notice of Appeal and Docket Sheet to US Court of Appeals re 63 Notice of Appeal to 8th Circuit. Delivered/mailed two certified and one uncertified copy of each of the following to the Court of Appeals: St. Paul Office: Notice of Appeal, Order, Judgment and District Court's Docket Sheet. (JMH) (Entered: 03/27/2006)
2006-03-2765MOTION Deny Request for Review Costs by J. Patrick Gavin. (Rosen, Rachel) (Entered: 03/27/2006)
2006-03-2766MEMORANDUM by J. Patrick Gavin Plaintiff's Reply Memorandum filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 03/27/2006)
2006-03-2767DECLARATION of Rachel B. Rosen in Opposition to 62 MOTION Clarification filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 03/27/2006)
2006-03-2768DECLARATION of Lavena Wilhelm in Opposition to 62 MOTION Clarification filed by J. Patrick Gavin. (Attachments: # 1 Exhibit(s) A)(Rosen, Rachel) (Entered: 03/27/2006)
2006-03-2769CERTIFICATE OF SERVICE by J. Patrick Gavin re 66 Memorandum, 67 Declaration in Opposition, 68 Declaration in Opposition, 65 MOTION Deny Request for Review Costs (Rosen, Rachel) (Entered: 03/27/2006)
2006-03-3070Case received by the Eighth Circuit re 63 Notice of Appeal to 8th Circuit. (JMH) (Entered: 03/30/2006)
2006-04-0471REPLY re 65 MOTION Deny Request for Review Costs filed by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 04/04/2006)
2006-04-0572NOTICE of Change of Address by Rachel B Rosen (Rosen, Rachel) (Entered: 04/05/2006)
2006-04-0573USCA Case Number 06-1917 for 63 Notice of Appeal to 8th Circuit filed by United States Securities and Exchange Commission. (JLB) (Entered: 04/06/2006)
2006-05-1674MOTION to Stay by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 05/16/2006)
2006-05-2275RESPONSE in Opposition re 74 MOTION to Stay filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 05/22/2006)
2006-05-2276CERTIFICATE OF SERVICE by J. Patrick Gavin re 75 Response in Opposition to Motion (Rosen, Rachel) (Entered: 05/22/2006)
2006-05-2577REPLY re 74 MOTION to Stay, 75 Response in Opposition to Motion filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit(s) Cover sheet for Exh. A# 2 Exhibit(s) Exh. A)(McCaffrey, Donna) (Entered: 05/25/2006)
2006-06-1478MOTION to Extend Time to Renew Motion for Summary Judgment by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 06/14/2006)
2006-06-2079ORDER: Defendant's Motion for Clarification 62 is DENIED; Defendant's Motion to Stay 74 is DENIED; Defendant's Motion to Extend Time to Renew Motion for Summary Judgment 78 is GRANTED; The parties shall file their renewed summary judgment motions in compliance with Local Rule 7.1 by July 7, 2006. (Written Opinion). Signed by Judge Paul A. Magnuson on 06/20/06. (jmf) (Entered: 06/20/2006)
2006-07-0780MOTION Renewed Summary Judgment by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0781NOTICE by J. Patrick Gavin re 80 MOTION Renewed Summary Judgment (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0782MEMORANDUM in Support re 80 MOTION Renewed Summary Judgment In Camera Review and Appointment of a Special Master filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0783LR7.1 WORD COUNT COMPLIANCE CERTIFICATE by J. Patrick Gavin re 82 Memorandum in Support of Motion filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0784Exhibit List by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0785EXHIBIT re 82 Memorandum in Support of Motion Exhibit A by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0786EXHIBIT re 82 Memorandum in Support of Motion Exhibit B by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0787EXHIBIT re 82 Memorandum in Support of Motion Exhibit C by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0788EXHIBIT re 82 Memorandum in Support of Motion Exhibit D by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0789EXHIBIT re 82 Memorandum in Support of Motion Exhibit E by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0790EXHIBIT re 82 Memorandum in Support of Motion Exhibit F by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0791EXHIBIT re 82 Memorandum in Support of Motion Exhibit G by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0792EXHIBIT re 82 Memorandum in Support of Motion Exhibit H by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0793CERTIFICATE OF SERVICE by J. Patrick Gavin re 83 LR7.1 Word Count Compliance Certificate, 84 Exhibit List, 89 Exhibit, 91 Exhibit, 82 Memorandum in Support of Motion, 80 MOTION Renewed Summary Judgment, 81 Notice (Other), 86 Exhibit, 88 Exhibit, 87 Exhibit, 85 Exhibit, 92 Exhibit, 90 Exhibit (Rosen, Rachel) (Entered: 07/07/2006)
2006-07-0794MOTION for Summary Judgment by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 07/07/2006)
2006-07-0795DOCUMENT FILED IN ERROR- WRONG COURT ADDRESS USED//NOTICE OF HEARING ON MOTION 94 MOTION for Summary Judgment: (McCaffrey, Donna) Modified on 7/10/2006 (LPH). (Entered: 07/07/2006)
2006-07-0796MOTION for Summary Judgment Memorandum of Law by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 07/07/2006)
2006-07-0797CERTIFICATE OF SERVICE by United States Securities and Exchange Commission of Notice; Renewed Motion for Summary Judgment and/or Motion to Dismiss; and Supporting Memorandum of Law (incl. Cert. of Compliance with Word Count) (McCaffrey, Donna) (Entered: 07/07/2006)
2006-07-1098NOTICE by United States Securities and Exchange Commission re 96 MOTION for Summary Judgment Memorandum of Law , 95 Notice of Hearing on Motion, 94 MOTION for Summary Judgment Corrected (McCaffrey, Donna) (Entered: 07/10/2006)
2006-07-1099CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 98 Notice (Other) Corrected Notice of Renewed Motion for Summary Judgment and/or Motion to Dismiss (McCaffrey, Donna) (Entered: 07/10/2006)
2006-07-27100MEMORANDUM in Opposition re 94 MOTION for Summary Judgment and/or Motion to Dismiss filed by J. Patrick Gavin. (Attachments: # 1 Certificate of Compliance with LR 37.1 Plaintiff's Certificate of Compliance)(Rosen, Rachel) (Entered: 07/27/2006)
2006-07-27101CERTIFICATE OF SERVICE by J. Patrick Gavin re 100 Memorandum in Opposition to Motion (Rosen, Rachel) (Entered: 07/27/2006)
2006-07-27102MEMORANDUM in Opposition re 80 MOTION Renewed Summary Judgment filed by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 07/27/2006)
2006-07-27103Declaration of Celia Winter in Support of 102 Memorandum in Opposition to Motion filed by United States Securities and Exchange Commission. (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7 # 8 # 9 # 10 # 11 # 12 # 13 # 14 # 15 # 16 # 17 # 18 # 19 # 20 # 21 # 22 # 23 # 24 # 25 # 26 # 27 # 28 # 29 # 30 # 31 # 32 # 33 # 34 # 35 # 36 # 37 # 38 # 39 # 40 # 41 # 42 # 43 # 44 # 45 # 46 # 47 # 48 )(McCaffrey, Donna) (Entered: 07/27/2006)
2006-07-27104Exhibit List to Defendant's Memorandum of Law in Opposition to Plaintiff's Renewed Motion for Summary Judgment by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 07/27/2006)
2006-07-27105CERTIFICATE OF SERVICE by United States Securities and Exchange Commission (McCaffrey, Donna) (Entered: 07/27/2006)
2006-08-01106USCA JUDGMENT as to 63 Notice of Appeal to 8th Circuit filed by United States Securities and Exchange Commission; the appeal is dismissed. (LPH) (Entered: 08/02/2006)
2006-08-07107REPLY re 96 MOTION for Summary Judgment Memorandum of Law , 94 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit(s) Gresnez Declaration# 2 Exhibit(s) Henderson Declaration)(McCaffrey, Donna) (Entered: 08/07/2006)
2006-08-07108Exhibit List for Reply Memorandum of Law In Support of Renewed Motion for Summary Judgment and/or Motion to Dismiss by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 08/07/2006)
2006-08-07109CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 108 Exhibit List, 107 Reply, (McCaffrey, Donna) (Entered: 08/07/2006)
2006-08-07110DOCUMENT FILED IN ERROR- DUPLICATE ENTRY//Exhibit List for Reply Memorandum of Law in Support of Renewed Motion for Summary Judgment and/or Motion to Dismiss by United States Securities and Exchange Commission. (McCaffrey, Donna) Modified on 8/16/2006 (lph). (Entered: 08/07/2006)
2006-08-08111REPLY re 102 Memorandum in Opposition to Motion for Renewed Summary Judgment filed by J. Patrick Gavin. (Attachments: # 1 Certificate of Compliance with LR 37.1)(Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08112Second Declaration of John P. Gavin in Support of 111 Reply filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08113CERTIFICATE OF SERVICE by J. Patrick Gavin re:Reply Memorandum (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08114MOTION for Sanctions and Attorney's Fees by J. Patrick Gavin. (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08115NOTICE by J. Patrick Gavin re 114 MOTION for Sanctions and Attorney's Fees (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08116MEMORANDUM in Support re 114 MOTION for Sanctions and Attorney's Fees filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08117Declaration of Rachel B. Rosen in Support of 116 Memorandum in Support of Motion filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-08118CERTIFICATE OF SERVICE by J. Patrick Gavin re 117 Declaration in Support, 114 MOTION for Sanctions and Attorney's Fees , 115 Notice (Other), 116 Memorandum in Support of Motion (Rosen, Rachel) (Entered: 08/08/2006)
2006-08-21119Certified Copy of USCA JUDGMENT as to 63 Notice of Appeal to 8th Circuit filed by United States Securities and Exchange Commission. The motion of appellee for dismissal of this appeal is granted. The appeal is hereby dismissed. (akl) (Entered: 08/21/2006)
2006-08-23120MEMORANDUM in Opposition re 114 MOTION for Sanctions and Attorney's Fees (Including Certificate of Compliance with word count) filed by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 08/23/2006)
2006-08-23121CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 120 Memorandum in Opposition to Motion for Sanctions and Attorney's Fees (McCaffrey, Donna) (Entered: 08/23/2006)
2006-08-28122REPLY to Response to Motion re 114 MOTION for Sanctions and Attorney's Fees filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) (Entered: 08/28/2006)
2006-08-28123CERTIFICATE OF SERVICE by J. Patrick Gavin re 122 Reply to Response to Motion (Rosen, Rachel) (Entered: 08/28/2006)
2006-10-16124ORDER: Gavin's Motion to Deny Request for Review Costs (Docket No. 65) is DENIED; Gavin's renewed Motion for Summary Judgment, In Camera Review, and Appointment of a Special Master (Docket No. 80) is DENIED; The SEC's renewed Motion for Summary Judgment (Docket No. 94) is GRANTED in part and DENIED in part; Counts 1, 7, 13, and 22 of the Complaint are DISMISSED with prejudice; The parties shall confer within thirty days of this Order to determine whether Gavin is willing and able to pay for the review costs associated with his requests identified in Counts 11, 14, 15, 23, and 26. If Gavin agrees to pay the review costs associated with the defined requests, the SEC shall conduct the document-by-document reviews within ninety days of receipt of his payment; and, SEC shall file a Vaughn index relating to the remanded requests (Counts 2, 3, 5, 6, 8, 9, 10, 12, 16, 17, 18, 19, 20, 21, 24, and 25) within thirty days of this Order. (Written Opinion). Signed by Judge Paul A. Magnuson on 10/13/06.(jmf) (Entered: 10/16/2006)
2006-11-15125United States Securities and Exchange Commission of Filing Vaughn Index Part 1 (McCaffrey, Donna) Modified text on 11/16/2006 (jc). (Entered: 11/15/2006)
2006-11-15126United States Securities and Exchange Commission re 125 Notice (Other) of Filing Vaughn Index Part 2 (McCaffrey, Donna) Modified text on 11/16/2006 (jc). (Entered: 11/15/2006)
2006-11-15127CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 126 Notice (Other), 125 Notice (Other) (McCaffrey, Donna) (Entered: 11/15/2006)
2007-04-02128NOTICE by United States Securities and Exchange Commission re 124 Order on Motion for Miscellaneous Relief,, Order on Motion for Summary Judgment, (McCaffrey, Donna) Modified on 4/3/2007 (jam). (Entered: 04/02/2007)
2007-04-02129EXHIBIT re 128 Notice (Other) of Compliance with Order by United States Securities and Exchange Commission. (Attachments: # 1 Ex. A Herm Declaration# 2 Ex. B Finkel Declaration# 3 Ex. C Silverstein Declaration# 4 Ex. D Galloway Declaration# 5 Ex. E Gresenz Declaration)(McCaffrey, Donna) (Entered: 04/02/2007)
2007-04-02130CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 128 Notice (Other), 129 Exhibit, (McCaffrey, Donna) (Entered: 04/02/2007)
2007-04-30131ORDER:The parties shall file their renewed summary judgment motions, as well as all supporting memoranda and evidence, by June 5, 2007; Opposition memoranda are due July 17, 2007; and Reply memoranda are due August 1, 2007. The renewed motions will be decided without oral argument. (Written Opinion). Signed by Judge Paul A. Magnuson on 04/30/07. (jmf) (Entered: 04/30/2007)
2007-06-05132MOTION for Summary Judgment Second Renewed by J. Patrick Gavin. (Attachments: # 1 Exhibit # 2 Exhibit # 3 Exhibit # 4 Exhibit # 5 Exhibit # 6 Exhibit # 7 Exhibit # 8 Exhibit # 9 Exhibit)(Rosen, Rachel) Modified on 6/6/2007 (jam). (Entered: 06/05/2007)
2007-06-05133NOTICE by J. Patrick Gavin re 132 MOTION for Summary Judgment Second Renewed (Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05134MEMORANDUM in Support re 132 MOTION for Summary Judgment Second Renewed filed by J. Patrick Gavin. (Attachments: # 1 Word Count Compliance)(Rosen, Rachel) Modified on 6/6/2007 (jam). (Entered: 06/05/2007)
2007-06-05135MOTION for Sanctions Renewed by J. Patrick Gavin. (Attachments: # 1 Exhibit # 2 Exhibit # 3 Exhibit # 4 Exhibit # 5 Exhibit)(Rosen, Rachel) Modified on 6/6/2007 (jam). (Entered: 06/05/2007)
2007-06-05136NOTICE by J. Patrick Gavin re 135 MOTION for Sanctions Renewed (Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05137MEMORANDUM in Support re 135 MOTION for Sanctions Renewed filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05138EXHIBIT re 137 Memorandum in Support of Motion, 134 Memorandum in Support of Motion by J. Patrick Gavin filed by J. Patrick Gavin. (Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05139CERTIFICATE OF SERVICE by J. Patrick Gavin re 134 Memorandum in Support of Motion, 132 MOTION for Summary Judgment Second Renewed , 133 Notice (Other), 138 Exhibit (Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05140CERTIFICATE OF SERVICE by J. Patrick Gavin re 136 Notice (Other), 137 Memorandum in Support of Motion, 138 Exhibit, 135 MOTION for Sanctions Renewed (Rosen, Rachel) (Entered: 06/05/2007)
2007-06-05141DOCUMENT FILED IN ERROR - MOTION for Summary Judgment by United States Securities and Exchange Commission. (McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05142DOCUMENT FILED IN ERROR - NOTICE by United States Securities and Exchange Commission re 141 MOTION for Summary Judgment Notice of Motion (McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05143DOCUMENT FILED IN ERROR - MEMORANDUM by United States Securities and Exchange Commission re 141 MOTION for Summary Judgment filed by United States Securities and Exchange Commission. (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7 )(McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05144DOCUMENT FILED IN ERROR - EXHIBIT re 143 Memorandum Exh. 8 Pentagon Federal Slip. op by United States Securities and Exchange Commission filed by United States Securities and Exchange Commission. (McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05145DOCUMENT FILED IN ERROR - EXHIBIT re 143 Memorandum by United States Securities and Exchange Commission filed by United States Securities and Exchange Commission. (McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05146DOCUMENT FILED IN ERROR - CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 141 MOTION for Summary Judgment, 144 Exhibit, 142 Notice (Other), 145 Exhibit, 143 Memorandum (McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05147MOTION for Summary Judgment Renewed by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 06/05/2007)
2007-06-05148NOTICE OF HEARING ON MOTION 147 MOTION for Summary Judgment Renewed : (McCaffrey, Donna) (Entered: 06/05/2007)
2007-06-05149MEMORANDUM in Support re 147 MOTION for Summary Judgment Renewed filed by United States Securities and Exchange Commission. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(McCaffrey, Donna) (Entered: 06/05/2007)
2007-06-05150Exhibit Index in Support of 149 Memorandum in Support of Motion filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit 1-Declaration of Celia Winter# 2 Exhibit A-To Winter Declaration# 3 Exhibit 2-Declaration of Kenneth H. Hall# 4 Exhibit 3-Declaration of Charles Davis# 5 Exhibit 4-Declaration of Judith A. Brygil# 6 Exhibit 5-Declaration of Steven F. Coleman# 7 Exhibit 6-Declaration of Lawrence Centola, Jr.# 8 Exhibit 7-LaRouche Slip Op. pt1# 9 Exhibit 7-LaRouche Slip Op. pt 2# 10 Exhibit 7-LaRouche Slip Op. pt 3# 11 Exhibit 7-LaRouche Slip Op. pt 4# 12 Exhibit 8-Pentagon Federal Slip Op.)(McCaffrey, Donna) Modified on 6/5/2007 (LJG). (Entered: 06/05/2007)
2007-06-05151CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 150 Declaration in Support,,, 149 Memorandum in Support of Motion, 147 MOTION for Summary Judgment Renewed , 148 Notice of Hearing on Motion (McCaffrey, Donna) (Entered: 06/05/2007)
2007-07-17152MEMORANDUM in Opposition re 132 MOTION for Summary Judgment Second Renewed filed by United States Securities and Exchange Commission. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(McCaffrey, Donna) (Entered: 07/17/2007)
2007-07-17153DECLARATION of Donna S. McCaffrey in Opposition to 135 MOTION for Sanctions Renewed , 132 MOTION for Summary Judgment Second Renewed , 152 Memorandum in Opposition to Motion filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Index # 2 Exhibit 1# 3 Exhibit 2# 4 Exhibit 3# 5 Exhibit 4# 6 Exhibit 5# 7 Exhibit 6# 8 Exhibit 7# 9 Exhibit 8# 10 Exhibit 9# 11 Exhibit 10# 12 Exhibit 11# 13 Exhibit 12# 14 Exhibit 13# 15 Exhibit 14# 16 Exhibit 15)(McCaffrey, Donna) Modified on 7/18/2007 (gjs). (Entered: 07/17/2007)
2007-07-17154DECLARATION of Celia Winter in Opposition to 132 MOTION for Summary Judgment Second Renewed , 152 Memorandum in Opposition to Motion, 135 MOTION for Sanctions Renewed filed by United States Securities and Exchange Commission. (Attachments: # (1 Exhibit Index) # 2 Exhibits 1 and 2)(McCaffrey, Donna) Modified on 7/18/2007 (gjs). (Entered: 07/17/2007)
2007-07-17155CERTIFICATE OF SERVICE by United States Securities and Exchange Commission (McCaffrey, Donna) (Entered: 07/17/2007)
2007-07-17156MEMORANDUM in Opposition re 135 MOTION for Sanctions Renewed filed by United States Securities and Exchange Commission. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(McCaffrey, Donna) (Entered: 07/17/2007)
2007-07-17157CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 156 Memorandum in Opposition to Motion (McCaffrey, Donna) (Entered: 07/17/2007)
2007-07-17158MEMORANDUM in Opposition re 147 MOTION for Summary Judgment Renewed filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) (Entered: 07/17/2007)
2007-07-17159EXHIBIT re 158 Memorandum in Opposition to Motion by J. Patrick Gavin filed by J. Patrick Gavin. (Attachments: # 1 Exhibit 1A) # 2 Exhibit 1B # 3 Exhibit 2 # 4 Exhibit3 # 5 Exhibit 4 # 6 Exhibit 5))(Rosen, Rachel) Modified text on 7/18/2007 (gjs). (Entered: 07/17/2007)
2007-07-17160CERTIFICATE OF SERVICE by J. Patrick Gavin re 159 Exhibit, 158 Memorandum in Opposition to Motion (Rosen, Rachel) (Entered: 07/17/2007)
2007-08-01161REPLY to Response to re 147 MOTION for Summary Judgment Renewed filed by United States Securities and Exchange Commission. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(McCaffrey, Donna) Modified title on 8/2/2007 (gjs). (Entered: 08/01/2007)
2007-08-01162Declaration of Celia Winter in Support of 161 Reply to Response to Motion filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Index# 2 Exhibits 1, 2, 3)(McCaffrey, Donna) Modified text on 8/2/2007 (gjs). (Entered: 08/01/2007)
2007-08-01163Declaration of Bryan J. Farrell in Support of 161 Reply filed by United States Securities and Exchange Commission. (McCaffrey, Donna) (Entered: 08/01/2007)
2007-08-01164CERTIFICATE OF SERVICE by United States Securities and Exchange Commission re 162 Declaration in Support, 161 Reply, 163 Declaration in Support (McCaffrey, Donna) (Entered: 08/01/2007)
2007-08-01165REPLY to Response to Motion re 132 MOTION for Summary Judgment Second Renewed filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) Modified link and text on 8/1/2007 (akl). (Entered: 08/01/2007)
2007-08-01166CERTIFICATE OF SERVICE by J. Patrick Gavin re 165 Reply to Response to Motion for Summary Judgment Second Renewed (Rosen, Rachel) Modified text on 8/1/2007 (akl). (Entered: 08/01/2007)
2007-08-01167REPLY to Response to Motion re 135 MOTION for Sanctions Renewed filed by J. Patrick Gavin. (Attachments: # 1 LR7.1 Word Count Compliance Certificate)(Rosen, Rachel) (Entered: 08/01/2007)
2007-08-01168EXHIBIT re 167 Reply to Response to Motion Sanctions Renewed by J. Patrick Gavin. (Attachments: # 1 Exhibit A # 2 Exhibit B)(Rosen, Rachel) Modified text of attachments on 8/2/2007 (gjs) (Entered: 08/01/2007)
2007-08-01169CERTIFICATE OF SERVICE by J. Patrick Gavin re 167 Reply to Response to Motion, 168 Exhibit Sanctions Renewed (Rosen, Rachel) (Entered: 08/01/2007)
2007-08-23170ORDER denying 132 Motion for Summary Judgment, denying 135 Motion for Sanctions, granting 147 Motion for Summary Judgment (Written Opinion). Signed by Judge Paul A. Magnuson on 08/23/07. (jmf) (Entered: 08/23/2007)
2007-08-30171JUDGMENT in favor of United States Securities and Exchange Commission against J. Patrick Gavin. (Attachments: # 1 Civil Notice# 2 8th Circuit Notice)(GJS) (Entered: 08/30/2007)
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