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Case TitleSTEIN v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION
DistrictDistrict of Columbia
CityWashington, DC
Case Number1:2015cv01560
Date Filed2015-09-23
Date ClosedOpen
JudgeJudge John D. Bates
PlaintiffMITCHELL J. STEIN
Case DescriptionMitchell Stein, a federal prisoner, submitted a FOIA request to the Securities and Exchange Commission for records related to two actions the SEC had taken against Stein and Heart Tronics, a company with which he was associated. The SEC denied Stein's request on the basis of Exemption 7(A) (interference with ongoing investigation or proceedings). Stein appealed the agency's decision, but after hearing nothing further from the agency, he filed suit.
Complaint issues: Failure to respond within statutory time limit, Litigation - Vaughn index, Litigation - Attorney's fees

DefendantUNITED STATES SECURITIES AND EXCHANGE COMMISSION
Documents
Docket
Complaint
Complaint attachment 1
Opinion/Order [24]
User-contributed Documents
 
Docket Events (Hide)
Date FiledDoc #Docket Text

2015-09-231COMPLAINT against UNITED STATES SECURITIES AND EXCHANGE COMMISSION ( Filing fee $ 400, receipt number 4616073724) filed by MITCHELL J. STEIN. (Attachments: # 1 Civil Cover Sheet)(td) (Entered: 09/29/2015)
2015-09-23SUMMONS (3) Issued as to UNITED STATES SECURITIES AND EXCHANGE COMMISSION, U.S. Attorney and U.S. Attorney General (td) (Entered: 09/29/2015)
2015-10-132RETURN OF SERVICE/AFFIDAVIT of Summons and Complaint Executed. UNITED STATES SECURITIES AND EXCHANGE COMMISSION served on 9/28/2015 (Harris, David) (Entered: 10/13/2015)
2015-10-133RETURN OF SERVICE/AFFIDAVIT of Summons and Complaint Executed as to the United States Attorney. Date of Service Upon United States Attorney on 9/29/2015. Answer due for ALL FEDERAL DEFENDANTS by 10/29/2015. (Harris, David) (Entered: 10/13/2015)
2015-10-134RETURN OF SERVICE/AFFIDAVIT of Summons and Complaint Executed on United States Attorney General. Date of Service Upon United States Attorney General 9/28/2015. (Harris, David) (Entered: 10/13/2015)
2015-10-295NOTICE of Appearance by William Smith Greig on behalf of UNITED STATES SECURITIES AND EXCHANGE COMMISSION (Attachments: # 1 Certificate of Service)(Greig, William) (Entered: 10/29/2015)
2015-10-296ANSWER to 1 Complaint by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Certificate of Service)(Greig, William) (Entered: 10/29/2015)
2015-10-307ORDER directing parties to confer and to submit a proposed briefing schedule for the filing of dispositive motions by not later than November 27, 2015. See text of order for details. Signed by Judge John D. Bates on 10/30/2015. (lcjdb2) (Entered: 10/30/2015)
2015-10-31Set/Reset Deadlines: The parties are to submit a proposed briefing schedule for the filing of dispositive motions by 11/27/2015. (jth) (Entered: 10/31/2015)
2015-11-278PROPOSED BRIEFING SCHEDULE (Stipulation Regarding Proposed Briefing Schedule) by MITCHELL J. STEIN. (Harris, David) (Entered: 11/27/2015)
2015-11-30MINUTE ORDER: Upon consideration of 8 the parties' joint proposed briefing schedule, and the entire record herein, it is hereby ORDERED that the parties shall file any motions for summary judgment by not later than March 14, 2016; any corresponding oppositions by not later than April 4, 2016; and any corresponding replies by not later than April 18, 2016. Signed by Judge John D. Bates on 11/30/2015. (lcjdb2) (Entered: 11/30/2015)
2015-11-30Set/Reset Deadlines: Summary Judgment motions due by 3/14/2016. Response to Motion for Summary Judgment due by 4/4/2016. Reply to Motion for Summary Judgment due by 4/18/2016. (tb) (Entered: 11/30/2015)
2016-03-049STIPULATION Regarding Proposed Revised Briefing Schedule by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Certificate of Service)(Greig, William) (Entered: 03/04/2016)
2016-03-04MINUTE ORDER: Upon consideration of 9 the parties' proposed revised briefing schedule, and the entire record herein, it is hereby ORDERED that the parties shall file any motions for summary judgment by not later than April 11, 2016; any corresponding oppositions by not later than May 2, 2016; and any corresponding replies by not later than May 16, 2016. Signed by Judge John D. Bates on 3/4/2016. (lcjdb2) (Entered: 03/04/2016)
2016-03-07Set/Reset Deadlines: Summary Judgment motion due by 4/11/2016. Response to Motion for Summary Judgment due by 5/2/2016. Reply to Motion for Summary Judgment due by 5/16/2016. (tb) (Entered: 03/07/2016)
2016-04-1110MOTION for Summary Judgment by UNITED STATES SECURITIES AND EXCHANGE COMMISSION (Attachments: # 1 Memorandum in Support, # 2 Exhibit Declaration of Kenneth Donnelly, # 3 Exhibit Decision of the Office of the General Counsel, # 4 Exhibit Vaughn Index, # 5 Statement of Facts Statement of Material Facts Not in Genuine Dispute, # 6 Text of Proposed Order)(Greig, William) (Entered: 04/11/2016)
2016-04-1111MOTION for Summary Judgment by MITCHELL J. STEIN (Attachments: # 1 Declaration of Mitchell J. Stein, # 2 Appendix (of cited out-of-state cases), # 3 Text of Proposed Order)(Harris, David) (Entered: 04/11/2016)
2016-04-1112MOTION to Take Judicial Notice by MITCHELL J. STEIN (Attachments: # 1 Text of Proposed Order)(Harris, David) (Entered: 04/11/2016)
2016-05-0213Memorandum in opposition to re 11 MOTION for Summary Judgment filed by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Exhibit SEC v. Heart Tronics, Dkt. 193-3, # 2 Exhibit SEC v. Heart Tronics, Dkt. 193-5)(Greig, William) (Entered: 05/02/2016)
2016-05-0214RESPONSE re 10 MOTION for Summary Judgment filed by MITCHELL J. STEIN. (Attachments: # 1 Affidavit of Mitchell Stein, # 2 Statement of Genuine Issues, # 3 Text of Proposed Order)(Harris, David) (Entered: 05/02/2016)
2016-05-0215MOTION to Take Judicial Notice by MITCHELL J. STEIN (Attachments: # 1 Text of Proposed Order)(Harris, David) (Entered: 05/03/2016)
2016-05-1616REPLY to opposition to motion re 10 MOTION for Summary Judgment filed by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Exhibit, # 2 Exhibit)(Greig, William) (Entered: 05/16/2016)
2016-05-1617REPLY to opposition to motion re 11 MOTION for Summary Judgment filed by MITCHELL J. STEIN. (Attachments: # 1 Declaration of Mitchell Stein, # 2 Declaration of David Harris, # 3 Declaration of Rasika Reichardt)(Harris, David) (Entered: 05/16/2016)
2016-05-1618MOTION to Take Judicial Notice by MITCHELL J. STEIN (Attachments: # 1 Text of Proposed Order)(Harris, David) (Entered: 05/16/2016)
2017-02-27MINUTE ORDER: Upon consideration of the briefs and record in this case, the parties are hereby ORDERED to file supplemental briefs updating the Court on the status of the criminal case against Stein in the Southern District of Florida and the Eleventh Circuit, as well as the enforcement action against Heart Tronics in the Central District of California and the Ninth Circuit. In addition, the declaration of Kenneth Donnelly submitted by the SEC identifies six documents that the SEC has agreed to produce in full to the plaintiff. The Court would like an update as to whether those documents have been produced. The parties may also update the Court on any other developments relevant to this dispute. The supplemental briefs shall not exceed 7 pages and shall be filed by not later than March 6, 2017 at 5 p.m. SO ORDERED. Signed by Judge John D. Bates on 2/27/17. (lcjdb2) (Entered: 02/27/2017)
2017-02-27Set/Reset Deadlines: Supplemental briefs due by 3/6/2017. (tb) (Entered: 02/27/2017)
2017-03-01Set/Reset Deadlines: Supplemental Memorandum due by 5:00 p.m. on 3/6/2017. (tb) (Entered: 03/01/2017)
2017-03-0619SUPPLEMENTAL MEMORANDUM to re 10 MOTION for Summary Judgment filed by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Greig, William) (Entered: 03/06/2017)
2017-03-0620SUPPLEMENTAL MEMORANDUM to re Order,,, dated February 27, 2017 filed by MITCHELL J. STEIN. (Harris, David) (Entered: 03/06/2017)
2017-03-0621MOTION to Take Judicial Notice by MITCHELL J. STEIN (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Text of Proposed Order)(Harris, David) (Entered: 03/06/2017)
2017-03-0922Order granting in part and denying in part 12 15 18 21 plaintiff's motions for judicial notice. See text for details. Signed by Judge John D. Bates on 3/9/17. (lcjdb2) (Entered: 03/09/2017)
2017-07-2423ORDER granting in part and denying in part 10 the government's motion for summary judgment, and denying 11 plaintiff's motion for summary judgment. See text of order and accompanying memorandum opinion for details. Signed by Judge John D. Bates on 7/24/17. (lcjdb2) (Entered: 07/24/2017)
2017-07-2424MEMORANDUM AND OPINION granting in part and denying in part 10 the government's motion for summary judgment, and denying 11 plaintiff's motion for summary judgment. See text of opinion and accompanying order for details. Signed by Judge John D. Bates on 7/24/17. (lcjdb2) (Entered: 07/24/2017)
2017-07-25Set/Reset Deadlines: Proposed Briefing Schedule due by 8/4/2017. (tb) (Entered: 07/25/2017)
2017-08-0425PROPOSED BRIEFING SCHEDULE re 23 Order on Motion for Summary Judgment,,, and Agreed Proposed Schedule re Numbered Items in Order by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Text of Proposed Order, # 2 Certificate of Service)(Greig, William) (Entered: 08/04/2017)
2017-08-0826ORDER setting schedule for further proceedings. See text for details. Signed by Judge John D. Bates on 8/8/17. (lcjdb2) (Entered: 08/08/2017)
2017-08-08Set/Reset Deadlines: Renewed Summary Judgment motion due by 4/3/2018. Response to Motion for Summary Judgment due by 4/24/2018. Reply to Motion for Summary Judgment due by 5/8/2018. Vaughn Index due by 10/3/2017. (tb) (Entered: 08/08/2017)
2017-08-1827AFFIDAVIT re 26 Order -- Declaration of Carin Cozza -- by UNITED STATES SECURITIES AND EXCHANGE COMMISSION. (Attachments: # 1 Certificate of Service)(Greig, William) (Entered: 08/18/2017)
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by FOIA Project Staff