| Date Filed | Doc # | Docket Text |
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| 2022-11-29 | 1 | COMPLAINT against United States Securities and Exchange Commission. (Filing Fee $ 402.00, Receipt Number ANYSDC-27011092)Document filed by Virtu Financial, Inc.. (Attachments: # 1 Exhibit A FOIA Request and Appendix, # 2 Exhibit B Letter, # 3 Exhibit C Letter, # 4 Exhibit D Letter, # 5 Exhibit E Letter, # 6 Exhibit F Letter, # 7 Exhibit G Letter, # 8 Exhibit H Decision Regarding FOIA Appeal, # 9 Exhibit I Email Chain, # 10 Exhibit J Decision Regarding FOIA Request).(Reisner, Lorin) (Entered: 11/29/2022) |
| 2022-11-29 | 2 | CIVIL COVER SHEET filed..(Reisner, Lorin) (Entered: 11/29/2022) |
| 2022-11-29 | 3 | RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Virtu Financial, Inc...(Reisner, Lorin) (Entered: 11/29/2022) |
| 2022-11-29 | 4 | REQUEST FOR ISSUANCE OF SUMMONS as to United States Securities and Exchange Commission, re: 1 Complaint,,. Document filed by Virtu Financial, Inc...(Reisner, Lorin) (Entered: 11/29/2022) |
| 2022-11-30 | | CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Vernon S. Broderick. Please download and review the Individual Practices of the assigned District Judge, located at https://nysd.uscourts.gov/judges/district-judges . Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at https://nysd.uscourts.gov/rules/ecf-related-instructions . .(pc) (Entered: 11/30/2022) |
| 2022-11-30 | | Magistrate Judge Katharine H. Parker is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf . (pc) (Entered: 11/30/2022) |
| 2022-11-30 | | Case Designated ECF. (pc) (Entered: 11/30/2022) |
| 2022-11-30 | 5 | ELECTRONIC SUMMONS ISSUED as to United States Securities and Exchange Commission..(pc) (Entered: 11/30/2022) |
| 2022-12-08 | 6 | NOTICE OF APPEARANCE by Andrew Garry Gordon on behalf of Virtu Financial, Inc...(Gordon, Andrew) (Entered: 12/08/2022) |
| 2022-12-08 | 7 | NOTICE OF APPEARANCE by Jessica Sombat Carey on behalf of Virtu Financial, Inc...(Carey, Jessica) (Entered: 12/08/2022) |
| 2022-12-08 | 8 | NOTICE OF APPEARANCE by Kristina Anne Bunting on behalf of Virtu Financial, Inc...(Bunting, Kristina) (Entered: 12/08/2022) |
| 2022-12-08 | 9 | CERTIFICATE OF SERVICE of Notices of Appearance for Andrew G. Gordon, Jessica S. Carey, and Kristina A. Bunting served on United States Securities and Exchange Commission on 12/8/2022. Service was made by Mail. Document filed by Virtu Financial, Inc...(Reisner, Lorin) (Entered: 12/08/2022) |
| 2022-12-14 | 10 | SUMMONS RETURNED EXECUTED (FOIA CASE). United States Securities and Exchange Commission served on 12/12/2022, answer due 1/11/2023. Service was made by Certified Mail. Document filed by Virtu Financial, Inc...(Reisner, Lorin) (Entered: 12/14/2022) |
| 2023-01-09 | 11 | MOTION for Michael S. Bailey to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Certificate of Good Standing for DC, # 2 Exhibit Certificate of Good Standing for Maryland, # 3 Exhibit Certificate of Good Standing for Massachusetts, # 4 Affidavit Affidavit in Support of Pro Hac Vice Motion, # 5 Text of Proposed Order Proposed Order).(Bailey, Michael) (Entered: 01/09/2023) |
| 2023-01-09 | 12 | NOTICE OF APPEARANCE by Mary Alexandra Verdi on behalf of United States Securities and Exchange Commission..(Verdi, Mary) (Entered: 01/09/2023) |
| 2023-01-09 | 13 | ANSWER to 1 Complaint,,. Document filed by United States Securities and Exchange Commission..(Verdi, Mary) (Entered: 01/09/2023) |
| 2023-01-10 | | >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 11 MOTION for Michael S. Bailey 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. (sgz) (Entered: 01/10/2023) |
| 2023-01-10 | 14 | ORDER FOR ADMISSION PRO HAC VICE OF MICHAEL S. BAILEY granting 11 Motion for Michael S. Bailey to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned action in the United States District Court for the Southern District of New York. All attorneys appearing before this court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys.. (Signed by Judge Vernon S. Broderick on 1/10/2023) (kv) (Entered: 01/10/2023) |
| 2023-02-07 | | NOTICE OF CASE REASSIGNMENT to Judge Jennifer H. Rearden. Judge Vernon S. Broderick is no longer assigned to the case. (tro) (Entered: 02/07/2023) |
| 2023-02-17 | 15 | NOTICE OF REASSIGNMENT: This case has been reassigned to this Court. All counsel must familiarize themselves with the Court's Individual Rules and Practices, which are available at https://nysd.uscourts.gov/hon-jennifer-h-rearden. Unless and until the Court orders otherwise, all prior orders, dates, and deadlines shall remain in effect notwithstanding the reassignment. Any conference or oral argument before or directed by the Magistrate Judge will proceed as ordered. However, all previously scheduled appearances or conferences before the District Judge are hereby adjourned pending further notice from the Court. Within two weeks of the filing of this Order, the parties are hereby ORDERED to file on ECF a joint letter updating the Court on the status of the case. The joint letter shall not exceed five (5) double-spaced pages, and shall provide the following information, to the extent relevant, in separate paragraphs: as set forth herein. SO ORDERED. (Signed by Judge Jennifer H. Rearden on 2/17/2023) (ama) (Entered: 02/17/2023) |
| 2023-03-03 | 16 | JOINT LETTER addressed to Judge Jennifer H. Rearden from Lorin L. Reisner dated March 3, 2023 re: Status Update. Document filed by Virtu Financial, Inc...(Reisner, Lorin) (Entered: 03/03/2023) |
| 2023-03-29 | 17 | ORDER OF REFERENCE TO A MAGISTRATE JUDGE: Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Katharine H. Parker. SO ORDERED. (Signed by Judge Jennifer H. Rearden on 3/29/2023) (ama) (Entered: 03/29/2023) |
| 2023-03-29 | 18 | INITIAL CASE MANAGEMENT CONFERENCE ORDER: Initial Conference set for 5/8/2023 at 11:15 AM in Courtroom 17D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Katharine H. Parker. SO ORDERED. (Signed by Magistrate Judge Katharine H. Parker on 3/29/2023) (vfr) (Entered: 03/29/2023) |
| 2023-04-17 | 19 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated April 17, 2023 re: Virtu Financial, Inc. v. SEC - Initial Case Management Conference Order. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 04/17/2023) |
| 2023-04-17 | 20 | MEMO ENDORSEMENT on re: 19 Letter, filed by United States Securities and Exchange Commission. ENDORSEMENT: The parties are excused from the requirements to confer under Rule 26(f), serve Rule 26(a)(1) initial disclosures, and submit a Proposed Case Management Plan. The Court adopts the parties' proposed schedule. The Case Management Conference previously scheduled for May 8, 2023, at 11:15 a.m. is adjourned sine die. The parties shall file a joint status letter on Thursday, August 31, 2023 updating the Court on their progress as to the release of non-exempt records. In the event the parties anticipate that a case management conference or settlement conference would be helpful, the parties can at any time file a joint letter requesting a conference. SO ORDERED. ( Motions due by 1/8/2024., Replies due by 1/29/2024., Responses due by 1/22/2024) (Signed by Magistrate Judge Katharine H. Parker on 4/17/2023) (vfr) (Entered: 04/17/2023) |
| 2023-08-31 | 21 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated August 31, 2023 re: Virtu Financial, Inc. v. SEC - Case Status. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 08/31/2023) |
| 2023-08-31 | 22 | MEMO ENDORSEMENT on re: 21 Letter filed by United States Securities and Exchange Commission. ENDORSEMENT: The Court thanks the parties for the status update. The parties shall file another joint status letter on Tuesday, October 31, 2023. SO ORDERED. (Signed by Magistrate Judge Katharine H. Parker on 8/31/2023) (vfr) (Entered: 08/31/2023) |
| 2023-09-28 | 23 | LETTER MOTION for Extension of Time to Complete Release of Non-Exempt Records addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated September 28, 2023. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 09/28/2023) |
| 2023-10-02 | 24 | ORDER granting 23 Letter Motion for Extension of Time. APPLICATION GRANTED. Motions due by 1/8/2024. (Signed by Magistrate Judge Katharine H. Parker on 10/2/2023) (vfr) (Entered: 10/02/2023) |
| 2023-10-02 | | Set/Reset Deadlines: Responses due by 1/22/2024 Replies due by 1/29/2024. (vfr) (Entered: 10/02/2023) |
| 2023-10-31 | 25 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated October 31, 2023 re: status update. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 10/31/2023) |
| 2023-11-01 | 26 | MEMO ENDORSEMENT on re: 25 Letter filed by United States Securities and Exchange Commission. ENDORSEMENT: The Court thanks the parties for this status update. The parties shall file another joint status update on or before Tuesday, December 5, 2023. SO ORDERED. (Signed by Magistrate Judge Katharine H. Parker on 11/1/2023) (vfr) (Entered: 11/01/2023) |
| 2023-11-08 | 27 | LETTER MOTION for Extension of Time to Complete Release of Non-Exempt Records addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated November 8, 2023. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 11/08/2023) |
| 2023-11-09 | 28 | ORDER granting 27 Letter Motion for Extension of Time. APPLICATION GRANTED. The deadline for the SEC to produce the outstanding documents is extended to December 8, 2023. Additionally, the deadline for the parties' joint status report is extended from December 5, 2023 to December 15, 2023. The status report should confirm that the production of responsive, non-exempt records is complete, and should state whether there are any outstanding disputes. SO ORDERED. (Signed by Magistrate Judge Katharine H. Parker on 11/9/2023) (vfr) (Entered: 11/09/2023) |
| 2023-12-15 | 29 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated December 15, 2023 re: Status Update. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 12/15/2023) |
| 2023-12-18 | 30 | MEMO ENDORSEMENT on re: 29 Letter filed by United States Securities and Exchange Commission. ENDORSEMENT: APPLICATION GRANTED. The summary judgment briefing schedule is adjourned sine die pending the joint status report from the parties. The parties shall file their joint status report on or before Tuesday, January 16, 2024. The report shall provide an update as to the two outstanding issues raised above, and, if necessary, shall propose a briefing schedule for any summary judgment motions and/or other motions. The parties may request a conference before the Undersigned if they would like the Court's assistance in resolving the outstanding issues. (Signed by Magistrate Judge Katharine H. Parker on 12/18/2023) (vfr) (Entered: 12/18/2023) |
| 2024-01-16 | 31 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated January 16, 2024 re: Status Update. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 01/16/2024) |
| 2024-01-17 | 32 | MEMO ENDORSEMENT on re: 31 Letter filed by United States Securities and Exchange Commission. ENDORSEMENT: The Court thanks the parties for this status update and requests another status update on or before February 16, 2024. SO ORDERED. (Signed by Magistrate Judge Katharine H. Parker on 1/17/2024) (vfr) (Entered: 01/17/2024) |
| 2024-02-15 | 33 | JOINT LETTER addressed to Magistrate Judge Katharine H. Parker from Michael S. Bailey dated February 15, 2024 re: Status Update. Document filed by United States Securities and Exchange Commission..(Bailey, Michael) (Entered: 02/15/2024) |
| 2024-02-21 | 34 | MEMO ENDORSEMENT on re: 33 Letter filed by United States Securities and Exchange Commission ENDORSEMENT APPLICATION GRANTED. (Signed by Magistrate Judge Katharine H. Parker on 2/21/2024) (jca) (Entered: 02/21/2024) |
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