Case docket: United States Securities and Exchange Commission v. China Northeast Petroleum Holdings Limited et al

Case details

Court:	nysd
Docket #:	1:12-cv-08696
Case Name:	United States Securities and Exchange Commission v. China Northeast Petroleum Holdings Limited et al
PACER case #:	404576
Date filed:	2012-11-29
Date terminated:	2016-09-20
Date of last filing:	2014-11-14
Assigned to:	Judge Naomi Reice Buchwald
Referred to:	Magistrate Judge Gabriel W. Gorenstein (Settlement)
Case Cause:	15:78m(a) Securities Exchange Act
Nature of Suit:	850 Securities/Commodities
Jury Demand:	Defendant
Jurisdiction:	U.S. Government Plaintiff

Parties

Represented Party	Attorney & Contact Info
United States Securities and Exchange Commission Plaintiff	Alfred A. Day U.S. Securities and Exchange Commission (MA) 33 Arch Street, 23rd Floor Boston, MA 02110 (617)-573-4537 Fax: 617-573-4590 Email: daya@sec.gov LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Alexander Mircea Vasilescu U.S. Securities and Exchange Commission( 3 World Financial) Three World Financial Center New York, NY 10281 212-336-0178 Fax: 212-336-1322 Email: vasilescua@sec.gov TERMINATED: 10/29/2013 Ansu Nath Banerjee United State Attorney's Office - NDof Georgia Richard Russell Building 75 Spring St, S.W., Ste 600 Atlanta, GA 30303 323-965-3313 Fax: 323-965-3815 Email: banerjeea@sec.gov PRO HAC VICE ATTORNEY TO BE NOTICED
China Northeast Petroleum Holdings Limited Defendant	Michael J. Coffino The Crone Law Group 101 Montgomery Street, Suite 1950 San Francisco, CA 94104 (415)-955-8900 Fax: (415)-955-8910 Email: mcoffino@coffinolawgroup.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Jaime Jane Santos Coffino Law Group 201 Spear Street, Suite 1100 San Francisco, CA 94105 (212) 506-5128 Fax: (212) 506-5151 Email: jaime.santos_esq@yahoo.com TERMINATED: 11/20/2014
Wang Hongun Defendant also known asHongjun Wang	Geoffrey Hunter Coll Schiff Hardin LLP 666 Fifth Ave., 17th Floor New York, NY 10103 (212) 753-5000 Fax: (202) 778-6460 Email: gcoll@schiffhardin.com TERMINATED: 11/27/2013 Jill L. Mandell Cozen O'Connor 45 Broadway New York, NY 10017 (212) 509-9400 Fax: (866) 782-9441 Email: jmandell@cozen.com TERMINATED: 04/11/2013 Joseph N Akrotirianakis Atkinson Andelson Loya Ruud & Romo 12800 Center Court Drive Cerritos, CA 90703 562-653-3200 Fax: 562-653-3333 Email: jakro@aalrr.com TERMINATED: 11/20/2014 PRO HAC VICE Leslie Ann Maria Schiff Hardin LLP 901 K Street, NW Suite 700 Washington, DC 20006 (202)-778-6419 Fax: (202)-778-6460 Email: lmaria@schiffhardin.com TERMINATED: 11/27/2013 PRO HAC VICE Ralph V. De Martino Schiff Hardin LLP 901 K Street, NW Washington, DC 20006 202 778-6400 Fax: 202 778-6460 TERMINATED: 11/27/2013 PRO HAC VICE
Ju Guizhi Defendant also known asGuizhi Ju
Jiang Chao Defendant TERMINATED: 07/14/2015 also known asChao Jiang TERMINATED: 07/14/2015	Michael Li-Ming Wong Gibson, Dunn & Crutcher, LLP 555 Mission Street, Suite 3000 San Francisco, CA 94105 (415)-393-8200 Fax: (415)-393-8306 Email: mwong@gibsondunn.com PRO HAC VICE ATTORNEY TO BE NOTICED Thad Davis Gibson, Dunn & Crutcher, LLP 555 Mission Street, Suite 3000 San Francisco, CA 94105 (415) 393-8251 Fax: (415) 393-8306 Email: tadavis@gibsondunn.com ATTORNEY TO BE NOTICED
Jiang Mingfu Relief Defendant TERMINATED: 09/13/2016 also known asMingfu Jiang TERMINATED: 09/13/2016	Jiang Mingfu 179 Changjiang Rd. Harbin China Email: chaojiang.us@gmail.com PRO SE Geoffrey Hunter Coll (See above for address) ATTORNEY TO BE NOTICED
Sun Jishuang Relief Defendant also known asJishuang Sun	Geoffrey Hunter Coll (See above for address) TERMINATED: 11/27/2013 Jill L. Mandell (See above for address) TERMINATED: 04/11/2013 Leslie Ann Maria (See above for address) TERMINATED: 11/27/2013 PRO HAC VICE Ralph V. De Martino (See above for address) TERMINATED: 11/27/2013 PRO HAC VICE

Documents

Date Filed	Document #	Attachment #	Short Description	Long Description	Upload date	SHA1 hash
2012-11-29	1	0		COMPLAINT against Jiang Chao, China Northeast Petroleum Holdings Limited, Ju Guizhi, Wang Hongun, Sun Jishuang, Jiang Mingfu. Document filed by United States Securities and Exchange Commission.(rdz) (Entered: 12/03/2012)
2012-12-06	2	0		ORDER VACATING DESIGNATION OF CASE FOR INCLUSION IN PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES. WHEREAS, this case was previously 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"), it is hereby ORDERED that designation is hereby vacated, and the Clerk of Court shall remove the COMPLEX-CSMGMT flag. (Signed by Judge Naomi Reice Buchwald on 12/5/2012) (lmb) (Entered: 12/06/2012)
2012-12-18	3	0		AFFIDAVIT OF SERVICE. China Northeast Petroleum Holdings Limited served on 11/30/2012, answer due 12/21/2012. Service was accepted by Christine Parrino, VCORP Services LLC, Registered Agent. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 12/18/2012)
2012-12-18	4	0		AFFIDAVIT OF SERVICE. Wang Hongun served on 11/30/2012, answer due 12/21/2012. Service was accepted by Wang Hongjun. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 12/18/2012)
2012-12-18	5	0		AFFIDAVIT OF SERVICE. Sun Jishuang served on 11/30/2012, answer due 12/21/2012. Service was accepted by Sun Jishuang. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 12/18/2012)
2012-12-19	6	0		NOTICE OF APPEARANCE by Jaime Jane Santos on behalf of China Northeast Petroleum Holdings Limited (Santos, Jaime) (Entered: 12/19/2012)
2012-12-21	7	0		STIPULATION EXTENDING TIME TO RESPOND TO THE COMPLAINT: The undersigned counsel for Plaintiff United States Securities and Exchange Commission and Defendant China Northeast Petroleum Holdings Limited ("NEP") have agreed that NEP may have until January 15,2013, to answer or otherwise respond to the Complaint in this action. The original deadline was December 21, 2012. This is the first request for an extension. The parties anticipate that a further extension may be sought to coordinate response dates of other defendants to facilitate efficient use of resources. China Northeast Petroleum Holdings Limited answer due 1/15/2013. (Signed by Judge Naomi Reice Buchwald on 12/20/2012) (ago) (Entered: 12/21/2012)
2012-12-24	8	0		NOTICE OF CHANGE OF ADDRESS by Jaime Jane Santos on behalf of China Northeast Petroleum Holdings Limited. New Address: Coffino Law Group, 201 Spear Street, Suite 1100, San Francisco, CA, 94105, 4154263530. (Santos, Jaime) (Entered: 12/24/2012)
2012-12-26	9	0		MOTION for Michael J. Coffino to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8094999. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 12/26/2012)
2012-12-27	10	0		NOTICE of Substitution of Attorney. Old Attorney: Alexander M. Vasilescu, New Attorney: Ansu N. Banerjee, Address: U.S. Securities and Exchange Commission, 100 F Street, N.E., Washington, DC, US 20549, (202) 551-5673. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 12/27/2012)
2012-12-27	11	0		NOTICE OF APPEARANCE by Jill L. Mandell on behalf of Wang Hongun, Sun Jishuang (Mandell, Jill) (Entered: 12/27/2012)
2013-01-03	12	0		STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: The time for defendant WANG HONGJUN (a/k/a Hongjun Wang) and relief defendant SUN JISHUANG (a/k/a Jishuang Sun) to answer, move or otherwise respond to the complaint in this action is hereby extended from December 21, 2012 up to and including January 22, 2013 Wang Hongun answer due 1/22/2013; Sun Jishuang answer due 1/22/2013. (Signed by Judge Naomi Reice Buchwald on 1/3/2013) (ft) (Entered: 01/03/2013)
2013-01-03	13	0		ORDER FOR ADMISSION PRO HAC VICE granting 9 Motion for Michael J. Coffino to Appear Pro Hac Vice. Applicant is admitted to practice Pro Hac Vice in this case in the United States District Court for the Southern District of New York. (Signed by Judge Naomi Reice Buchwald on 1/3/2013) (ft) (Entered: 01/03/2013)
2013-01-18	14	0		AMENDED STIPULATION EXTENDING TIME TO RESPOND TO THE COMPLAINT: Defendants China Northeast Petroleum Holdings Limited ("NEP"), Wang Hongjun (aka Hongjun Wang) ("Wang"), and Sun Jushuang (aka Jishuang Sun) ("Sun"), (collectively "Defendants"), have agreed that Defendants may have until February 22, 2013, to answer or otherwise respond to the Complaint in this action. The original deadline was December 21, 2012. China Northeast Petroleum Holdings Limited answer due 2/22/2013; Wang Hongun answer due 2/22/2013; Sun Jishuang answer due 2/22/2013. (Signed by Judge Naomi Reice Buchwald on 1/17/2013) (ja) (Entered: 01/18/2013)
2013-02-26	15	0		STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: that the time for defendant CHINA NORTHEAST PETROLEUM HOLDINGS LIMITED, defendant WANG HONGJUN (a/k/a Hongjun Wang), relief defendant SUN JISHUANG (a/k/a Jishuang Sun), to answer, move or otherwise respond to the complaint in this action is hereby extended from February 22, 2013 to and including April 12, 2013; and that the time for defendant JIANG CHAO (a/k/a Chao Jiang) to answer, move or otherwise respond to the complaint in this action is hereby extended from March 12, 2013 to and including April 12, 2013., Jiang Chao answer due 4/12/2013; China Northeast Petroleum Holdings Limited answer due 4/12/2013; Wang Hongun answer due 4/12/2013; Sun Jishuang answer due 4/12/2013. (Signed by Judge Naomi Reice Buchwald on 2/25/2013) (pl) (Entered: 02/26/2013)
2013-03-19	16	0		NOTICE OF APPEARANCE by Thad Davis on behalf of Jiang Chao (Davis, Thad) (Entered: 03/19/2013)
2013-03-20	17	0		ACKNOWLEDGMENT OF SERVICE. Jiang Chao served on 2/12/2013, answer due 4/12/2013. Service was accepted by Thad Davis. Service was made by Email. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Day, Alfred) (Entered: 03/20/2013)
2013-03-22	18	0		FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael Li-Ming Wong to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8348765. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jiang Chao. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order Proposed Order)(Wong, Michael) Modified on 3/22/2013 (bcu). (Entered: 03/22/2013)
2013-03-22	19	0		MOTION for Michael Li-Ming Wong to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jiang Chao. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order)(Wong, Michael) (Entered: 03/22/2013)
2013-04-01	20	0		ORDER FOR ADMISSION PRO HAC VICE: granting 19 Motion for Michael Li-Ming Wong to Appear Pro Hac Vice. (Signed by Judge Naomi Reice Buchwald on 4/1/2013) (rsh) (Entered: 04/01/2013)
2013-04-11	21	0		STIPULATION AND ORDER SUBSTITUTION OF COUNSEL FOR DEFENDANT WANG HONGJUN AND RELIEF DEFENDANT SUN JISHUANG; that the law firm of Schiff Hardin LLP is hereby substituted in place and in the stead of the law firm of Cozen O'Connor as counsel of record for defendant Wang Hongjun and Relief defendant Sun Jishuang in this action.re: Attorney Geoffrey Hunter Coll for Wang Hongjun,Geoffrey Hunter Coll for Sun Jishuang added. Attorney Jill L. Mandell terminated. (Signed by Judge Naomi Reice Buchwald on 4/10/2013) (sac) (Entered: 04/11/2013)	2013-04-12 04:15:35	6d684e21d8912f3db1c7ba5d286ff45d7821a6cd
2013-04-11	22	0		NOTICE OF APPEARANCE by Geoffrey Hunter Coll on behalf of Wang Hongun, Sun Jishuang (Coll, Geoffrey) (Entered: 04/11/2013)	2013-04-12 04:16:18	57da51c50a6adbcfe1913c955beadfe5ed7c4888
2013-04-12	23	0		MOTION for Ralph V. De Martino to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8413335. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Wang Hongun, Sun Jishuang.(Coll, Geoffrey) (Entered: 04/12/2013)	2013-04-15 04:28:43	cb4f887eb0f5659ef5720c873abf972922df80b6
2013-04-12	24	0		MOTION for Leslie Ann Maria to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8413515. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Wang Hongun, Sun Jishuang.(Coll, Geoffrey) (Entered: 04/12/2013)	2013-04-15 04:28:34	343a0391b469e0272ecdc8cf670d02af0d22ba97
2013-04-12	25	0		MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice. Document filed by Jiang Chao.(Davis, Thad) (Entered: 04/12/2013)	2013-04-15 04:28:24	6366eed5d8cf3a35ab254c4260375dc2ae248aae
2013-04-12	26	0		MEMORANDUM OF LAW in Support re: 25 MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice.. Document filed by Jiang Chao. (Davis, Thad) (Entered: 04/12/2013)	2013-04-15 13:33:10	d4dfb117a4d87735ca8a10d807ca02dc49ca3243
2013-04-12	27	0		DECLARATION of Thad A. Davis in Support re: 25 MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice.. Document filed by Jiang Chao. (Davis, Thad) (Entered: 04/12/2013)
2013-04-12	28	0		MOTION to Dismiss Counts One and Two of the Complaint. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 04/12/2013)	2013-04-15 17:59:52	1c3a33a3ae244b0352866d8a34b7c08ef2926af8
2013-04-12	29	0		MEMORANDUM OF LAW in Support re: 28 MOTION to Dismiss Counts One and Two of the Complaint.. Document filed by China Northeast Petroleum Holdings Limited. (Coffino, Michael) (Entered: 04/12/2013)	2013-04-15 04:27:45	9400d362e17ec51fe56eb5b8051e7437f208fa04
2013-04-12	30	0		DECLARATION of Jaime J. Santos in Support re: 28 MOTION to Dismiss Counts One and Two of the Complaint.. Document filed by China Northeast Petroleum Holdings Limited. (Attachments: # 1 Exhibit)(Coffino, Michael) (Entered: 04/12/2013)	2013-04-15 04:27:35	8b143c1ca6159447649dfd8f545e42eaeae9725f
2013-04-12	31	0		JOINT MOTION to Dismiss Complaint. Document filed by Wang Hongun, Sun Jishuang.(Coll, Geoffrey) (Entered: 04/12/2013)	2013-04-15 04:27:16	2aed719ecdde8262967bd9db5d8780ec5aacce88
2013-04-12	32	0		MEMORANDUM OF LAW in Support re: 31 JOINT MOTION to Dismiss Complaint.. Document filed by Wang Hongun, Sun Jishuang. (Coll, Geoffrey) (Entered: 04/12/2013)
2013-04-12	33	0		DECLARATION of Geoffrey H. Coll in Support re: 31 JOINT MOTION to Dismiss Complaint.. Document filed by Wang Hongun, Sun Jishuang. (Coll, Geoffrey) (Entered: 04/12/2013)	2013-04-15 14:07:12	7f2240184a122994e4c8d1d130a65929dc5b2a03
2013-04-16	34	0		ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 23 Motion for Ralph V. De Martino to Appear Pro Hac Vice. (Signed by Judge Naomi Reice Buchwald on 4/15/2013) (tro) (Entered: 04/16/2013)	2013-04-17 03:37:10	2e552ec702f16f724e71e653887c5b3ebaf0230a
2013-04-16	35	0		ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 24 Motion for Leslie Ann Maria to Appear Pro Hac Vice. (Signed by Judge Naomi Reice Buchwald on 4/15/2013) (tro) (Entered: 04/16/2013)	2013-04-17 03:37:01	98f28c5dd86bb2cb793fefd297b3f82e5cc0d3ee
2013-04-29	36	0		ENDORSED LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated 4/25/2013 re: Counsel for the United States Securities and Exchange Commission in this action regarding defendants' three pending motions to dismiss the SEC's complaint, each of which was filed on April 12, 2013. The SEC's oppositions to defendants' motions are currently due April 29, 2013 and the defendants' replies, if any, would be due May 9, 2013. The parties have conferred and respectfully request that the Court approve the following modified briefing schedule: May 17, 2013 - The SEC will file a consolidated opposition to defendants' motions to dismiss. May 31, 2013 - Defendants may each file a reply in support of their respective motions. ENDORSEMENT: So Ordered. (Set Deadlines/Hearing as to 25 MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice., 31 JOINT MOTION to Dismiss Complaint., 28 MOTION to Dismiss Counts One and Two of the Complaint: Responses due by 5/17/2013. Replies due by 5/31/2013.) (Signed by Judge Naomi Reice Buchwald on 4/26/2013) (sac) (Entered: 04/29/2013)	2013-04-30 02:18:08	29df7cd95d2c474e5bc375550435045a33969ea2
2013-05-17	37	0		MEMORANDUM OF LAW in Opposition re: 31 JOINT MOTION to Dismiss Complaint., 28 MOTION to Dismiss Counts One and Two of the Complaint., 25 MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice.. Document filed by United States Securities and Exchange Commission. (Day, Alfred) (Entered: 05/17/2013)
2013-05-21	38	0		RULE 26(f) DISCOVERY PLAN REPORT.Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 05/21/2013)	2013-05-22 01:48:16	650770c4f472761805cc16638464645806ef1480
2013-05-31	39	0		REPLY MEMORANDUM OF LAW in Support re: 28 MOTION to Dismiss Counts One and Two of the Complaint.. Document filed by China Northeast Petroleum Holdings Limited. (Santos, Jaime) (Entered: 05/31/2013)	2013-06-01 03:43:13	108306f7d2c370a7aa63fc4fe2346674de50d7cd
2013-05-31	40	0		REPLY MEMORANDUM OF LAW in Support re: 31 JOINT MOTION to Dismiss Complaint.. Document filed by Wang Hongun, Sun Jishuang. (Coll, Geoffrey) (Entered: 05/31/2013)	2013-06-01 03:42:00	5bd3ec145dd982100ddeb1a2a1b72731df82b1bf
2013-05-31	41	0		REPLY MEMORANDUM OF LAW in Support re: 25 MOTION to Dismiss Plaintiff United States Securities and Exchange Commission's Complaint with Prejudice.. Document filed by Jiang Chao. (Davis, Thad) (Entered: 05/31/2013)	2013-06-01 03:41:51	1c3f33e287747337cdbeeedc562773111fe3c352
2013-06-06	42	0		NOTICE of Related Criminal Indictment. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A)(Day, Alfred) (Entered: 06/06/2013)
	42	1	Exhibit A
2013-07-30	43	0		MOTION for Alfred Arthur Day 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 Certificates of Good Standing, # 2 Text of Proposed Order Proposed Order)(Day, Alfred) (Entered: 07/30/2013)
	43	1	Exhibit Certificates of Good Standing
	43	2	Text of Proposed Order Proposed Order
2013-07-30	44	0		FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Ansu N. Banerjee 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 Text of Proposed Order, # 2 Exhibit)(Banerjee, Ansu) Modified on 8/9/2013 (bcu). (Entered: 07/30/2013)
	44	1	Text of Proposed Order
	44	2	Exhibit
2013-08-09	45	0		MOTION for Ansu N. Banerjee to Appear Pro Hac Vice Corrected. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit)(Banerjee, Ansu) (Entered: 08/09/2013)
2013-08-21	46	0		ORDER FOR ADMISSION PRO HAC VICE granting 45 Motion for Ansu N. Banerjee to Appear Pro Hac Vice. Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Naomi Reice Buchwald on 8/20/2013) (ft) (Entered: 08/21/2013)	2013-08-22 01:51:18	c8ad7f43087d56dc675c24684eee6ae9f34c497b
2013-08-21	47	0		ORDER FOR ADMISSION PRO HAC VICE granting 43 Motion for Alfred A. Day to Appear Pro Hac Vice. Applicant is admitted to practice pro hac vice in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Naomi Reice Buchwald on 8/20/2013) (ft) (Entered: 08/21/2013)	2013-08-22 01:50:00	efa42bf69a6cb66a83267d33017985424575251f
2013-09-03	48	0		ACKNOWLEDGMENT OF SERVICE. Jiang Mingfu served on 8/29/2013, answer due 9/19/2013. Service was accepted by Michael Wong. Service was made by Email. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Day, Alfred) (Entered: 09/03/2013)
2013-09-25	49	0		LETTER MOTION for Local Rule 37.2 Conference addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated September 25, 2013. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 09/25/2013)	2013-09-26 03:33:24	6892b96b9a5a84b45026740c92d708c6ac0ab94f
2013-10-01	50	0		FILING ERROR - DEFICIENT DOCKET ENTRY - LETTER MOTION for Local Rule 37.2 Conference addressed to Judge Naomi Reice Buchwald from Michael J. Coffino dated October 1, 2013. Document filed by China Northeast Petroleum Holdings Limited.(Santos, Jaime) Modified on 10/2/2013 (db). (Entered: 10/01/2013)	2013-10-02 01:52:07	98b8b7e821d3f6dd16f33052cfe39ba2af6d689f
2013-10-02	51	0		LETTER MOTION for Local Rule 37.2 Conference addressed to Judge Naomi Reice Buchwald from Michael J. Coffino dated October 1, 2013. Document filed by China Northeast Petroleum Holdings Limited.(Santos, Jaime) (Entered: 10/02/2013)	2013-10-03 02:18:40	cdbc9b25ac133d928aaffbaf8e8be883b5b06c64
2013-10-02	52	0		LETTER addressed to Judge Naomi Reice Buchwald from Geoffrey H. Coll dated October 2, 2013 re: Leave to File Motion to Withdraw under Seal and Response to SEC Letter Requesting Pre-Motion Conference on Discovery Issues. Document filed by Wang Hongun.(Coll, Geoffrey) (Entered: 10/02/2013)	2013-10-03 02:19:11	a58e19e8e38652807c10e232926aed547b6a9d70
2013-10-10	53	0		MEMO ENDORSEMENT on 52 Letter, filed by Wang Hongun. Counsel requests that the Court "so order" this letter permitting them to file their Motion to Withdraw and supporting documents under seal. (Signed by Judge Naomi Reice Buchwald on 10/9/2013) (ft) (Entered: 10/10/2013)	2013-10-11 05:03:31	477982cea6b29489a5f2d28639710a1c596ee8fe
2013-10-11	54	0		SEALED DOCUMENT placed in vault.(mps) (Entered: 10/11/2013)
2013-10-16	55	0		RESPONSE re: 54 Sealed Document Plaintiff's Response to Schiff Hardin's Motion to Withdraw as Counsel. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 10/16/2013)	2013-10-17 02:24:10	fa43f5fc49d28b4f8647988c72483b403c9a10dd
2013-10-21	56	0		MOTION to Substitute Attorney. Old Attorney: Alexander M. Vasilescu, New Attorney: Alfred A. Day Motion to Substitute Counsel. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Banerjee, Ansu) (Entered: 10/21/2013)
2013-10-21	57	0		MOTION to Serve Ju Guizhi by Alternative Means. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Banerjee, Ansu) (Entered: 10/21/2013)
2013-10-21	58	0		MEMORANDUM OF LAW in Support re: 57 MOTION to Serve Ju Guizhi by Alternative Means.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Banerjee, Ansu) (Entered: 10/21/2013)
2013-10-29	59	0		ORDER SUBSTITUTING PLAINTIFF'S COUNSEL granting 56 Motion to Substitute Attorney. Plaintiff's motion to substitute counsel is GRANTED and the Clerk of the Court is hereby directed to remove Mr. Vasilescu from the docket and list Mr. Day as the lead counsel for Plaintiff. Attorney Alexander Mircea Vasilescu terminated. (Signed by Judge Naomi Reice Buchwald on 10/28/2013) (ft) (Entered: 10/29/2013)	2013-10-30 03:43:12	8a68a51919ade9f9c491458dc5d2ecfecd0360c3
2013-11-04	60	0		MEMORANDUM OF LAW in Opposition re: 57 MOTION to Serve Ju Guizhi by Alternative Means.. Document filed by China Northeast Petroleum Holdings Limited. (Coffino, Michael) (Entered: 11/04/2013)
2013-11-04	61	0		DECLARATION of Michael J. Coffino in Opposition re: 57 MOTION to Serve Ju Guizhi by Alternative Means.. Document filed by China Northeast Petroleum Holdings Limited. (Coffino, Michael) (Entered: 11/04/2013)
2013-11-07	62	0		REPLY MEMORANDUM OF LAW in Support re: 57 MOTION to Serve Ju Guizhi by Alternative Means.. Document filed by United States Securities and Exchange Commission. (Day, Alfred) (Entered: 11/07/2013)	2013-11-08 02:26:14	28197740643742bd20c3404d586fe3c8db0ec72b
2013-11-14	63	0		LETTER addressed to Judge Naomi Reice Buchwald from Geoffrey Coll dated November 14, 2013 re: Court's November 1, 2013 Letter. Document filed by Wang Hongun.(Coll, Geoffrey) (Entered: 11/14/2013)	2013-11-15 01:00:29	b711c8dc30fc849e0b01254f2ca340a7f134dc8c
2013-11-18	64	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated 11/18/2013 re: Response to Court's letter of 11/1/2013. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 11/18/2013)	2013-11-19 03:05:14	a83b64b8799537bcc2cdaac0c4c3d9ee3eb121e1
2013-11-27	65	0		ORDER: WHEREAS Schiff Hardin LLP, counsel for defendant Wang Hongjun ("Wang") and relief defendant Sun Jishuang ("Sun"), has filed a motion to withdraw as attorney of record; and WHEREAS counsel's motion is granted. It is hereby ORDERED that Wang and Sun retain new counsel to establish ECF accounts within thirty (30) days; and it is further ORDERED that the failure to appear either through counsel or pro se may result in sanctions and/or dismissal of their pending motion to dismiss. Attorney Leslie Ann Maria; Geoffrey Hunter Coll and Ralph V. De Martino terminated. (Signed by Judge Naomi Reice Buchwald on 11/27/2013) Copies Mailed By Chambers. (ft) Modified on 11/27/2013 (ft). (Entered: 11/27/2013)	2013-11-28 00:16:12	de41683820b8badcf5fab4c546473f72dd314b1a
2013-12-31	66	0		EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Banerjee, Ansu) (Entered: 12/31/2013)
	66	1	Text of Proposed Order
2013-12-31	67	0		MEMORANDUM OF LAW in Support re: 66 EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.. Document filed by United States Securities and Exchange Commission. (Banerjee, Ansu) (Entered: 12/31/2013)	2014-01-01 01:14:13	3f4e8d0a1c3dba9072141fb0b8fd2d14623de550
2014-01-06	68	0		FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9227234. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Wang Hongun. (Attachments: # 1 Exhibit Certificate of Good Standing)(Akrotirianakis, Joseph) Modified on 1/6/2014 (bcu). (Entered: 01/06/2014)
2014-01-06	69	0		AMENDED MOTION for Joseph N. Akrotirianakis to Appear Pro Hac Vice (Amended to attach Proposed Order previously inadvertantly omitted). Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Wang Hongun. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Exhibit Order for Admission Pro Hac Vice)(Akrotirianakis, Joseph) (Entered: 01/06/2014)
2014-01-10	70	0		ORDER FOR ADMISSION PRO HAC VICE granting 69 Motion for Joseph N. Akrotirianakis to Appear Pro Hac Vice. Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Naomi Reice Buchwald on 1/9/2014) (ft) (Entered: 01/10/2014)	2014-01-13 03:12:16	0753ce4c629f7d888817f6d4f1a8df14f58eb9fc
2014-01-14	71	0		MEMORANDUM OF LAW in Opposition re: 66 EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.. Document filed by China Northeast Petroleum Holdings Limited. (Coffino, Michael) (Entered: 01/14/2014)	2014-01-14 23:15:13	8e85586a5202d06961438584535f2eb4fcfc5baa
2014-01-16	72	0		MEMORANDUM OF LAW in Opposition re: 66 EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.. Document filed by Wang Hongun. (Akrotirianakis, Joseph) (Entered: 01/16/2014)	2014-01-17 00:10:18	0b632169f27a35df42791307961ef63b8b349589
2014-01-23	73	0		REPLY to Response to Motion re: 66 EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.EX PARTE MOTION to Strike Document No. [Docket No. 31] Plaintiff's Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint.. Document filed by United States Securities and Exchange Commission. (Day, Alfred) (Entered: 01/23/2014)	2014-01-24 00:18:38	4d09fbd5c449442ab3968e70e79b2be889e98f61
2014-01-23	74	0		NOTICE of Activity in Parallel Criminal Proceedings. Document filed by Jiang Chao. (Wong, Michael) (Entered: 01/23/2014)	2014-01-25 00:26:23	c41033d24dd0853bae130546954abdf2781ba6c2
2014-02-03	75	0		MEMORANDUM AND ORDER denying 66 Motion to Strike Wang and Sun's Joint Motion to Dismiss Complaint. This Memorandum and Order addresses plaintiff's ex parte motion to strike defendants Wang Hongjun and Sun Jishuang's joint motion to dismiss, filed on December 31, 2013. In light of the appearance of counsel on behalf of Wang, plaintiff's motion to strike is denied. We recognize that counsel has not filed an appearance on behalf of relief defendant Sun, but given that the motion to dismiss with be addressed in any event and that resolution on the merits is preferable, we also deny the motion to strike the joint motion to dismiss as to Sun alone. (Signed by Judge Naomi Reice Buchwald on 1/31/2014) Copies Mailed By Chambers. (ft) (Entered: 02/03/2014)	2014-02-04 01:01:22	3aff95bde72d62203733ddecab6a35982a85adfa
2014-03-07	76	0		ENDORSED LETTER addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated 3/7/2014 re: Counsel for defendant Chao Jiang requests on defendant's behalf that the Court permit a one-day delay of the hearing on the Motion to Dismiss to the morning of March 13. ENDORSEMENT: Application denied. (Signed by Judge Naomi Reice Buchwald on 3/7/2014) (ajs) (Entered: 03/07/2014)	2014-03-12 01:47:52	938760da2c2e886c1096431420c7d502f7ccd0d4
2014-03-27	77	0		MEMORANDUM AND ORDER denying 25 Motion to Dismiss; denying 28 Motion to Dismiss; denying 31 Motion to Dismiss; denying 57 Motion to Serve. For the foregoing reasons, we deny the respective motions to dismiss filed by CNEP, Wang and Sun, and Chao. We also deny the SEC's motion to serve Ju by alternative means. The Clerk of the Court is hereby respectfully directed to terminate the motions pending at docket numbers 25, 28, 31, and 57. (Signed by Judge Naomi Reice Buchwald on 3/26/2014) Copies Mailed by Chambers. (mro) (Entered: 03/27/2014)
2014-03-27	78	0		TRANSCRIPT of Proceedings re: CONFERENCE held on 3/12/2014 before Judge Naomi Reice Buchwald. Court Reporter/Transcriber: Rebecca Forman, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/21/2014. Redacted Transcript Deadline set for 5/1/2014. Release of Transcript Restriction set for 6/30/2014.(Rodriguez, Somari) (Entered: 03/27/2014)
2014-03-27	79	0		NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/12/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari) (Entered: 03/27/2014)
2014-04-08	80	0		LETTER MOTION for Extension of Time to File Answer re: 1 Complaint addressed to Judge Naomi Reice Buchwald from Joseph N. Akrotirianakis dated April 8, 2014. Document filed by Jiang Chao, China Northeast Petroleum Holdings Limited, Wang Hongun, United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Stipulation and Order Extending Time to Respond to Complaint)(Akrotirianakis, Joseph) (Entered: 04/08/2014)
2014-04-09	81	0		STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: IT IS HEREBY STIPULATED AND AGREED by the undersigned attorneys that the time for defendant CHINA NORTHEAST PETROLEUM HOLDINGS LIMITED, defendant WANG HONGJUN, and defendant JIANG CHAO (collectively "answering defendants") to answer the complaint in this action is hereby extended until May 15, 2014. Jiang Chao answer due 5/15/2014; China Northeast Petroleum Holdings Limited answer due 5/15/2014; Wang Hongun answer due 5/15/2014. (Signed by Judge Naomi Reice Buchwald on 4/9/2014) (mro) (Entered: 04/09/2014)
2014-05-15	82	0		ANSWER to 1 Complaint with JURY DEMAND. Document filed by Jiang Chao. (Attachments: # 1 Exhibit Exhibit A to Chao Jiang Answer)(Davis, Thad) (Entered: 05/15/2014)
2014-05-15	83	0		RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 05/15/2014)	2014-05-16 02:00:02	6cc7691899c4b7e58a8e0c3ff732e74d1e8a5ebe
2014-05-15	84	0		ANSWER to 1 Complaint with JURY DEMAND. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 05/15/2014)	2014-05-16 01:59:54	2ff85a957b421afb2d3f58af36ae055d1c3dc137
2014-05-16	85	0		NOTICE OF CHANGE OF ADDRESS by Joseph N Akrotirianakis on behalf of Wang Hongun. New Address: Atkinson Andelson Loya Ruud & Romo, 12800 Center Court Drive S., Suite 300, Cerritos, CA, USA 90703, 562 653 3200. (Akrotirianakis, Joseph) (Entered: 05/16/2014)	2014-05-19 10:20:49	c3dc9d49656302426da0eb12de8bd8e0c13d13a6
2014-05-28	86	0		ANSWER to 1 Complaint with JURY DEMAND. Document filed by Wang Hongun. (Attachments: # 1 Exhibit A)(Akrotirianakis, Joseph) (Entered: 05/28/2014)	2014-05-29 01:07:21	05f1e4b46555220d08a404599996263ac17e1b77
2014-06-09	87	0		CORRECTING MEMORANDUM re: 77 Order on Motion to Dismiss, Order on Motion to Serve. In the Memorandum and Order in this case, issued on March 27, 2014, the sentence beginning on Page 20, Line 18, should read as follows: "But the fact that the Company continued to make legitimate expenditures at the same time that it was engaging in related-party activity does not absolve CNEP of the responsibility to include these related-party transactions in its SEC filings." In addition, defendant Ju Guizhi was inadvertently omitted from the original caption. SO ORDERED. (Signed by Judge Naomi Reice Buchwald on 6/9/2014) Copies Mailed By Chambers. (kgo) (Entered: 06/09/2014)	2014-06-10 01:20:18	4a3687daeda0094b868e5d32b137a83cdd37efc2
2014-07-18	88	0		NOTICE OF CHANGE OF ADDRESS by Ansu Nath Banerjee on behalf of United States Securities and Exchange Commission. New Address: U.S. Securities and Exchange Commission, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, California, USA 90036, (323) 965-3313. (Banerjee, Ansu) (Entered: 07/18/2014)	2014-07-21 10:21:51	b4a68331767b522673c56736274967fd548e8f3b
2014-07-23	89	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated July 23, 2014 re: Pre-Motion Conference. Document filed by United States Securities and Exchange Commission.(Banerjee, Ansu) (Entered: 07/23/2014)	2014-07-25 02:43:56	6c79e4bb2d734155924e3fe4b25c17e5949eb2a6
2014-07-24	90	0		MEMO ENDORSEMENT on re: 89 Letter filed by United States Securities and Exchange Commission. ENDORSEMENT: The SEC is granted leave to make the two motions proposed without the necessity of a conference. (Signed by Judge Naomi Reice Buchwald on 7/24/2014) (djc) (Entered: 07/25/2014)	2014-07-28 03:52:18	46e7484c7135d7af091f5cccfa40d7b659d73438
2014-07-28	91	0		MOTION Relief from discovery stay and issuance of summonses . Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 07/28/2014)	2014-07-29 01:41:23	2d5273ac90b6c33352cb694cc5fa08b3abb6728c
2014-07-28	92	0		MEMORANDUM OF LAW in Support re: 91 MOTION Relief from discovery stay and issuance of summonses . . Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Proposed Order)(Day, Alfred) (Entered: 07/28/2014)
2014-08-04	93	0		RESPONSE to Motion re: 91 MOTION Relief from discovery stay and issuance of summonses . . Document filed by Wang Hongun. (Akrotirianakis, Joseph) (Entered: 08/04/2014)	2014-08-05 01:41:31	22acd146ee0e79925454bf1629d7b124e71bea75
2014-08-13	94	0		RESPONSE in Opposition to Motion re: 91 MOTION Relief from discovery stay and issuance of summonses . . Document filed by Jiang Chao. (Davis, Thad) (Entered: 08/13/2014)	2014-08-14 02:08:16	7726fbce6dee7c2352c744e0b27040ed5e3a96a6
2014-08-15	95	0		ORDER GRANTING PLAINTIFF'S MOTION FOR LIMITED RELIEF FROM DISCOVERY STAY AND FOR ISSUANCE OF SUMMONSES granting 91 Motion for Relief from discovery stay and issuance of summonses. It is hereby ORDERED that Plaintiff's motion is GRANTED; it is further ORDERED that the Clerk of the Court shall issue additional summonses to Defendant Ju at Plaintiff's request; and it is further ORDERED that leave is hereby granted for Plaintiff to serve upon Defendants limited discovery requests in the substantially the form set forth in Plaintiff's motion. (Signed by Judge Naomi Reice Buchwald on 8/14/2014) (mro) (Entered: 08/15/2014)	2014-08-18 01:48:19	568cceb8e448b1333ad2256bb619d1769aad111a
2014-09-04	96	0		NOTICE of re: 42 Notice (Other). Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit 1)(Day, Alfred) (Entered: 09/04/2014)	2014-09-05 01:58:41	5cba4daa9e03e9d36303152e0dfec57a14e8f7d0
2014-09-23	97	0		NOTICE OF CHANGE OF ADDRESS by Ansu Nath Banerjee on behalf of United States Securities and Exchange Commission. New Address: U.S. Securities & Exchange Commission, 444 South Flower Street, Suite 900, Los Angeles, California, USA 90071, (323) 965-3313. (Banerjee, Ansu) (Entered: 09/23/2014)	2014-09-24 02:58:19	f833606036af33cf2d9f83fd7f101407f91803b9
2014-09-29	98	0		LETTER addressed to Judge Naomi Reice Buchwald from Joseph N Akrotirianakis dated September 29, 2014 re: Request for Pre-Motion Conference. Document filed by Wang Hongun.(Akrotirianakis, Joseph) (Entered: 09/29/2014)	2014-09-30 02:00:59	e68f4591326c832a3c11ee893658136c06324e76
2014-09-29	99	0		LETTER addressed to Judge Naomi Reice Buchwald from Michael Coffino dated September 29, 2014 re: Request for Pre-Motion Conference. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 09/29/2014)	2014-09-30 02:01:15	c4f3a796c5edc3d4eecedffefc31c3ec5989ec3c
2014-09-30	100	0		MEMO ENDORSEMENT on re: 98 Letter filed by Wang Hongun. ENDORSEMENT: A motion to withdraw may be filed without a pre-motion conference. (Signed by Judge Naomi Reice Buchwald on 9/30/2014) (rjm) (Entered: 09/30/2014)	2014-10-01 03:52:21	e34b596ac521f2c58682025789cedc7c8dd8a842
2014-10-02	101	0		REQUEST TO ENTER DEFAULT as to Relief Defendants Jiang Mingfu and Sun Jishuang. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Affidavit Declaration of Alfred A. Day, # 2 Text of Proposed Order Certificate Noting Default)(Day, Alfred) (Entered: 10/02/2014)
	101	1	Affidavit Declaration of Alfred A. Day
	101	2	Text of Proposed Order Certificate Noting Default
2014-10-02	102	0		MEMO ENDORSEMENT on re: 99 Letter filed by China Northeast Petroleum Holdings Limited. ENDORSEMENT: So ordered. (Signed by Judge Naomi Reice Buchwald on 10/1/2014) (rjm) (Entered: 10/02/2014)	2014-10-03 04:16:25	4321b66e2ed9f79a4a2f5e77a6fd38f2810d97a4
2014-10-07	103	0		ANSWER OF RELIEF DEFENDANT MINGFU JIANG; re: to 1 Complaint with JURY DEMAND. Document filed by Jiang Mingfu.(sc) (Entered: 10/08/2014)	2014-10-09 00:44:15	aad0b87a0546ad6e64a2243cbea2974e4e032fc4
2014-11-06	104	0		ORDER. Counsel for defendant Hongjun Wang is permitted to file a motion to withdraw and supporting documents under seal. IT IS SO ORDERED. (Signed by Judge Naomi Reice Buchwald on 11/5/2014) Copies Mailed By Chambers. (rjm). (Entered: 11/06/2014)
2014-11-06	105	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated November 6, 2014 re: Pre-Motion Conference. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Amended Complaint - Redline, # 2 Amended Complaint)(Banerjee, Ansu) (Entered: 11/06/2014)
2014-11-07	106	0		SEALED DOCUMENT placed in vault.(rz) (Entered: 11/07/2014)
2014-11-07	107	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated November 7, 2014 re: AALRR's Motion to Withdraw. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 11/07/2014)
2014-11-10	108	0		LETTER MOTION for Conference addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated November 10, 2014. Document filed by Jiang Chao.(Davis, Thad) (Entered: 11/10/2014)
2014-11-10	109	0		MEMO ENDORSEMENT on re: 105 LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated November 6, 2014 re: Pre-Motion Conference. Document filed by United States Securities and Exchange Commission. ENDORSEMENT: The plaintiff may file the proposed amended complaint without a pre-motion conference. So ordered. (Signed by Judge Naomi Reice Buchwald on 11/7/2014) (rjm) (Entered: 11/10/2014)
2014-11-10	110	0		LETTER RESPONSE to Motion addressed to Judge Naomi Reice Buchwald from Michael Coffino dated November 10, 2014 re: 108 LETTER MOTION for Conference addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated November 10, 2014. . Document filed by China Northeast Petroleum Holdings Limited. (Coffino, Michael) (Entered: 11/10/2014)
2014-11-13	111	0		FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR FIRST AMENDED COMPLAINT amending 1 Complaint against All Defendants.Document filed by United States Securities and Exchange Commission. Related document: 1 Complaint filed by United States Securities and Exchange Commission.(Day, Alfred) Modified on 11/14/2014 (cde). (Entered: 11/13/2014)
2014-11-14	112	0		FIRST AMENDED COMPLAINT amending 111 Amended Complaint, 1 Complaint against Jiang Chao, China Northeast Petroleum Holdings Limited, Ju Guizhi, Wang Hongun, Sun Jishuang, Jiang Mingfu.Document filed by United States Securities and Exchange Commission. Related document: 111 Amended Complaint, filed by United States Securities and Exchange Commission, 1 Complaint filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 11/14/2014)	2014-11-18 15:15:29	8352e23a9da63196b7687e43124210a050cd9e38
2014-11-19	113	0		ANSWER to 112 Amended Complaint, with JURY DEMAND. Document filed by China Northeast Petroleum Holdings Limited.(Coffino, Michael) (Entered: 11/19/2014)
2014-11-20	114	0		ORDER. WHEREAS Coffino Law Group, counsel for defendant China Northeast Petroleum Holdings Limited ("CNEP"), has filed a motion to withdraw as attorney of record; and WHEREAS counsel's motion is granted; it is hereby ORDERED that CNEP has thirty (30) days to retain new counsel and that failure to do so will result in the entry of a default judgment, and as further specified herein. Attorney Jaime Jane Santos terminated. (Signed by Judge Naomi Reice Buchwald on 11/19/2014) (rjm) (Entered: 11/20/2014)
2014-11-20	115	0		ORDER. WHEREAS Atkinson, Andelson, Loya, Ruud & Romo, counsel for defendant Wang Hongjun ("Wang"), has filed a motion to withdraw as attorney of record; and WHEREAS counsel's motion is granted; and WHEREAS the Court, pursuant to Local Electronic Case Filing ("ECF") Rule 2.2(a), may "require a prose party to a pending civil action to register as a Filing User in the ECF system solely for the purposes of that action"; it is hereby ORDERED that Wang retain new counsel or establish an ECF account within thirty (30) days; and it is further ORDERED that the failure to appear either through counsel or pro se may result in sanctions and/or entry of a default judgment. Attorney Joseph N. Akrotirianakis terminated. (Signed by Judge Naomi Reice Buchwald on 11/19/2014) (rjm) (Entered: 11/20/2014)
2014-11-20	116	0		ORDER granting 108 LETTER MOTION for Conference addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated November 10, 2014. Document filed by Jiang Chao. Application granted. A conference was held on November 19, 2014. So ordered. (Signed by Judge Naomi Reice Buchwald on 11/19/2014) (rjm) (Entered: 11/20/2014)
2014-12-01	117	0		ANSWER to 112 Amended Complaint, with JURY DEMAND. Document filed by Jiang Chao.(Davis, Thad) (Entered: 12/01/2014)
2014-12-01	118	0		ANSWER OF RELIEF DEFENDANT MINGFU JIANG TO THE PLAINTIFF'S FIRST AMENDED COMPLAINT; re: 112 Amended Complaint, with JURY DEMAND. Document filed by Jiang Mingfu.(sc) (Entered: 12/02/2014)
2014-12-02	119	0		PRO SE CONSENT TO RECEIVE ELECTRONIC SERVICE. The following party: Jiang Mingfu consents to receive electronic service via the ECF system. Document filed by Jiang Mingfu.(sc) (Entered: 12/04/2014)
2014-12-08	120	0		LETTER MOTION for Conference addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated December 8, 2014. Document filed by Jiang Chao.(Davis, Thad) (Entered: 12/08/2014)
2014-12-17	121	0		ORDER terminating 120 LETTER MOTION for Conference addressed to Judge Naomi Reice Buchwald from Thad A. Davis dated December 8, 2014. Document filed by Jiang Chao. This case will be referred to the assigned Magistrate Judge for settlement after March 1, 2015. (Signed by Judge Naomi Reice Buchwald on 12/16/2014) (rjm) (Entered: 12/17/2014)
2014-12-17	122	0		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 Gabriel W. Gorenstein. NOTE: Any Settlement Conference should be scheduled after March 1, 2015. SO ORDERED. (Signed by Judge Naomi Reice Buchwald on 12/17/2014) (ama) (Entered: 12/17/2014)
2015-02-03	123	0		ORDER SCHEDULING SETTLEMENT CONFERENCE, as further set forth in the Order( Settlement Conference set for 3/2/2015 at 02:30 PM in Courtroom 6B, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Gabriel W. Gorenstein.) (Signed by Magistrate Judge Gabriel W. Gorenstein on 2/3/15) (sg) (Entered: 02/03/2015)
2015-02-13	124	0		ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Alfred A. Day dated 2/13/2015 re: Adjournment of conference. ENDORSEMENT: Granted. Submissions are due April 1, 2015. SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 2/13/2015) (ajs) (Entered: 02/18/2015)
2015-05-22	125	0		REQUEST TO ENTER DEFAULT as to Defendants China North east Petroleum and Hongjun Wang. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Affidavit Declaration of Alfred A. Day, # 2 Text of Proposed Order)(Day, Alfred) (Entered: 05/22/2015)
2015-06-25	126	0		AFFIDAVIT OF SERVICE of Summons and Complaint served on Ju Guizhi on March 10, 2015. Service was accepted by Defendant's daughter. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Appendix Certified Translation of Page 2)(Day, Alfred) (Entered: 06/25/2015)
2015-06-30	127	0		REQUEST TO ENTER DEFAULT as to Defendant Ju Ghuizi. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Affidavit Alfred A. Day, # 2 Text of Proposed Order)(Day, Alfred) (Entered: 06/30/2015)
2015-07-13	128	0		CLERK'S CERTIFICATE OF DEFAULT as to China North East Petroleum Holding Limited and Wang Hongjun a/k/a Hongjun Wang. (km) (Entered: 07/13/2015)
2015-07-14	129	0		FINAL JUDGMENT AS TO DEFENDANT CHAO JIANG. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from directly or indirectly violating Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. §§ 77q(a)(2) and 77q(a)(3)). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys in active concert or participation with Defendant; and (b) other persons in active concert or participation with Defendant or with anyone described in (a), and as further set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $75,000 to the Securities and Exchange Commission 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 specified herein. IT IS 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 Naomi Reice Buchwald on 7/14/2015) (rjm) (Additional attachment(s) added on 7/14/2015: # 1 Right to Appeal Form #1, # 2 Right to Appeal #2) (rjm). (Entered: 07/14/2015)
2015-07-14	130	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated July 14, 2015 re: Pre-motion conference regarding motion for order directing clerk to enter default. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 07/14/2015)
2015-08-04	131	0		REQUEST TO ENTER DEFAULT as to Relief Defendant Sun Jishuang. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Affidavit in support of request to enter default, # 2 Text of Proposed Order)(Day, Alfred) (Entered: 08/04/2015)
2015-10-15	132	0		CLERK'S CERTIFICATE OF DEFAULT as to Ju Guizhi (a/k/a Ghuizi Ju). (km) (Entered: 10/15/2015)
2015-10-22	133	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day dated October 22, 2015 re: Entry of Default -- Relief Defendant Sun. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 10/22/2015)
2015-11-20	134	0		ORDER DIRECTING THE CLERK OF THE COURT TO ISSUE A CERTIFICATE OF DEFAULT AS TO RELIEF DEFENDANT SUN JISHUANG. NOW, THEREFORE, having found the requested relief to be warranted under existing law, the Court hereby directs the Clerk of the Court to issue a Clerk's Certificate Noting Default as to Sun in the form submitted by the SEC at Dkt. No. 131-2. IT IS SO ORDERED this 19th day of November, 2015. (Signed by Judge Naomi Reice Buchwald on 11/19/2015) (rjm) (Entered: 11/20/2015)	2015-11-20 17:11:00	ecd57a1fcbf9eef8fcbaca0fa60b2e14b7778552
2015-11-20	135	0		CLERK'S CERTIFICATE OF DEFAULT as to Sun Jishuang a/k/a Jishuang Sun. (km) (Entered: 11/20/2015)
2016-04-05	136	0		MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun. Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 04/05/2016)
2016-04-05	137	0		MEMORANDUM OF LAW in Support re: 136 MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun. . Document filed by United States Securities and Exchange Commission. (Day, Alfred) (Entered: 04/05/2016)
2016-04-05	138	0		AFFIDAVIT in Support re: 136 MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A (part 1), # 2 Exhibit A (part 2), # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F)(Day, Alfred) (Entered: 04/05/2016)
2016-04-05	139	0		MOTION re: 136 MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun. Moiton for Relief from L.R. 55.2(c). Document filed by United States Securities and Exchange Commission.(Day, Alfred) (Entered: 04/05/2016)
2016-04-05	140	0		MEMORANDUM OF LAW in Support re: 139 MOTION re: 136 MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun. Moiton for Relief from L.R. 55.2(c). . Document filed by United States Securities and Exchange Commission. (Day, Alfred) (Entered: 04/05/2016)
2016-05-10	141	0		DECLARATION in Support re: 136 MOTION for Default Judgment as to Defendants CNEP, Wang, and Ju, and Relief Defendant Sun.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Day, Alfred) (Entered: 05/10/2016)
2016-06-20	142	0		LETTER addressed to Judge Naomi Reice Buchwald from Alfred A. Day, Esq. dated 06/20/2016 re: Request for Status Conference. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit A)(Day, Alfred) (Entered: 06/20/2016)
2016-06-22	143	0		NOTICE OF CHANGE OF ADDRESS by Alfred A. Day on behalf of United States Securities and Exchange Commission. New Address: United States Securities and Exchange Commission, 33 Arch Street, 24th Floor, Boston, MA, United States 02110, 617-573-4537. (Day, Alfred) (Entered: 06/22/2016)
2016-09-13	144	0		PLAINTIFF'S REQUEST AND ORDER VOLUNTARILY DISMISSING ITS CLAIM AGAINST RELIEF DEFENDANT MINGFU JIANG: THIS MATTER came before the Court of the SEC's request for entry of an order Pursuant to Rule 41(a)(2) of the Federal Rules of Civil Procedure dismissing the SEC's equitable claim against Relief Defendant Jiang Mingfu (a/k/a Mingfu Jiang)("Mingfu") with prejudice. The Court, having considered the SEC's request and the record and file herein, and having determined that the requested relief is warranted in fact and law, hereby ORDERS that the SEC's equitable claim against Mingfu is DISMISSED WITH PREJUDICE. (Signed by Judge Naomi Reice Buchwald on 9/12/2016) (cla) (Entered: 09/13/2016)
2016-09-20	145	0		ORDER ON MOTION FOR RELIEF FROM LOCAL RULE 55.2(c) AS TO MOTION FOR DEFAULT JUDGMENT AGAINST DEFENDANT JU GUIZHI (A/K/A GHUIZI JU) granting 139 Motion: that Plaintiff's motion is GRANTED; Plaintiff is relieved of the requirement under S.D.N.Y. Local Rule 55.2(c) to mail or otherwise deliver its default judgment papers to Defendant Ju. (Signed by Judge Naomi Reice Buchwald on 9/20/2016) (tn) (Entered: 09/20/2016)
2016-09-20	146	0		FINAL DEFAULT JUDGMENT AS TO DEFENDANTS CHINA NORTH EAST PETROLEUM HOLDINGS LIMITED, HONGJUN WANG, AND JU GUIZHI, AND RELIEF DEFENDANT JISHUANG SUN: judgment is entered against CNEP, Wang, Ju, and Sun as follows: that CNEP is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, as further set forth. Wang and Ju are permanently restrained and enjoined from violating, directly or indirectly, or aiding and abetting violations of, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security as further set forth. CNEP, Wang and Ju are jointly and severally liable for disgorgement of $31,900,013.00 representing profits gained as a result of the conduct alleged in the Complaint, along with prejudgment interest of $7,028,386.66, for a total of $38,928,399.66. CNEP, Wang and Ju shall satisfy this obligation by paying $38,928,399.66 to the Securities and Exchange Commission within 10 days after entry of this judgment. CNEP shall pay a civil penalty in the amount of $5,000,000 to the Securities and Exchange Commission 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)]. CNEP shall make this payment within 10 days after entry of this judgment. Wang shall pay a civil penalty in the amount of $1,000,000 and Ju shall pay a penalty in the amount of $150,000 to the Securities and Exchange Commission 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)]. Wang and Ju shall make this payment within 10 days after entry of this judgment. Sun is liable for disgorgement of $300,000 representing profits gained as a result of the conduct alleged in the Complaint, along with prejudgment interest of $67,341.39, for a total of $367,341.39. Sun shall satisfy this obligation by paying $367,341.39 to the Securities and Exchange Commission within 10 days after entry of this judgment, and as further set forth in this order. (Signed by Judge Naomi Reice Buchwald on 9/20/2016) (tn) (Entered: 09/20/2016)