| Court: | nysd |
| Docket #: | 1:11-cv-08201 |
| Case Name: | Securities and Exchange Commission v. Gilliams et al |
| PACER case #: | 387602 |
| Date filed: | 2011-11-14 |
| Date terminated: | 2014-09-16 |
| Assigned to: | Judge Deborah A. Batts |
| Case Cause: | 15:78m(a) Securities Exchange Act |
| Nature of Suit: | 850 Securities/Commodities |
| Jury Demand: | None |
| Jurisdiction: | Federal Question |
| Represented Party | Attorney & Contact Info |
| Securities and Exchange Commission Plaintiff |
Daniel M. Hawke Elaine C. Greenberg G. Jeffrey Boujoukos Mary P. Hansen Scott A. Thompson |
| Tyrone L. Gilliams, Jr. Defendant TERMINATED: 09/16/2014 |
|
| TL Gilliams, LLC Defendant TERMINATED: 09/16/2014 |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2011-11-14 | 1 | 0 | COMPLAINT against Tyrone L. Gilliams, Jr, TL Gilliams, LLC. Document filed by Securities and Exchange Commission.(mro) (Entered: 11/16/2011) | |||
| 2011-11-14 | 2 | 0 | STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 11/16/2011) | |||
| 2011-11-21 | 3 | 0 | NOTICE OF CASE ASSIGNMENT to Judge Deborah A. Batts. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 11/21/2011) | |||
| 2011-12-08 | 4 | 0 | MOTION for Scott A.Thompson to Appear Pro Hac Vice. Document filed by Securities and Exchange Commission.(bwa) (Entered: 12/09/2011) | |||
| 2011-12-14 | 5 | 0 | ORDER FOR ADMISSION PRO HAC VICE granting 4 Motion for Scott A Thompson to Appear Pro Hac Vice for plaintiff. (Signed by Judge Deborah A. Batts on 12/14/2011) (cd) (Entered: 12/14/2011) | |||
| 2012-01-23 | 6 | 0 | WAIVER OF SERVICE RETURNED EXECUTED. TL Gilliams, LLC waiver sent on 12/10/2011, answer due 2/8/2012. Document filed by Securities and Exchange Commission. (Thompson, Scott) (Entered: 01/23/2012) | |||
| 2012-01-23 | 7 | 0 | WAIVER OF SERVICE RETURNED EXECUTED. Tyrone L. Gilliams, Jr waiver sent on 12/10/2011, answer due 2/8/2012. Document filed by Securities and Exchange Commission. (Thompson, Scott) (Entered: 01/23/2012) | |||
| 2012-02-17 | 8 | 0 | CLERK'S CERTIFICATE OF DEFAULT as to Tyrone L. Gilliams, Jr., and TL Gilliams, LLC. (ml) (Entered: 02/21/2012) | |||
| 2012-02-28 | 9 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - REQUEST TO ENTER DEFAULT against Tyrone L. Gilliams, Jr. and TL Gilliams, LLC. Document filed by Securities and Exchange Commission. (Attachments: # 1 Attachment A, # 2 Attachment B)(Thompson, Scott) Modified on 2/29/2012 (ka). (Entered: 02/28/2012) | |||
| 2012-02-29 | 10 | 0 | REQUEST TO ENTER DEFAULT against Tyrone L. Gilliams, Jr. and TL Gilliams, LLC. Document filed by Securities and Exchange Commission. (Attachments: # 1 Attachment A)(Thompson, Scott) (Entered: 02/29/2012) | |||
| 2012-02-29 | 11 | 0 | DECLARATION of Scott A. Thompson in Support re: 10 Request to Enter Default. Document filed by Securities and Exchange Commission. (Thompson, Scott) (Entered: 02/29/2012) | |||
| 2013-03-15 | 12 | 0 | MOTION to Withdraw Appearance. Document filed by Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Hansen, Mary) (Entered: 03/15/2013) | |||
| 2013-10-30 | 13 | 0 | ORDER granting 12 Motion to Withdraw. On the motion of plaintiff, Securities and Exchange Commission, for good cause shown, IT IS ORDERED that the motion is granted and Mary P. Hansen is permitted to withdraw her appearance in this action.(Signed by Judge Deborah A. Batts on 10/30/2013) (ama) (Entered: 10/30/2013) | |||
| 2014-01-31 | 14 | 0 | MOTION for Default Judgment as to Defendants Tyrone L. Gilliams, Jr. and TL Gilliams, LLC. Document filed by Securities and Exchange Commission.(Thompson, Scott) (Entered: 01/31/2014) | |||
| 2014-01-31 | 15 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: 14 MOTION for Default Judgment as to Defendants Tyrone L. Gilliams, Jr. and TL Gilliams, LLC.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A - Declaration of Scott A. Thompson, # 2 Exhibit B - Emails, # 3 Exhibit C - Letter, # 4 Exhibit D - Email, # 5 Exhibit E - Letter, # 6 Exhibit F - Email, # 7 Exhibit G - Indictment, # 8 Exhibit H - Superseding Indictment, # 9 Exhibit I - Judgment)(Thompson, Scott) Modified on 1/31/2014 (db). (Entered: 01/31/2014) | |||
| 2014-01-31 | 16 | 0 | CERTIFICATE OF SERVICE of Motion and Memorandum for Default Judgment Against Defendants Tyrone L. Gilliams, Jr. and TL Gilliams LLC served on Todd Henry, Esq., Anthony L. Ricco, Esq., and Warren R. Hamilton, Esq. on 1/31/2014. Service was made by Mail. Document filed by Securities and Exchange Commission. (Thompson, Scott) (Entered: 01/31/2014) | |||
| 2014-01-31 | 17 | 0 | DECLARATION of Scott A. Thompson in Support re: 14 MOTION for Default Judgment as to Defendants Tyrone L. Gilliams, Jr. and TL Gilliams, LLC.. Document filed by Securities and Exchange Commission. (Thompson, Scott) (Entered: 01/31/2014) | |||
| 2014-01-31 | 18 | 0 | MEMORANDUM OF LAW in Support re: 14 MOTION for Default Judgment as to Defendants Tyrone L. Gilliams, Jr. and TL Gilliams, LLC.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A - Emails, # 2 Exhibit B - Letter, # 3 Exhibit C - Email, # 4 Exhibit D - Letter, # 5 Exhibit E - Email, # 6 Exhibit F - Indictment, # 7 Exhibit G - Superseding Indictment, # 8 Exhibit H - Judgment)(Thompson, Scott) (Entered: 01/31/2014) | |||
| 2014-09-16 | 19 | 0 | FINAL JUDGMENT AS TO DEFENDANT TYRONE L. GILLIAMS, JR.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the Clerk of Court shall enter Final Judgment in favor of the Commission and against Defendant. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for violations of Section 17(a) of the Securities Act [15 U.S.C. § 77q(a)]; Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.P.R. § 240.10b-5]. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that that Defendant is liable for disgorgement of $5,000,000, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $543,233, for a total of $5,543,233, for which Defendant is jointly and severally liable with TLG. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $10,000.00 pursuant to Section 20(d) of the Securities Act [15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)], and as further set forth herein. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Deborah A. Batts on 9/16/2014) (kgo) (Entered: 09/16/2014) | |||
| 2014-09-16 | 20 | 0 | FINAL JUDGMENT AS TO DEFENDANT TL GILLIAMS, LLC: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the Clerk of Court shall enter Final Judgment in favor of the Commission and against Defendant. It IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for violations of Section 17(a) of the Securities Act [15 U.S.C. § 77q(a)]; Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5]. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that that Defendant is liable for disgorgement of $5,000,000, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $543,233, for a total of $5,543,233, for which Defendant is jointly and severally liable with Gilliams. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $50,000.00 pursuant to Section 20(d) of the Securities Act [15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)], and as further set forth herein. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Deborah A. Batts on 9/16/2014) (kgo) (Entered: 09/16/2014) |