| Date Filed | Doc # | Docket Text |
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| 2019-10-29 | 1 | Case has been indexed and assigned to Judge Howard C. Nielson, Jr.. Plaintiff Wilson-Davis & Co. is directed to E-File the Complaint and cover sheet (found under Complaints and Other Initiating Documents) and pay the filing fee of $ 400.00 by the end of the business day. NOTE: The court will not have jurisdiction until the opening document is electronically filed and the filing fee paid in the CM/ECF system. Civil Summons may be issued electronically. Prepare the summons using the courts PDF version and email it to utdecf_clerk@utd.uscourts.gov for issuance. (nl) (Entered: 10/29/2019) |
| 2019-10-29 | 2 | COMPLAINT for Declaratory and Injunctive Relief against US Securities and Exchange Commission (Filing fee $ 400, receipt number 1088-3406271) filed by Wilson-Davis & Co.. (Attachments: # 1 Civil Cover Sheet Civil Cover Sheet, # 2 Exhibit Exhibit 1, # 3 Exhibit Exhibit 2, # 4 Exhibit Exhibit 3, # 5 Exhibit Exhibit 4, # 6 Exhibit Exhibit 5, # 7 Exhibit Exhibit 6, # 8 Exhibit Exhibit 7, # 9 Exhibit Exhibit 8, # 10 Exhibit Exhibit 9, # 11 Exhibit Exhibit 10, # 12 Exhibit Exhibit 11, # 13 Exhibit Exhibit 12, # 14 Exhibit Exhibit 13, # 15 Exhibit Exhibit 14) Assigned to Judge Howard C. Nielson, Jr (Ensor, Richard) (Entered: 10/29/2019) |
| 2019-10-30 | 3 | ORDER REFERRING CASE to Magistrate Judge Dustin B. Pead under 28:636 (b)(1)(A), Magistrate to hear and determine all nondispositive pretrial matters. No attached document. Signed by Magistrate Judge Dustin B. Pead on 10/30/2019. (las) (Entered: 10/30/2019) |
| 2019-10-30 | 4 | **RESTRICTED DOCUMENT** Summons Issued Electronically as to US Attorney's Office District of Utah. Instructions to Counsel: 1. Click on the document number. 2. If you are prompted for an ECF login, enter your 'Attorney' login to CM/ECF. 3. Print the issued summons for service. (nl) (Entered: 10/30/2019) |
| 2019-10-31 | 5 | **RESTRICTED DOCUMENT** Summons Issued Electronically as to US Securities and Exchange Commission. Instructions to Counsel: 1. Click on the document number. 2. If you are prompted for an ECF login, enter your 'Attorney' login to CM/ECF. 3. Print the issued summons for service. (nl) (Entered: 10/31/2019) |
| 2019-11-01 | 6 | ORDER TO PROPOSE SCHEDULE - Plaintiff must propose a schedule to defendant in the form of a draft Attorney Planning Meeting Report within the earlier of fourteen(14) days after any defendant has appeared or twenty-eight (28) days after any defendant has been served with the complaint. See order for additional instructions. Signed by Magistrate Judge Dustin B. Pead on 11/1/2019. (las) (Entered: 11/01/2019) |
| 2019-11-06 | 7 | **RESTRICTED DOCUMENT** SUMMONS Returned Executed by Wilson-Davis & Co.. US Securities and Exchange Commission served on 11/4/2019, answer due 1/3/2020. (Ensor, Richard) (Entered: 11/06/2019) |
| 2019-11-08 | 8 | NOTICE of Appearance by Mark Robert Tallarico on behalf of US Securities and Exchange Commission (Tallarico, Mark) (Entered: 11/08/2019) |
| 2019-11-15 | 9 | CERTIFICATE OF SERVICE by Wilson-Davis & Co. Summons and Complaint (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B, # 3 Exhibit Exhibit C)(Ensor, Richard) (Entered: 11/15/2019) |
| 2019-12-03 | 10 | Defendant's ANSWER to Complaint filed by US Securities and Exchange Commission.(Tallarico, Mark) (Entered: 12/03/2019) |
| 2019-12-06 | 11 | REPORT OF ATTORNEY PLANNING MEETING. (Freeland, Anne) (Entered: 12/06/2019) |
| 2019-12-06 | 12 | SCHEDULING ORDER: Amended Pleadings due by 2/19/2020. Joinder of Parties due by 2/19/2020. Motions due by 3/31/2020. Status Conference set for 4/7/2020 at 10:00 AM in Rm 7.300 before Judge Howard C. Nielson, Jr.. Signed by Magistrate Judge Dustin B. Pead on 12/6/2019. (las) (Entered: 12/06/2019) |
| 2020-03-31 | 13 | Stipulated MOTION for Extension of Time to File a Dispositve Motion and to Vacate the Scheduling Conference filed by Plaintiff Wilson-Davis & Co.. (Attachments: # 1 Text of Proposed Order Granting Stipulated Motion for Extension of Time to File a Dispositive Motion and to Vacate the Scheduling Conference) Motions referred to Dustin B. Pead.(Freeland, Anne) (Entered: 03/31/2020) |
| 2020-03-31 | 14 | REQUEST to Submit for Decision re 13 Stipulated MOTION for Extension of Time to File a Dispositve Motion and to Vacate the Scheduling Conference filed by Plaintiff Wilson-Davis & Co.. (Freeland, Anne) (Entered: 03/31/2020) |
| 2020-04-01 | 15 | AMENDED SCHEDULING ORDER: Motions due by 4/30/2020. Status Conference set for 5/7/2021 at 10:00 AM in Rm 7.300 before Judge Howard C. Nielson, Jr. All other deadlines shall remain in place. Signed by Magistrate Judge Dustin B. Pead on 4/1/2020. (las) (Entered: 04/01/2020) |
| 2020-04-09 | 16 | STIPULATION of Dismissal with Prejudice by Wilson-Davis & Co.. (Attachments: # 1 Text of Proposed Order Granting Stipulation of Dismissal with Prejudice)(Freeland, Anne) (Entered: 04/09/2020) |
| 2020-04-09 | 17 | REQUEST to Submit for Decision re 16 Stipulation of Dismissal filed by Plaintiff Wilson-Davis & Co.. (Freeland, Anne) (Entered: 04/09/2020) |
| 2020-04-10 | | Civil Case Terminated per 16 Stipulation of Dismissal. Magistrate Judge Dustin B. Pead no longer assigned to case. (las) (Entered: 04/10/2020) |
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