| Court: | flsd |
| Docket #: | 9:05-cv-80367 |
| Case Name: | Securities Exchange v. K.W. Brown & Company, et al |
| PACER case #: | 260573 |
| Date filed: | 2005-04-27 |
| Date terminated: | 2007-12-19 |
| Assigned to: | Magistrate Judge Linnea R. Johnson |
| Case Cause: | 15:0077 Securities Fraud |
| Nature of Suit: | 850 Securities/Commodities |
| Jury Demand: | None |
| Jurisdiction: | U.S. Government Plaintiff |
| Represented Party | Attorney & Contact Info |
| Securities and Exchange Commission Plaintiff |
Brian Keith Barry Christopher E. Martin |
| K.W. Brown & Company Defendant |
Curtis David Carlson Michael Schaenen Lamont Burton Webb Wiand James B. Koch Katherine L. Raynolds Thomas F. Burke |
| 21st Century Advisors, Inc. Defendant |
Curtis David Carlson Michael Schaenen Lamont Burton Webb Wiand James B. Koch Katherine L. Raynolds Thomas F. Burke |
| K.W. Brown Investments, Inc. Defendant |
Curtis David Carlson Michael Schaenen Lamont Burton Webb Wiand James B. Koch Katherine L. Raynolds Thomas F. Burke |
| Kenneth W. Brown Defendant |
Curtis David Carlson Michael Schaenen Lamont Burton Webb Wiand James B. Koch Katherine L. Raynolds Russell Lee Forkey Thomas F. Burke |
| Wendy E. Brown Defendant |
Curtis David Carlson James B. Koch Katherine L. Raynolds Russell Lee Forkey Thomas F. Burke |
| Michael S. Cimilluca Defendant |
Curtis David Carlson James B. Koch Katherine L. Raynolds Thomas F. Burke |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2005-04-27 | 1 | 0 | COMPLAINT for injunctive and other relief filed; Magistrate Judge Linnea R. Johnson (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 2 | 0 | NOTICE of filing stipulation and order appointing Special Monitor over defendants K.W. Brown & Company and 21st Century Advisors, Inc. by Securities Exchange (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 3 | 0 | SUMMONS(ES) issued for K.W. Brown & Company (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 4 | 0 | SUMMONS(ES) issued for 21st Century Advisor (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 5 | 0 | SUMMONS(ES) issued for K.W. Brown Invest (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 6 | 0 | SUMMONS(ES) issued for Kenneth W. Brown (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 7 | 0 | SUMMONS(ES) issued for Wendy E. Brown (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-04-27 | 8 | 0 | SUMMONS(ES) issued for Michael S. Cimilluca (bs, Deputy Clerk) (Entered: 04/28/2005) | |||
| 2005-05-02 | 9 | 0 | STIPULATION and order appointing special monitor by Securities Exchange, K.W. Brown & Company, 21st Century Advisor (cj, Deputy Clerk) (Entered: 05/03/2005) | |||
| 2005-05-04 | 10 | 0 | ORDER OF REFERENCE AND SETTING TRIAL DATE IN A CIVIL CASE: ORDER pursuant to 28 USC Section 636(b)(1)A) and the Magistrate Judge rules of the local rules of the Southern District of Florida this cause is referred to US Magistrate Judge Linnea R. Johnson ton conduct a scheduling conference pursuant to local rule 16.1.B, for the urpose of setting pre-trial deadline dates, and for determining possible consent to the jurisidiction ofthe Magistrate Judge for trial(Signed by Judge Donald M. Middlebrooks on 5/4/05) [EOD Date: 5/5/05] (Former Deputy Clerk) (Entered: 05/05/2005) | |||
| 2005-05-10 | 11 | 0 | NOTICE of filing acknowledgment and acceptance of service by Securities Exchange (lk, Deputy Clerk) (Entered: 05/10/2005) | |||
| 2005-05-11 | 12 | 0 | ORDER set scheduling conference for 11:00 6/15/05 before Magistrate Judge Linnea R. Johnson ( Signed by Magistrate Judge Linnea R. Johnson on 5/11/05) [EOD Date: 5/12/05] (cj, Deputy Clerk) (Entered: 05/12/2005) | |||
| 2005-05-16 | 13 | 0 | MOTION by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (Attorney ) to extend time of 30 days to 6/17/05 (cj, Deputy Clerk) (Entered: 05/16/2005) | |||
| 2005-05-26 | 14 | 0 | ORDER setting answer due for 6/3/05 for Michael S. Cimilluca, for Wendy E. Brown, for Kenneth W. Brown, for K.W. Brown Invest, for 21st Century Advisor, for K.W. Brown & Company granting [13-1] motion to extend time of 30 days to 6/17/05 ( Signed by Judge Donald M. Middlebrooks on 5/26/05) [EOD Date: 5/27/05] (hd, Deputy Clerk) (Entered: 05/27/2005) | |||
| 2005-06-01 | 15 | 0 | RESPONSE by Securities Exchange to [13-1] motion to extend time of 30 days to 6/17/05 (mh, Deputy Clerk) (Entered: 06/02/2005) | |||
| 2005-06-01 | 16 | 0 | MOTION by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (Attorney ) to extend time to file joint scheduling report (cj, Deputy Clerk) (Entered: 06/03/2005) | |||
| 2005-06-03 | 17 | 0 | ANSWER to Complaint by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (cj, Deputy Clerk) (Entered: 06/06/2005) | |||
| 2005-06-03 | 18 | 0 | MOTION by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (Attorney ) for James B. Koch to appear pro hac vice (cj, Deputy Clerk) (Entered: 06/06/2005) | |||
| 2005-06-08 | 19 | 0 | ORDER granting [18-1] motion for James B. Koch to appear pro hac vice ( Signed by Judge Donald M. Middlebrooks on 06/08/05) [EOD Date: 6/9/05] (bs, Deputy Clerk) (Entered: 06/09/2005) | |||
| 2005-06-08 | 20 | 0 | ORDER granting [16-1] motion to extend time to file joint scheduling report ( Signed by Judge Donald M. Middlebrooks on 06/08/05) [EOD Date: 6/9/05] (bs, Deputy Clerk) (Entered: 06/09/2005) | |||
| 2005-06-10 | 21 | 0 | JOINT Scheduling Report of Scheduling Meeting by Securities Exchange, K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (lk, Deputy Clerk) (Entered: 06/10/2005) | |||
| 2005-06-10 | 22 | 0 | NOTICE of Unavailability by Securities Exchange for dates of: 6/27/05-7/8/05 & 7/20-22/05 (ct, Deputy Clerk) (Entered: 06/13/2005) | |||
| 2005-06-15 | 23 | 0 | Minutes of Scheduling Conference held before Magistrate Judge Linnea R. Johnson on 6/15/05; Court Reporter Name or Tape #: LRJ-05-28-3168/29-1 (eg, Deputy Clerk) (Entered: 06/15/2005) | |||
| 2005-06-15 | 24 | 0 | ORDER referring case to mediation. 15 days to appoint mediator ( Signed by Magistrate Judge Linnea R. Johnson on 6/15/05) [EOD Date: 6/17/05] (lh, Deputy Clerk) (Entered: 06/17/2005) | |||
| 2005-07-28 | 25 | 0 | NOTICE of selection of David Lichter as Mediator by Securities Exchange (cj, Deputy Clerk) (Entered: 07/28/2005) | |||
| 2005-07-28 | 26 | 0 | MOTION by Securities Exchange (Attorney ) for partial relief from order and local rule regarding attendance at mediation (cj, Deputy Clerk) (Entered: 07/28/2005) | |||
| 2005-08-01 | 27 | 0 | ORDER granting [26-1] motion for partial relief from order and local rule regarding attendance at mediation ( Signed by Judge Donald M. Middlebrooks on 8/1/05) [EOD Date: 8/2/05] (cj, Deputy Clerk) (Entered: 08/02/2005) | |||
| 2005-08-11 | 28 | 0 | NOTICE of consent, and order of reference exercise of jurisdiction by US Magistrate Judge by Securities Exchange, K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (cj, Deputy Clerk) (Entered: 08/12/2005) | |||
| 2005-08-11 | 29 | 0 | JOINT MOTION by Securities Exchange, K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca to continue trial date and pretrial deadlines (except deadline to complete mediation by 120 days) (cj, Deputy Clerk) (Entered: 08/12/2005) | |||
| 2005-08-15 | 30 | 0 | ORDER OF REFERENCE FOR TRIAL to Magistrate Judge Linnea R. Johnson (Signed by Judge Donald M. Middlebrooks on 8/15/05) CCAP [EOD Date: 8/16/05] (Former Deputy Clerk) (Entered: 08/16/2005) | |||
| 2005-09-02 | 31 | 0 | ORDER granting [29-1] (see order for details) joint motion to continue trial date and pretrial deadlines (except deadline to complete mediation by 120 days) ( Signed by Magistrate Judge Linnea R. Johnson on 9/2/05) [EOD Date: 9/7/05] (cj, Deputy Clerk) (Entered: 09/07/2005) | |||
| 2005-09-06 | 32 | 0 | Initial Disclosures pursuant to Rule 26/Exhibit and Witness List by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (sk, Deputy Clerk) (Entered: 09/08/2005) | |||
| 2005-09-27 | 33 | 0 | Additional initial disclosures pursuant to Rule 26(A)(1) of the Federal Rules of Civil Procedure and S.D. Fla. Local Rule 26.1(A) by K.W. Brown & Company, 21st Century Advisor, K.W. Brown Invest, Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca (bb, Deputy Clerk) (Entered: 09/28/2005) | |||
| 2005-10-05 | 34 | 0 | MOTION by Securities Exchange (Attorney ) to continue deadline to complete mediation by two weeks (cj, Deputy Clerk) (Entered: 10/05/2005) | |||
| 2005-10-11 | 35 | 0 | ORDER granting [34-1] motion to continue deadline to complete mediation by two weeks ( Signed by Magistrate Judge Linnea R. Johnson on 10/7/05) [EOD Date: 10/18/05] (lh, Deputy Clerk) (Entered: 10/18/2005) | |||
| 2005-11-18 | 36 | 0 | REPORT of Mediator that: further discussion will be held on 11/16/05 (cj, Deputy Clerk) (Entered: 11/23/2005) | |||
| 2005-12-06 | 37 | 0 | NOTICE of Mediation Hearing on 12/16/05 at 10:00 Donald Spero added as mediator (cj, Deputy Clerk) (Entered: 12/06/2005) | |||
| 2005-12-29 | 38 | 0 | FINAL report of Mediator. Disposition: IMPASSE (rb, Deputy Clerk) (Entered: 01/04/2006) | |||
| 2006-01-09 | 39 | 0 | UNOPPOSED MOTION by K.W. Brown & Company to continue trial date and pre-trial deadlines (Former Deputy Clerk) (Entered: 01/11/2006) | |||
| 2006-01-24 | 40 | 0 | ORDER GRANTING UNOPPOSED MOTION TO EXTEND TRIAL DATE AND PRETRIAL DEADLINES: ORDER reset bench trial for 10:00 8/28/06 before Magistrate Judge Linnea R. Johnson in Fort Pierce (Signed by Magistrate Judge Linnea R. Johnson on 1/24/06) [EOD Date: 1/27/06] (Former Deputy Clerk) (Entered: 01/27/2006) | |||
| 2006-05-09 | 41 | 0 | NOTICE of Unavailability by Securities Exchange for dates of: 7/10/06 - 7/21/06 (cj, Deputy Clerk) (Entered: 05/09/2006) | |||
| 2006-05-23 | 42 | 0 | JOINT MOTION by Securities Exchange to extend time trial date and certain pretrial deadlines by 180 days (Former Deputy Clerk) (Entered: 05/25/2006) | |||
| 2006-06-02 | 43 | 0 | ORDER GRATNING JOINT MOTION TO EXTEND TRIAL DATE AND PRETRAIL DEADLINES: ORDER granting [42-1] joint motion to extend time trial date and certain pretrial deadlines by 180 days resetting discovery deadline for 10/8/06 , ret motion filing deadline for 1/5/07 , reset pretrial stipulation due for 1/19/07 Bench Trial term begins immediately following duty Court. Duty Court begins at 10:00AM each day (Signed by Magistrate Judge Linnea R. Johnson on 6/2/06) [EOD Date: 6/5/06] (Former Deputy Clerk) (Entered: 06/05/2006) | |||
| 2006-10-12 | 44 | 0 | Joint MOTION to Extend Certain Pretrial Deadlines by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Order Granting Joint Motion to Extend Certain Pretrial Deadlines)(Martin, Christopher) (Entered: 10/12/2006) | |||
| 2006-11-06 | 45 | 0 | ORDER granting 44 Joint Motion to extend certain pretrial deadlines and resetting Trial date. Signed by Judge Linnea R. Johnson on 11/6/06. (eg) Additional attachment(s) added on 11/6/2006 (eg). (Entered: 11/06/2006) | |||
| 2006-11-15 | 46 | 0 | NOTICE OF UNAVAILABILITY by Securities and Exchange Commission for dates of December 19, 2006 through January 2, 2007 (Martin, Christopher) (Entered: 11/15/2006) | |||
| 2006-12-12 | 47 | 0 | Joint MOTION to Extend Certain Pretrial Deadlines by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order to Extend Certain Pretrial Deadlines)(Martin, Christopher) (Entered: 12/12/2006) | |||
| 2006-12-14 | 48 | 0 | ORDER granting 47 Motion to Extend Certain Pretrial Deadlines. Signed by Judge Linnea R. Johnson on 12/14/06. (eg1) (Entered: 12/14/2006) | |||
| 2007-01-12 | 49 | 0 | CLERK'S NOTICE RESETTING TRIAL LOCATION to United States District Court, 701 Clematis Street, West Palm Beach, Florida, Courtroom 6, Third Floor. (eg1) (Entered: 01/12/2007) | |||
| 2007-02-12 | 50 | 0 | Joint MOTION to extend certain pretrial and trial deadlines by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Granting Joint Motion to Extend Certain Pretrial and Trial Deadlines)(Martin, Christopher) (Entered: 02/12/2007) | |||
| 2007-02-13 | 51 | 0 | ORDER granting 50 Joint Motion to extend deadlines and setting new trial date. Signed by Judge Linnea R. Johnson on 2/13/07 (eg1) (Entered: 02/13/2007) | |||
| 2007-02-21 | 52 | 0 | SCHEDULING ORDER: Bench Trial reset for 9/10/2007 09:00 AM in West Palm Beach Division before Magistrate Judge Linnea R. Johnson. Amended Pleadings due by 3/26/2007. Discovery due by 6/18/2007. Joinder of Parties due by 3/26/2007. Motions due by 7/2/2007. Pretrial Stipulation due by 8/13/2007. Signed by Judge Linnea R. Johnson on 2/21/07 (eg1) (Entered: 02/21/2007) | |||
| 2007-03-13 | 53 | 0 | MOTION to Appear Pro Hac Vice for Attorney Katherine L. Raynolds, Filing Fee $75, Receipt #722536. (cw) (Entered: 03/13/2007) | |||
| 2007-03-14 | 54 | 0 | ORDER granting 53 Motion to Appear Pro Hac Vice Name of Attorney Katherine L. Raynolds for K.W. Brown & Company and 21st Century Advisors, Inc. . Signed by Magistrate Judge Linnea R. Johnson on 3/14/07. (eg1) (Entered: 03/14/2007) | |||
| 2007-05-09 | 55 | 0 | NOTICE OF UNAVAILABILITY by Securities and Exchange Commission for dates of June 29, 2007 through July 9, 2007 (Martin, Christopher) (Entered: 05/09/2007) | |||
| 2007-05-17 | 56 | 0 | Joint MOTION to Clarify the Scope of Evidence to be Presented at Trial and Extend Certain Pre-Trial Deadlines by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Clarifying the Scope of Evidence to be Presented at Trial and Order Granting Joint Motion to Extend Certain Pretrial Deadlines)(Martin, Christopher) (Entered: 05/17/2007) | |||
| 2007-05-23 | 57 | 0 | ORDER granting 56 Motion clarifying scope of evidence to be presented at Trial and extending certain Pre-Trial deadlines.Signed by Magistrate Judge Linnea R. Johnson on 5/23/07. (eg1) (Entered: 05/23/2007) | |||
| 2007-07-18 | 58 | 0 | Defendant's MOTION for Leave to Appear Motion Appear Pro Hac Vice by Michael S. Cimilluca. Responses due by 8/1/2007 (Carlson, Curtis) (Entered: 07/18/2007) | |||
| 2007-07-19 | 59 | 0 | Notice of Instruction to Filer Regarding Pro Hac Vice Motion. Pursuant to 2B in the Administrative Procedures, a motion to make a limited appearance must be filed in the conventional manner along with the applicable filing fee. LOCAL COUNSEL IS INSTRUCTED TO 1. FILE A NOTICE TO STRIKE DE# 58 Defendant's MOTION for Leave to Appear Motion Appear Pro Hac Vice filed by Michael S. Cimilluca, AND 2. CONVENTIONALLY FILE AN ORIGINAL MOTION TO MAKE A LIMITED APPEARANCE ALONG WITH THE APPLICABLE FILING FEE. (cw) (Entered: 07/19/2007) | |||
| 2007-07-19 | 60 | 0 | MOTION to Appear Pro Hac Vice for Attorney Thomas F. Burke, Filing Fee $75, Receipt #963480. (cw) (Entered: 07/20/2007) | |||
| 2007-07-19 | 61 | 0 | NOTICE OF REPLACEMENT by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown, Wendy E. Brown, Michael S. Cimilluca re 60 MOTION for Attorney: Thomas F. Burke to Appear Pro Hac Vice Filing Fee $75, Receipt #963480 (ra) (Entered: 07/20/2007) | |||
| 2007-07-23 | 62 | 0 | MOTION to Withdraw as Attorney by Michael S. Cimilluca. Responses due by 8/6/2007 (Carlson, Curtis) (Entered: 07/23/2007) | |||
| 2007-07-25 | 63 | 0 | Joint MOTION to Extend Certain Pretrial Deadlines by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Granting Joint Motion to Extend Certain Pretrial Deadlines)(Martin, Christopher) (Entered: 07/25/2007) | |||
| 2007-07-26 | 64 | 0 | Notice of Instruction to Filer: Incorrect relief selected; originally filed as 63 MOTION for Miscellaneous Relief; in the future select Motion to Continue. (de) (Entered: 07/26/2007) | |||
| 2007-07-26 | 65 | 0 | ORDER granting 63 Joint Motion to Extend Certain Pretrial Deadlines Signed by Magistrate Judge Linnea R. Johnson on 7/26/07. (eg1) (Entered: 07/26/2007) | |||
| 2007-08-02 | 66 | 0 | Unopposed MOTION to Bring Electronic Equipment into the courtroom by Securities and Exchange Commission. Responses due by 8/16/2007 (Attachments: # 1 Text of Proposed Order Granting Plaintiff's Unopposed Motion for Permission to Bring Electronic Equipment)(Martin, Christopher) (Entered: 08/02/2007) | |||
| 2007-08-07 | 67 | 0 | ORDER granting 66 Motion to Bring Electronic Equipment into the courtroom Signed by Magistrate Judge Linnea R. Johnson on 8/7/07. (eg1) (Entered: 08/07/2007) | |||
| 2007-08-13 | 68 | 0 | ORDER granting 62 Motion to Withdraw as Attorney. Attorney Katherine L. Raynolds; Curtis David Carlson and James B. Koch terminated. Signed by Magistrate Judge Linnea R. Johnson on 8/13/07. (sa) (Entered: 08/13/2007) | |||
| 2007-08-16 | 69 | 0 | Joint MOTION to Continue (Briefly) the Deadline to File the Joint Pre-Trial Stipulation by Defendants and by Securities and Exchange Commission. Responses due by 8/30/2007 (Attachments: # 1 Text of Proposed Order)(Martin, Christopher) (Entered: 08/16/2007) | |||
| 2007-08-20 | 70 | 0 | ORDER granting 69 Joint Motion to briefly extend the deadline to file Joint Pre-Trial Stipultion. Signed by Magistrate Judge Linnea R. Johnson on 8/20/07. (sa) (Entered: 08/20/2007) | |||
| 2007-08-20 | 71 | 0 | PRETRIAL STIPULATION by Plaintiff and Defendants by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, Plaintiff's Exhibit and Witness List# 2 Exhibit 2, Plaintiff's lists of trial witnesses# 3 Exhibit 3, Defendants' Joint Exhibit and Witness List# 4 Exhibit 4, Deposition Summary of Dante Grassi# 5 Exhibit 5, Deposition Summary for Tracy Allen Valentine# 6 Exhibit 6, Deposition Summary for Kristopher Heig of TD Ameritrade# 7 Exhibit 7, Deposition Summary for Thomas Francis John Coyle# 8 Exhibit 8, Deposition Summary for Gail Smith# 9 Exhibit 9, Deposition Summary for Greg Newlin of TD Ameritrade)(Martin, Christopher) (Entered: 08/20/2007) | |||
| 2007-09-05 | 72 | 0 | Proposed Findings of Fact and Proposed Conclusions of Law by Securities and Exchange Commission. (Attachments: # 1 Exhibit Stipulated Facts)(Barry, Brian) (Entered: 09/05/2007) | |||
| 2007-09-07 | 73 | 0 | Second MOTION to Bring Electronic Equipment into the courtroom by Securities and Exchange Commission. Responses due by 9/21/2007 (Attachments: # 1 Text of Proposed Order)(Barry, Brian) (Entered: 09/07/2007) | |||
| 2007-09-10 | 74 | 0 | ORDER granting 73 Second Motion to Bring Electronic Equipment into the courtroom. Signed by Magistrate Judge Linnea R. Johnson on 9/10/07. (sa) (Entered: 09/10/2007) | |||
| 2007-09-10 | 75 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Bench Trial (1st day) held on 9/10/2007. Witness Bart Gancher, Elizabeth Flynn testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/10/2007) | |||
| 2007-09-11 | 76 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day 2 of Bench Trial held on 9/11/2007. Witness Patrick Castelli and Francine Oelbaum testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/11/2007) | |||
| 2007-09-12 | 77 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: 3rd day of Bench Trial held on 9/12/2007. Witness Jerry Desiderio and Michael Cimilluca, Jr. testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/12/2007) | |||
| 2007-09-13 | 78 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day #4 of Bench Trial held on 9/13/2007. Witness: Continuation of Michael Cimilluca, Jr. and Wendy Brown testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/13/2007) | |||
| 2007-09-14 | 79 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day#5 of Bench Trial held on 9/14/2007. Witness: Continuation of Wendy Brown, Ken Brown and Kenneth R. Morency testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/14/2007) | |||
| 2007-09-17 | 80 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day#6 of Bench Trial held on 9/17/2007. Witness: Continuation of Ken Brown testimony. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/17/2007) | |||
| 2007-09-18 | 81 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day #7 of Bench Trial held on 9/18/2007. Witness: Continuation of Kenneth Brown and Kenneth Collier testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/18/2007) | |||
| 2007-09-19 | 82 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day #8 of Bench Trial held on 9/19/2007. Witness: Continuation of Kenneth Collier-SEC Expert, Robert Lau-SEC Expert and Burton Meyer testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/19/2007) | |||
| 2007-09-20 | 83 | 0 | Minute Entry for proceedings held before Judge Linnea R. Johnson: Day #9 of Bench Trial held and completed on 9/20/2007. Witness: Continuation of Burton Meyer testified. Court Reporter: Stephen Franklin- phone number 561-514-3768 (sa) (Entered: 09/20/2007) | |||
| 2007-09-24 | 84 | 0 | Exhibit and Witness List by Securities and Exchange Commission, K.W. Brown & Company. (sa) (Entered: 09/25/2007) | |||
| 2007-10-17 | 85 | 0 | Joint MOTION Submitting Into Evidence The Summary of Deposition Testimony, Deposition Transcript and Exhibits thereto, Proposed Deadlines to File Findings of Fact and Conclusions of Law, and Leave to Exceed the Page Limit by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Granting Joint Motion Submitting Into Evidence the Summary of Deposition Testimony, Deposition Transcript and Exhibits Thereto, Proposed Deadlines to File Findings of Fact and Conclusions of Law, and Leave to Exceed the Page Limitations# 2 Exhibit 715# 3 Exhibit 716# 4 Exhibit 717, Part 1# 5 Exhibit 717, Part 2# 6 Exhibit 717, Part 3# 7 Exhibit 717, Part 4# 8 Exhibit 717, Part 5# 9 Exhibit 717, Part 6# 10 Exhibit 718, Part 1# 11 Exhibit 718, Part 2# 12 Exhibit 719, Part 1# 13 Exhibit 719, Part 2# 14 Exhibit 719, Part 3# 15 Exhibit 719, Part 4# 16 Exhibit 719, Part 5# 17 Exhibit 720# 18 Exhibit 721# 19 Exhibit 722# 20 Exhibit 723# 21 Exhibit 724# 22 Exhibit 725# 23 Exhibit 726# 24 Exhibit 727# 25 Exhibit Defendants Exhibit 30)(Martin, Christopher) (Entered: 10/17/2007) | |||
| 2007-10-23 | 86 | 0 | ORDER granting 85 Joint Motion submitting into Evidence the Summary of Deposition testimony, Deposition Transcript and Exhibits thereto, Proposed deadlines to file findings of Facts and Conclusions of Law, and leave to exceed the page limitations proscribed by S.D. FLA. Local Rule 7.1C(2). Signed by Magistrate Judge Linnea R. Johnson on 10/23/07. (sa) (Entered: 10/23/2007) | |||
| 2007-10-25 | 87 | 0 | Unopposed MOTION to Continue - Two-Day Extension of Time to File Its Post-Trial Pleadings by Securities and Exchange Commission. Responses due by 11/8/2007 (Attachments: # 1 Text of Proposed Order Granting Plaintiff's Unopposed Motion for a Two-Day Extension of Time to File Its Post-Trial Pleadings)(Martin, Christopher) (Entered: 10/25/2007) | |||
| 2007-10-26 | 88 | 0 | TRANSCRIPT of NonJury Trial held on 9/10/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 1, 1-253 pages.. (nc) (Entered: 10/30/2007) | 2010-10-01 19:18:45 | ecb453dddd3738b2c932a618434b5920f7663178 | |
| 2007-10-26 | 89 | 0 | TRANSCRIPT of NonJury Trial held on 9/11/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 2; 254-416 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 90 | 0 | TRANSCRIPT of NonJury Trial held on 9/12/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 3; 417-653 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 91 | 0 | TRANSCRIPT of NonJury Trial held on 9/13/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 4; 654-873 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 92 | 0 | TRANSCRIPT of NonJury Trial held on 9/14/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 5; 874-1044 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 93 | 0 | TRANSCRIPT of NonJury Trial held on 9/17/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 6; 1045-1278 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 94 | 0 | TRANSCRIPT of NonJury Trial held on 9/18/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 7; 1279-1475 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 95 | 0 | TRANSCRIPT of NonJury Trial held on 9/19/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 8; 1476-1712 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-10-26 | 96 | 0 | TRANSCRIPT of NonJury Trial held on 9/20/07 before Judge Linnea R. Johnson. Court Reporter: Stephen Franklin- phone number 561-514-3768 Volume 9; 1726-1839 pages.. (nc) (Entered: 10/30/2007) | |||
| 2007-11-01 | 97 | 0 | Unopposed MOTION to Continue /Extension of Time To File Its Post-Trial Pleadings by Securities and Exchange Commission. Responses due by 11/16/2007 (Attachments: # 1 Text of Proposed Order Granting Plaintiff's Unopposed Motion for an Extension of Time to File Its Post-Trial Pleadings)(Martin, Christopher) (Entered: 11/01/2007) | |||
| 2007-11-01 | 98 | 0 | ORDER granting 87 Unopposed Motion for a Two-Day Extension to Time to File it's Post-Trial Pleadings. The SEC has until 11/1/07 to file its Conclusions of Law and Proposed Findings of Fact. Signed by Magistrate Judge Linnea R. Johnson on 11/1/07. (sa) (Entered: 11/01/2007) | |||
| 2007-11-01 | 99 | 0 | ORDER granting 97 Unopposed Motion for an Extension of Time to File Post-Trial Pleadings. The SEC has until 11/9/07 to file its Proposed Findings of Fact and Conclusions of Law. Signed by Magistrate Judge Linnea R. Johnson on 11/1/07. (sa) (Entered: 11/01/2007) | |||
| 2007-11-09 | 100 | 0 | Proposed Findings of Fact - Post Trial by Securities and Exchange Commission. (Martin, Christopher) (Entered: 11/09/2007) | |||
| 2007-11-09 | 101 | 0 | TRIAL BRIEF - Post Trial Proposed Conclusions of Law by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1 and 2)(Martin, Christopher) (Entered: 11/09/2007) | |||
| 2007-12-12 | 102 | 0 | Unopposed MOTION for Extension of Time to File its Reply to Defendants' Proposed Findings of Fact and Conclusions of Law by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Granting Plaintiff's Unopposed Motion for a One-Week Extension of Time to File its Reply to Defendants' Proposed Findings of Fact and Conclusions of Law)(Martin, Christopher) (Entered: 12/12/2007) | |||
| 2007-12-12 | 103 | 0 | NOTICE OF UNAVAILABILITY by Securities and Exchange Commission for dates of December 24, 2007 through January 8, 2008 (Martin, Christopher) (Entered: 12/12/2007) | |||
| 2007-12-19 | 104 | 0 | FINDINGS OF FACT AND CONCLUSIONS OF LAW.Signed by Magistrate Judge Linnea R. Johnson on 12/19/07.(sa) (Entered: 12/19/2007) | |||
| 2007-12-19 | 105 | 0 | FINAL JUDGMENT FOR PLAINTIFF AND ORDER CLOSING CASE.Signed by Magistrate Judge Linnea R. Johnson on 12/19/07.(sa) (Entered: 12/19/2007) | 2013-03-25 23:32:09 | 6abdf84e764796259b55df4f7f8f3aa06142f1ae | |
| 2007-12-21 | 106 | 0 | MOTION to Alter Judgment by Securities and Exchange Commission. Responses due by 1/8/2008 (Attachments: # 1 Exhibit Exhibit A# 2 Exhibit Exhibit B# 3 Exhibit Exhibit C# 4 Exhibit Exhibit D# 5 Text of Proposed Order Proposed Order Supplementing Final Judgment)(Barry, Brian) (Entered: 12/21/2007) | |||
| 2008-01-02 | 107 | 0 | NOTICE by K.W. Brown & Company of Appeal (Lewittes, Ronald) (Entered: 01/02/2008) | |||
| 2008-01-02 | 108 | 0 | NOTICE OF APPEAL by K.W. Brown Investments, Inc. (Lewittes, Ronald) (Entered: 01/02/2008) | |||
| 2008-01-02 | 109 | 0 | NOTICE OF APPEAL by Michael S. Cimilluca (Lewittes, Ronald) (Entered: 01/02/2008) | |||
| 2008-01-03 | 110 | 0 | USCA Appeal Fees received $ 455.00 receipt number 972476 re 109 Notice of Appeal filed by Michael S. Cimilluca, (hh) (Entered: 01/03/2008) | |||
| 2008-01-04 | 111 | 0 | ORDER granting 106 Motion to Alter Judgment.Signed by Magistrate Judge Linnea R. Johnson on 1/4/08. (sa) (Entered: 01/04/2008) | |||
| 2008-01-07 | 112 | 0 | USCA Appeal Fees received $ 455.00 receipt number 972474 re 107 Notice of Appeal, 108 Notice of Appeal filed by K.W. Brown Investments, Inc., (hh) (Entered: 01/07/2008) | |||
| 2008-01-17 | 113 | 0 | TRANSCRIPT INFORMATION FORM by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown, Wendy E. Brown re 108 Notice of Appeal. No Transcript Requested. (hh) (Entered: 01/18/2008) | |||
| 2008-01-22 | 114 | 0 | ACKNOWLEDGEMENT OF RECEIPT FROM USCA re 109 Notice of Appeal date received by USCA 1/11/08 USCA number 08-10200-H (hh) (Entered: 01/22/2008) | |||
| 2008-01-22 | 115 | 0 | ACKNOWLEDGEMENT OF RECEIPT FROM USCA re 108 Notice of Appeal date received by USCA 1/11/08 USCA number 08-10200-H (hh) (Entered: 01/22/2008) | |||
| 2008-01-22 | 116 | 0 | ACKNOWLEDGEMENT OF RECEIPT FROM USCA re 107 appeal 108 appeal date received by USCA 1/11/08 USCA number 08-10200-H (hh) (Entered: 01/22/2008) | |||
| 2008-02-01 | 117 | 0 | ORDER of Dismissal from USCA (cerified copy)pursuant to the appellant's motion for voluntary dismissal, dismissed on January 29, 2008 as to 109 Notice of Appeal filed by Michael S. Cimilluca, USCA #: 08-10200-H (hh) (Entered: 02/06/2008) | |||
| 2008-02-15 | 118 | 0 | NOTICE OF APPEAL by Securities and Exchange Commission (Martin, Christopher) (Entered: 02/15/2008) | |||
| 2008-02-26 | 119 | 0 | ACKNOWLEDGEMENT OF RECEIPT FROM USCA re 118 Notice of Appeal date received by USCA 2/22/08 USCA number 08-10200-HH (hh) (Entered: 02/28/2008) | |||
| 2008-02-29 | 120 | 0 | TRANSCRIPT INFORMATION FORM by Securities and Exchange Commission re 118 Notice of Appeal. No Transcript Requested. (hh) (Entered: 03/03/2008) | |||
| 2008-03-03 | 121 | 0 | NOTICE of filing into the Court registry funds totaling $5,890,512 and $35,000 by Securities and Exchange Commission (tb) (Entered: 03/04/2008) | |||
| 2008-03-13 | 122 | 0 | Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry by Securities and Exchange Commission. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Exhibit D# 5 Text of Proposed Order Direct Turnover of Funds From Southwest Securities, Inc.# 6 Text of Proposed Order Directing Turnover of Funds from RBC Centura Banks, Inc.)(Martin, Christopher) (Entered: 03/13/2008) | |||
| 2008-03-13 | 123 | 0 | Plaintiff's MOTION for clarification on how the Court will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants by Securities and Exchange Commission. Responses due by 3/27/2008 (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Exhibit D# 5 Text of Proposed Order on Motion for Clarification of the Final and Supplemental Judgments Against Defendants)(Martin, Christopher) (Entered: 03/13/2008) | |||
| 2008-03-18 | 124 | 0 | COURT REPORTER ACKNOWLEDGEMENT re 118 Notice of Appeal Court Reporter: Stephen Franklin- phone number 561-514-3768 Transcripts were previously filed on 10/26/07. (hh) (Entered: 03/18/2008) | |||
| 2008-03-21 | 125 | 0 | NOTICE of Attorney Appearance by Michael Schaenen Lamont on behalf of K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown (Lamont, Michael) (Entered: 03/21/2008) | |||
| 2008-03-24 | 126 | 0 | MOTION for Limited Appearance, Consent to Designation and Request to Electronically Receive Notices of Electronic Filings for Burton W. Wiand, Filing Fee $75, Receipt #723951. (cw) (Entered: 03/25/2008) | |||
| 2008-03-28 | 127 | 0 | MEMORANDUM in Opposition re 123 Plaintiff's MOTION for clarification on how the Court will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants, 122 Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry filed by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown. (Attachments: # 1 Affidavit Declaration of Kenneth Brown# 2 Exhibit A1 # 3 Exhibit A2 # 4 Exhibit A3 # 5 Exhibit A4 # 6 Exhibit A5 # 7 Exhibit A6 # 8 Exhibit A7)(Lamont, Michael) Modified on 3/31/2008 (ls). (Entered: 03/28/2008) | |||
| 2008-03-31 | 128 | 0 | RESPONSE to Motion re 122 Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry, re 123 MOTION for Clarification on how the Court will apply payments already made in Partial Satisfaction of the Final and Supplemental Judgments against defendants filed by Wendy E. Brown. Replies due by 4/7/2008. (Weinberg, Morris) Modified on 4/1/2008 (ls). [Added relationship to DE #123] (Entered: 03/31/2008) | |||
| 2008-03-31 | 129 | 0 | ORDER granting 126 Motion for Limited Appearance of Burton W. Wiand, Consent to Designation and Request to Electronically Receive Notices of Electronic Filings. Signed by Magistrate Judge Linnea R. Johnson on 3/31/08. (sa) (Entered: 04/01/2008) | |||
| 2008-04-07 | 130 | 0 | REPLY to Response to Motion re 123 Plaintiff's MOTION for clarification on how the Court will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants, 122 Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1# 2 Exhibit 2# 3 Exhibit 3# 4 Exhibit 4# 5 Exhibit 5# 6 Exhibit 6)(Martin, Christopher) (Entered: 04/07/2008) | |||
| 2008-04-08 | 131 | 0 | NOTICE by RBC Centura Bank Non-Party Notice to Court (Attachments: # 1 Exhibit A--Letter from Christopher E. Martin, Esq.# 2 Exhibit B--Letter from Sharon Konopka)(Carver, Christopher) (Entered: 04/08/2008) | |||
| 2008-04-17 | 132 | 0 | NOTICE by Securities and Exchange Commission of Filing Newly Discovered Evidence Supporting the SEC's Motion for Order Directing Turnover of all Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry and Motion for Clarification on How the Court Will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants (Attachments: # 1 Exhibit A)(Martin, Christopher) (Entered: 04/17/2008) | |||
| 2008-04-21 | 133 | 0 | RESPONSE in Opposition re 123 Plaintiff's MOTION for clarification on how the Court will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants, 122 Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry and RESPONSE to 132 Plaintiff's NOTICE of Filing Newly Discovered Evidence Supporting Same filed by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown. (Attachments: # 1 Exhibit A - Emails# 2 Exhibit B - March 4, 2008 correspondence to SEC)(Lamont, Michael) (Entered: 04/21/2008) | |||
| 2008-04-22 | 134 | 0 | Clerks Notice - Due to system failure on 4/21/08, the Clerk of Court is regenerating NEF for docket entry # 133 . See image/s attached to this notice. (Attachments: # 1 # 2)(dm) (Entered: 04/22/2008) | |||
| 2008-04-23 | 135 | 0 | NOTICE of Hearing on Motion 122 Plaintiff's MOTION for Order Directing Turnover of Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry, 123 Plaintiff's MOTION for clarification on how the Court will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants: Evidentiary Hearing set for 4/30/2008 at 11:00 AM in West Palm Beach Division before Magistrate Judge Linnea R. Johnson. (sa) (Entered: 04/23/2008) | |||
| 2008-04-29 | 136 | 0 | Joint MOTION for Settlement /Resolve SEC's Motion for Order Directing Turnover of all Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry and Motion for Clarification on How the Court Will Apply Payments Already Made in Partial Satisfaction of the Final and Supplemental Judgments Against Defendants by Securities and Exchange Commission. Responses due by 5/13/2008 (Attachments: # 1 Text of Proposed Order)(Martin, Christopher) (Entered: 04/29/2008) | |||
| 2008-04-30 | 137 | 0 | NOTICE of Instruction to Filer: re 136 Joint MOTION for Settlement /Resolve SEC's Motion for Order Directing Turnover of all Funds Held at Southwest Securities, Inc. and RBC Centura Banks, Inc. to the Court's Registry and Motion for Clarification on How the Court Will Apply Paym filed by Securities and Exchange Commission, Error: Motion with Multiple Reliefs Filed as One Relief; Instruction to Filer=In the future please select all applicable Reliefs; (ls) (Entered: 04/30/2008) | |||
| 2008-04-30 | 138 | 0 | ORDER granting 136 Joint Motion to resolve SEC's Motion for order directing turnover of all funds held at Southwest Securities, Inc, and RBC Centura Banks, Inc, to the Court's Registry and Motion for clarification on how the Court will apply payments already made in partial satisfaction of the Final and Supplemental Judgments against Defendants. Signed by Magistrate Judge Linnea R. Johnson on 4/30/08. (sa) (Entered: 05/01/2008) | |||
| 2008-05-05 | 139 | 0 | Filing fee: For Registry Funds $ 30,000.00, receipt number 232686 (ls) (Entered: 05/06/2008) | |||
| 2008-05-05 | 140 | 0 | NOTICE of Filing by Securities and Exchange Commission re 139 Filing Fee Received (ls) (Entered: 05/06/2008) | |||
| 2008-05-30 | 141 | 0 | ORDER denying as moot 122 Motion for Order Directing Turnover of Funds; denying as moot 123 Motion for Clarification. Signed by Magistrate Judge Linnea R. Johnson on 5/30/08. (sa) (Entered: 05/30/2008) | |||
| 2008-06-09 | 142 | 0 | NOTICE of Filing by Securities and Exchange Commission re 138 Order on Motion for Settlement, (ls) (Entered: 06/10/2008) | |||
| 2008-06-09 | 143 | 0 | Filing fee: For Filing Fees $ 388,183.96, receipt numbers 232729-232732 (ls) (Entered: 06/10/2008) | |||
| 2008-08-20 | 144 | 0 | ORDER of Dismissal from USCA (certified copy) pursuant to the parties' joint motion to dismiss this appeal and cross-appeal with prejudice, with the parties bearing their own costs, is GRANTED as to 118 appeal, 108 appeal USCA #: 08-10200-HH; Date Issued: 8/14/08.(hh) (Entered: 08/20/2008) | |||
| 2008-12-26 | 145 | 0 | Notice of Undeliverable Mail re 129 Order on Motion for Limited Appearance, 141 Order on Motion for Miscellaneous Relief, Order on Motion for Clarification, 139 Filing Fee Received US Mail returned for: return to sender not deliverable as addressed unable to forward for: James B. Koch (rb) (Entered: 12/26/2008) | |||
| 2009-01-15 | 146 | 0 | Plaintiff's MOTION to Appoint Damasco & Associates as Tax Administrator by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Martin, Christopher) (Entered: 01/15/2009) | |||
| 2009-01-15 | 147 | 0 | Plaintiff's MOTION to Establish Fair Fund and Appoint A Distribution Agent by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Text of Proposed Order)(Martin, Christopher) (Entered: 01/15/2009) | |||
| 2009-01-20 | 148 | 0 | NOTICE by Securities and Exchange Commission of No Opposition to Motion to Appoint Damasco & Associates as Tax Administrator and Motion to Establish Fair Fund and Appoint a Distribution Agent (DE 146 and DE 147) (Martin, Christopher) (Entered: 01/20/2009) | |||
| 2009-01-22 | 149 | 0 | ORDER Granting 146 Motion to Appoint Tax Administrator. Signed by Magistrate Judge Linnea R. Johnson on 1/22/2009. (sa) (Entered: 01/22/2009) | |||
| 2009-01-22 | 150 | 0 | RESPONSE to Motion re 146 Plaintiff's MOTION to Appoint Damasco & Associates as Tax Administrator, 147 Plaintiff's MOTION to Establish Fair Fund and Appoint A Distribution Agent filed by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown. Replies due by 2/2/2009. (Lamont, Michael) (Entered: 01/22/2009) | |||
| 2009-01-29 | 151 | 0 | ORDER Granting 147 Motion To Establish a Fair Fund and Appoint a Distribution Agent. Kevin Love of the firm of Criden and Love is appointed as the Distribution Agent for the Fair Fund. Signed by Magistrate Judge Linnea R. Johnson on 1/29/2008. (sa) (Entered: 01/29/2009) | |||
| 2009-02-25 | 152 | 0 | Notice of Undeliverable Mail re 151 Order on Motion for Miscellaneous Relief US Mail returned for: return to sender not deliverable as addressed unable to forward for: James B. Koch (rb) (Entered: 02/25/2009) | |||
| 2009-02-26 | 153 | 0 | Unopposed MOTION Transfer Funds and Authorize Retention of Professionals by Kevin B. Love. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Love, Kevin) (Entered: 02/26/2009) | |||
| 2009-03-03 | 154 | 0 | Notice of Undeliverable Mail re 149 Order on Motion for Miscellaneous Relief. US Mail returned for: Return to sender. Not deliverable as addressed. Unable to forward, for James B. Koch. (jmd) (Entered: 03/03/2009) | |||
| 2009-03-05 | 155 | 0 | ORDER Granting 153 Distribution Agent's Unopposed Motion to Transfer Funds and for Court Approval to retain Expert and Claims Administrator. Signed by Magistrate Judge Linnea R. Johnson on 3/5/2009. (sa) (Entered: 03/05/2009) | |||
| 2009-04-07 | 156 | 0 | Unopposed MOTION to Withdraw as Attorney for Defendants by Burton W. Wiand/Michael S. Lamont. by K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth W. Brown. Responses due by 4/24/2009 (Attachments: # 1 Text of Proposed Order Order Granting Motion to Withdraw as Counsel)(Lamont, Michael) (Entered: 04/07/2009) | |||
| 2009-04-14 | 157 | 0 | Unopposed MOTION Order Authorizing Payment of Fees and Costs by Kevin B. Love. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Love, Kevin) (Entered: 04/14/2009) | |||
| 2009-04-16 | 158 | 0 | ORDER Granting 156 Motion to Withdraw as Counsel. Attorney Michael Schaenen Lamont and Burton Webb Wiand terminated. Signed by Magistrate Judge Linnea R. Johnson on 4/16/2009. (sa) (Entered: 04/16/2009) | |||
| 2009-04-16 | 159 | 0 | ORDER Granting 157 Distribution Agent's Unopposed Motion For Order Authorizing Payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 4/16/2009. (sa) (Entered: 04/16/2009) | |||
| 2009-07-21 | 160 | 0 | Unopposed MOTION for Attorney Fees by Kevin B. Love. Responses due by 8/7/2009 (Attachments: # 1 Exhibit, # 2 Exhibit B, # 3 Exhibit)(Love, Kevin) (Entered: 07/21/2009) | |||
| 2009-08-04 | 161 | 0 | ORDER Granting 160 Unopposed Motion for Order Authorizing Payments of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 8/4/2009. (sa) (Entered: 08/04/2009) | |||
| 2009-08-26 | 162 | 0 | Clerk's Notice of Undeliverable Mail re 161 Order on Motion for Attorney Fees. US Mail returned for: JAMES B. KOCH Return to Sender, Unable to Forward,. The Court has not located an updated address for this party. After two unsuccessful noticing attempts, notices from the Court will no longer be sent to this party in this case until a correct address is provided. (lbc) (Entered: 08/26/2009) | |||
| 2009-10-22 | 163 | 0 | Unopposed MOTION for Attorney Fees by Kevin B. Love. Responses due by 11/9/2009 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Love, Kevin) (Entered: 10/22/2009) | |||
| 2009-11-05 | 164 | 0 | ORDER granting 163 Motion for Attorney Fees. Signed by Magistrate Judge Linnea R. Johnson on 11/5/2009. (tmn) (Entered: 11/05/2009) | |||
| 2010-01-19 | 165 | 0 | Unopposed MOTION for Attorney Fees by Kevin B. Love. Responses due by 2/5/2010 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Love, Kevin) (Entered: 01/19/2010) | |||
| 2010-01-20 | 166 | 0 | MOTION To Approve Distribution Plan by Kevin B. Love. (Attachments: # 1 Exhibit A (Proposed Order), # 2 Exhibit A1 (Direct Notice), # 3 Exhibit A2 (Summary Notice), # 4 Exhibit A3 (Claim Form))(Love, Kevin) (Entered: 01/20/2010) | |||
| 2010-01-28 | 167 | 0 | ORDER Granting 165 Unopposed Motion for Attorney Fees. Signed by Magistrate Judge Linnea R. Johnson on 1/28/2010. (sa) (Entered: 01/28/2010) | |||
| 2010-02-11 | 168 | 0 | NOTICE of Attorney Appearance by Russell Lee Forkey on behalf of Kenneth W. Brown, Wendy Brown (Forkey, Russell) Modified on 2/16/2010 (ls). [Filers modified by Clerk] (Entered: 02/11/2010) | |||
| 2010-02-19 | 169 | 0 | Clerk's Notice of Undeliverable Mail re 167 Order on Motion for Attorney Fees. US Mail returned for: JAMES B. KOCH Return to sender, not deliverable as addressed . The Court has not located an updated address for this party. After two unsuccessful noticing attempts, notices from the Court will no longer be sent to this party in this case until a correct address is provided. (lbc) (Entered: 02/19/2010) | |||
| 2010-02-22 | 170 | 0 | NOTICE by Kevin B. Love re 166 MOTION To Approve Distribution Plan (Attachments: # 1 Exhibit A (Proposed Dist Plan))(Love, Kevin) (Entered: 02/22/2010) | |||
| 2010-03-03 | 171 | 0 | ORDER Granting 166 Distribution Agent's Motion To Approve Distribution Plan. Signed by Magistrate Judge Linnea R. Johnson on 3/3/2010. (sa) (Entered: 03/03/2010) | |||
| 2010-04-26 | 172 | 0 | Unopposed MOTION for Attorney Fees by Kevin B. Love. Responses due by 5/13/2010 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E (proposed order))(Love, Kevin) (Entered: 04/26/2010) | 2010-10-01 19:15:52 | 12f6350b1de54da7994a73483068b63eb0ca76ea | |
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| 2010-05-12 | 173 | 0 | ORDER Granting 172 Distribution Agent's Unopposed Motion for Order Authorizing Payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 5/12/2010. (sa) (Entered: 05/12/2010) | |||
| 2010-09-08 | 174 | 0 | Unopposed MOTION To Pay Vendors by Kevin B. Love. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Love, Kevin) (Entered: 09/08/2010) | |||
| 2010-09-21 | 175 | 0 | ORDER Granting 174 Unopposed Motion For Order Authorizing Payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 9/21/2010. (sa) (Entered: 09/21/2010) | |||
| 2010-10-20 | 176 | 0 | Unopposed MOTION for Order Authorizing Payment of Fees and Costs by Kevin B. Love. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Love, Kevin) Modified Text on 10/21/2010 (ls). (Entered: 10/20/2010) | |||
| 2010-10-21 | 177 | 0 | Clerks Notice to Filer re 176 Unopposed MOTION To Reimburse Vendors. Docket Text Does Not Match Document; ERROR - The Filer failed to enter a title in the docket text that matches the title of the document. The correction was made by the Clerk. It is not necessary to refile the document. (ls) (Entered: 10/21/2010) | |||
| 2010-10-29 | 178 | 0 | ORDER Granting 176 Unopposed Motion For Order Authorizing payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 10/29/2010. (sa) (Entered: 10/29/2010) | |||
| 2010-12-14 | 179 | 0 | Unopposed MOTION Transfer of Funds by Kevin B. Love. (Attachments: # 1 Exhibit A)(Love, Kevin) (Entered: 12/14/2010) | |||
| 2010-12-21 | 180 | 0 | ORDER Granting 179 Unopposed Motion to Transfer Funds to Non-Interest Bearing Trust Account. Signed by Magistrate Judge Linnea R. Johnson on 12/20/2010. (sa) (Entered: 12/21/2010) | |||
| 2011-01-14 | 181 | 0 | Unopposed MOTION for Disbursement of Funds by Kevin B. Love. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Love, Kevin) (Entered: 01/14/2011) | |||
| 2011-02-02 | 182 | 0 | DISTRIBUTION ORDER granting 181 Motion for Disbursement of Funds. Signed by Magistrate Judge Linnea R. Johnson on 2/2/2011. (sa) (Entered: 02/02/2011) | |||
| 2011-04-12 | 183 | 0 | Noitce of filing Receipt for funds deposited into the registry of the court received on 4/12/2011 in the amount of $ 177.59, receipt number D FLS 9 05 CV 80367 (dj) (Entered: 04/13/2011) | |||
| 2011-04-12 | 184 | 0 | Notice of Filing Receipt of funds deposited into the registry of the court received on 4/12/2011 in the amount of $ 552.18, receipt number D FLS 9 05CV80367 (dj) (Entered: 04/13/2011) | |||
| 2011-06-02 | 185 | 0 | Unopposed MOTION for Attorney Fees by Kevin B. Love. Responses due by 6/20/2011 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D (proposed order))(Love, Kevin) (Entered: 06/02/2011) | |||
| 2011-06-10 | 186 | 0 | ORDER Granting 185 Unopposed Motion for Order Authorizing Payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 6/10/2011. (sa) (Entered: 06/10/2011) | |||
| 2011-06-21 | 187 | 0 | NOTICE Of Filing Receipt of Funds Deposited into the Registry of the Court by Securities and Exchange Commission (abe) (Entered: 06/22/2011) | |||
| 2011-10-11 | 188 | 0 | Unopposed MOTION for Attorney Fees and closure of claim process by Kevin B. Love. Responses due by 10/28/2011 (Attachments: # 1 Exhibit, # 2 Text of Proposed Order)(Love, Kevin) (Entered: 10/11/2011) | |||
| 2011-10-12 | 189 | 0 | ORDER Granting 188 Motion for Order Authorizing Final Payment of Fees and Expenses. Signed by Magistrate Judge Linnea R. Johnson on 10/12/2011. (sa) (Entered: 10/12/2011) | |||
| 2011-11-01 | 190 | 0 | NOTICE of Filing Receipt of Funds Deposited into the Registry of the Court Funds in the amount of $ 1,158.00 (jc) (Entered: 11/01/2011) | |||
| 2011-12-20 | 191 | 0 | Plaintiff's MOTION to Have Any Future Payments Made to the U.S. Treasury by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Martin, Christopher) (Entered: 12/20/2011) | |||
| 2011-12-21 | 192 | 0 | ORDER Granting 191 Motion for any future payments to be paid directly to the U.S. Treasury. Signed by Magistrate Judge Linnea R. Johnson on 12/21/2011. (sa) (Entered: 12/21/2011) |