| Date Filed | Doc # | Docket Text |
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| 2013-09-04 | 1 | COMPLAINT against Securities and Exchange Commission. (Filing Fee $ 350.00, Receipt Number 1075913)Document filed by Kathleen Furey. (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 13a, # 14 ex 13b, # 15 ex 14, # 16 ex 15, # 17 ex 16, # 18 ex 17, # 19 ex 18, # 20 ex 19, # 21 ex 20, # 22 ex 21, # 23 ex 22, # 24 ex 23, # 25 ex 24, # 26 ex 25)(laq) (Entered: 09/09/2013) |
| 2013-09-04 | | SUMMONS ISSUED as to Securities and Exchange Commission. (laq) (Entered: 09/09/2013) |
| 2013-09-04 | | Magistrate Judge Andrew J. Peck is so designated. (laq) (Entered: 09/09/2013) |
| 2013-09-04 | | Case Designated ECF. (laq) (Entered: 09/09/2013) |
| 2013-09-17 | 2 | NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 11/14/2013 at 02:30 PM in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 9/17/2013) (tro) (Entered: 09/17/2013) |
| 2013-09-18 | 3 | CERTIFICATE OF SERVICE of Notice of Initial Pretrial Conference & Individual Rules of Practice of Judge Failla served on Securities & Exchange Commission on 09/18/2013. Service was made by Mail. Document filed by Kathleen Furey. (Chaitman, Helen) (Entered: 09/18/2013) |
| 2013-09-23 | 4 | FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for GARY J. AGUIRRE to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8896466. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Kathleen Furey. (Attachments: # 1 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Chaitman, Helen) Modified on 9/23/2013 (bwa). (Entered: 09/23/2013) |
| 2013-09-23 | | >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 4 MOTION for GARY J. AGUIRRE to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8896466. Motion and supporting papers to be reviewed by Clerk's Office staff . Certificates of Good Standing must be issued from the State Court. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (bwa) (Entered: 09/23/2013) |
| 2013-09-25 | 5 | CERTIFICATE OF SERVICE of Summons and Complaint,,. Securities and Exchange Commission served on 9/18/2013, answer due 10/9/2013. Service was accepted by James H. Green. Document filed by Kathleen Furey. (Chaitman, Helen) (Entered: 09/25/2013) |
| 2013-09-25 | 6 | CERTIFICATE OF SERVICE of Summons and Complaint,,. Attorney General of The United States served on 9/18/2013, answer due 10/9/2013. Service was made by Mail. Document filed by Kathleen Furey. (Chaitman, Helen) (Entered: 09/25/2013) |
| 2013-10-03 | 7 | MOTION for GARY J. AGUIRRE to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Kathleen Furey. (Attachments: # 1 Text of Proposed Order)(Chaitman, Helen) (Entered: 10/03/2013) |
| 2013-10-03 | | >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 7 MOTION for GARY J. AGUIRRE to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. . The document has been reviewed and there are no deficiencies. (bcu) (Entered: 10/03/2013) |
| 2013-10-04 | 8 | ORDER FOR ADMISSION PRO HAC VICE granting 7 Motion for Gary J. Aguirre to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/4/2013). (rjm) (Entered: 10/04/2013) |
| 2013-10-17 | 9 | MOTION for Laura Walker to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit)(Walker, Laura) (Entered: 10/17/2013) |
| 2013-10-17 | | >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 9 MOTION for Laura Walker to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. . The document has been reviewed and there are no deficiencies. (wb) (Entered: 10/17/2013) |
| 2013-10-21 | 10 | ANSWER to 1 Complaint,,. Document filed by Securities and Exchange Commission.(Walker, Laura) (Entered: 10/21/2013) |
| 2013-10-21 | 11 | ENDORSED LETTER addressed to Judge Katherine Polk Failla from Helen Davis Chaitman dated 10/17/2013 re: We write to request permission for Mr. Aguirre, who resides in California, to attend the November 14, 2013 pretrial conference by telephone. ENDORSEMENT: Application GRANTED. Mr. Aguirre shall call Chambers forthwith to provide the telephone number at which he can be reached for the initial pretrial conference on November 14, 2013. (Signed by Judge Katherine Polk Failla on 10/21/2013) (lmb) (Entered: 10/21/2013) |
| 2013-10-21 | 12 | ORDER granting 9 Motion for Laura Walker to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/21/2013) (lmb) (Entered: 10/21/2013) |
| 2013-11-05 | 13 | ORDER OF REFERENCE TO A MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. Referred to Magistrate Judge Andrew J. Peck. The parties are directed to contact the chambers of Magistrate Judge Peck to schedule a settlement conference in or about seven days from the date of this Order. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/5/2013) (ja) (Entered: 11/06/2013) |
| 2013-11-06 | | Minute Entry Telephone Conference previously set for 11/14/2013 is re-set to 1/21/2014 at 4:00pm. (Lopez, Jose) (Entered: 11/06/2013) |
| 2013-11-18 | 14 | ORDER FOR SETTLEMENT CONFERENCE: A settlement conference is scheduled for December 16, 2013 at 9:30AM before Magistrate Judge Andrew J. Peck in Courtroom 20D, 500 Pearl Street. Counsel attending the conference must have full settlement authority and their client(s) must be present at the conference, as must a representative of the client's insurance company where the decision to settle and/or amount of settlement must be approved by the insurance company. Counsel shall provide a confidential settlement memorandum to my chambers. The memorandum shall not be filed with the Clerk of the Court nor provided to opposing counsel. The memorandum should explain the factual and legal background of the case as it impacts on settlement negotiations; the status of prior settlement discussions between the parties; and the party's settlement proposal (range). See Order., ( Settlement Conference set for 12/16/2013 at 09:30 AM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 11/15/2013) (lmb) Modified on 11/19/2013 (lmb). (Entered: 11/18/2013) |
| 2013-12-04 | 15 | LETTER MOTION to Adjourn Conference addressed to Magistrate Judge Andrew J. Peck from SEC dated 12/04/2013. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Walker, Laura) (Entered: 12/04/2013) |
| 2013-12-04 | 16 | STIPULATION AND ORDER REGARDING VAUGHN INDEX: 1) Each record requested by Furey, as alleged in the complaint herein, that the Commission has withheld in full or in part shall be described separately on the Vaughn index as a separate line item, except the documents described in paragraph 2 below; 2) Where the Commission releases a record to Furey where only personal information (e.g., names, social security numbers, or addresses) is withheld under Exemption 6 or 7C, and no other exemption is asserted in withholding information, the Commission may describe the record by category and as further set forth in this order. The December 16, 2013 conf. is adjourned. Counsel shall contact the Court before February 14, 2014 to reschedule a settlement conf. (Signed by Magistrate Judge Andrew J. Peck on 12/4/2013) (lmb) (Entered: 12/04/2013) |
| 2014-01-07 | 17 | LETTER MOTION to Adjourn Conference addressed to Judge Katherine Polk Failla from Walker dated 1-7-2014. Document filed by Securities and Exchange Commission.(Walker, Laura) (Entered: 01/07/2014) |
| 2014-01-07 | 18 | ORDER granting 17 Letter Motion to Adjourn Conference. Application GRANTED. The initial pretrial conference is adjourned to March 28, 2014, at 3:00 p.m. (Initial Conference set for 3/28/2014 at 03:00 PM before Judge Katherine Polk Failla). (Signed by Judge Katherine Polk Failla on 1/7/2014) (rjm) (Entered: 01/08/2014) |
| 2014-02-14 | 19 | FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - MOTION to Approve enter stipulation. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Walker, Laura) Modified on 2/18/2014 (db). (Entered: 02/14/2014) |
| 2014-02-14 | 20 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Gary J. Aguirre dated 2/14/2014 re: I am happy to inform you that the parties have reached a stipulation (which is currently being circulated for signature) that works out the problem mentioned in my fax yesterday. I am requesting a settlement conference no sooner than 30 days after the scheduled delivery date of February 26, 2014. ENDORSEMENT: Contact the Court by 2/28 to schedule settle conf. for late March or early April. (Signed by Magistrate Judge Andrew J. Peck on 2/14/2014) (lmb) (Entered: 02/14/2014) |
| 2014-02-18 | 21 | AMENDMENT TO STIPULATION AND ORDER REGARDING VAUGHN INDEX: 1) Subject to the limitations stated below, the Commission shall release all OSC Records without redactions (except pursuant to paragraph 2 below) to Furey on or before February 26, 2014. 2) The Commission may withhold such OSC Records, estimated to consist of no more than 10 records, which it deems in good faith to be subject (a) to the attorney- client privilege or (b) to the attorney work product doctrine as said doctrine has been defined and interpreted by the federal courts of the District of Columbia as further set forth in this order., Motions terminated: 19 MOTION to Approve enter stipulation filed by Securities and Exchange Commission. (Signed by Magistrate Judge Andrew J. Peck on 2/18/2014) (lmb) (Entered: 02/18/2014) |
| 2014-02-18 | | ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Laura Walker to E-MAIL Document No. 19 Stipulation to judgments@nysd.uscourts.gov. This document is not filed via ECF. (db) (Entered: 02/18/2014) |
| 2014-02-28 | 22 | ORDER: Settlement Conference set for 4/21/2014 at 09:30 AM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Judge Katherine Polk Failla, and as further set forth in this document. (Signed by Magistrate Judge Andrew J. Peck on 2/28/2014) Copies Sent By Chambers(cd) (Entered: 02/28/2014) |
| 2014-03-28 | | Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 3/28/2014. (Court Reporter Denise Richards) (Lopez, Jose) (Entered: 04/01/2014) |
| 2014-03-31 | 23 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Laura Walker dated 3/31/2014 re: Request to reschedule the 4/21/2014 settlement conference. ENDORSEMENT: Settle cont. rescheduled at parties' request to 4/22 at 2PM. ( Settlement Conference reset for 4/22/2014 at 02:00 PM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 3/31/2014) Copies Sent By ECF By Chambers(cd) (Entered: 04/01/2014) |
| 2014-04-04 | 24 | LETTER addressed to Judge Katherine Polk Failla from Securities and Exchange Commission dated 04/04/2014 re: Referral of Case to Magistrate Judge and Amendment of Complaint. Document filed by Securities and Exchange Commission.(Walker, Laura) (Entered: 04/04/2014) |
| 2014-04-07 | 25 | NOTICE, CONSENT, AND REFERENCE OF A CIVIL ACTION TO A MAGISTRATE JUDGE by Kathleen Furey, Securities and Exchange Commission. (Case No Longer Referred to Magistrate Judge) CASE ASSIGNED to Magistrate Judge Andrew J. Peck. (Signed by Judge Katherine Polk Failla on 4/7/2014) (ja) (Entered: 04/07/2014) |
| 2014-04-08 | | Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Telephone/Status Conference held on 4/8/2014. -status report 5/19; the settlement conference is adjourned sine die. (Gray, Diane) (Entered: 04/08/2014) |
| 2014-05-15 | 26 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Gary J. Aguirre dated 5/15/2014 re: Extension of time to file status report. ENDORSEMENT: Approved on consent. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 5/15/2014) (ajs) (Entered: 05/15/2014) |
| 2014-06-16 | 27 | STATUS REPORT. Letter to Hon. Andrew J. Peck from Gary J. Aguirre, Esq. Document filed by Kathleen Furey. (Attachments: # 1 Exhibit A)(Chaitman, Helen) (Entered: 06/16/2014) |
| 2014-07-01 | 28 | ORDER FOR SETTLEMENT CONFERENCE: Settlement Conference set for 7/28/2014 at 02:00 PM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck. Counsel attending the conference must have full settlement authority and their client(s) must be present at the conference, as must a representative of the client's insurance company where the decision to settle and/or amount of settlement must be approved by the insurance company. Counsel shall provide a confidential settlement memorandum to my chambers. The memorandum shall not be filed with the Clerk of the Court nor provided to opposing counsel. The memorandum should explain the factual and legal background of the case as it impacts on settlement negotiations; the status of prior settlement discussions between the parties; and the party's settlement proposal (range). See Order. (Signed by Magistrate Judge Andrew J. Peck on 7/1/2014) (ajs) (Entered: 07/01/2014) |
| 2014-07-07 | 29 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Gary J. Aguirre dated 7/7/2014 re: Adjournment of conference. ENDORSEMENT: Settlement conf. rescheduled for 7/28 at 9:30 AM. (Settlement Conference set for 7/28/2014 at 09:30 AM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 7/7/2014) (ajs) (Entered: 07/07/2014) |
| 2014-07-24 | 30 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Gary J. Aquirre, Laura Walker dated 7/24/2014 re: Request that the settlement conference scheduled for Monday, July 28, 2014, be taken off the calendar. ENDORSEMENT: The 7/28/2014 settlement conference is cancelled. So ordered. (Signed by Magistrate Judge Andrew J. Peck on 7/24/2014) (rjm) (Entered: 07/25/2014) |
| 2014-07-28 | 31 | ORDER: The parties are to submit, by August 4, 2014, a proposed schedule forsummary judgment motions, that will have briefing finished by October 31, 2014. (Signed by Magistrate Judge Andrew J. Peck on 7/28/2014) (djc) (Entered: 07/28/2014) |
| 2014-08-04 | 32 | LETTER addressed to Magistrate Judge Andrew J. Peck from Laura Walker dated 08/04/2014 re: settlement. Document filed by Securities and Exchange Commission.(Walker, Laura) (Entered: 08/04/2014) |
| 2014-08-04 | 33 | ORDER OF DISMISSAL ON CONSENT: The parties having informed the Court that they have reached a settlement agreement in principle and are finalizing settlement documents (see attached letter), IT IS HEREBY ORDERED THAT this action is dismissed with prejudice and without costs, provided, however that any party may reinstate the action within 15 days hereof if the settlement is not fully effectuated. Any pending motions are to be terminated as moot. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 8/4/2014) (ajs) (Entered: 08/04/2014) |
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