Case details

Court: txnd
Docket #: 4:17-mc-00009
Case Name: Securities and Exchange Commission v. Upstate Law Group, LLC et al
PACER case #: 285219
Date filed: 2017-02-27
Assigned to: Judge John McBryde
Case Cause: 15:77 Securities

Parties

Represented Party Attorney & Contact Info
Securities and Exchange Commission
Movant
Janie L Frank
US Securities & Exchange Commission Burnett Plaza 801 Cherry Street, Suite 1900 Fort Worth, TX 76102 817-978-3821 Fax: 817-978-2700 Email: frankj@sec.gov
LEAD ATTORNEY ATTORNEY TO BE NOTICED Bar Status: Admitted/In Good Standing

Upstate Law Group, LLC
Respondent
Strategic Marketing Innovators, Inc.
Respondent
Performance Arbitrage Company, Inc.
Respondent
Financial Products Distributors, LLC
Respondent

Documents

Date Filed Document # Attachment # Short Description Long Description Upload date SHA1 hash
2017-02-27 1 0 Motion to Compel (compliance with a subpoena) filed by Securities and Exchange Commission. Filed on behalf of USA, no fee due. (Frank, Janie) (Entered: 02/27/2017) 2017-03-06 20:45:45 743fd753e05786307bb36092cf83b70febade867
2017-02-27 2 0 Brief/Memorandum of Law in Support re 1 Motion to Compel (compliance with a subpoena) filed by Securities and Exchange Commission. Filed on behalf of USA, no fee due. (Frank, Janie) Modified event on 2/27/2017/motion event termed (npk). (Entered: 02/27/2017)
2017-02-27 3 0 Appendix in Support filed by Securities and Exchange Commission re 2 Miscellaneous Case Initiating Documents (Attachments: # 1 Appendix Part 2, # 2 Appendix Part 3, # 3 Appendix Part 4, # 4 Appendix Part 5) (Frank, Janie) (Entered: 02/27/2017)
2017-02-27 4 0 Standing ORDER Concerning Paper Filing in Cases Assigned to District Judge John McBryde...see order for specifics. (Ordered by Judge John McBryde on 2/27/2017) (tln) (Entered: 02/27/2017)
2017-02-28 5 0 *** UNFILED PER ORDER 8 *** Judge McBryde's paper original and copy pursuant to the standing order of 1 Motion to Compel (compliance with a subpoena), 2 Brief/Memorandum of Law in Support, 3 Appendix in Support, filed by Securities and Exchange Commission. (Attachments: # 1 appx pg 25 - 68, # 2 appx pg 69 - 105, # 3 appx pg 106 - 149, # 4 appx pg 150 - 193, # 5 appx pg 194 - 216) (tln) Modified on 3/1/2017 (wxc). (Entered: 02/28/2017)
2017-02-28 6 0 ORDER RE PAPER FILING: To assist the court in working with the appendix that applicant, Securities and Exchange Commission, is to include for the court in the documents the applicant is to file in paper form pursuant to the requirements of paragraph 2 of the Standing Order that was issued in this action on February 27, 2017, the paper filing of the appendix should include a list, in the front, behind the cover, of the documents contained in the appendix, describing each in an appropriate manner and giving the page number in the appendix where each can be found; and, the court requests that the copy of the appendix provided for use by the undersigned be broken down into two spiral-bound volumes, with each volume having in the front, behind the cover, a copy of the complete index. (Ordered by Judge John McBryde on 2/28/2017) (tln) (Entered: 02/28/2017)
2017-02-28 7 0 ORDER RE DEADLINE FOR RESPONSE TO APPLICATION: The court ORDERS that respondents, Upstate Law Group, LLC, Strategic Marketing Innovators, Inc., Performance Arbitrage Company, Inc., and Financial Products Distributors, LLC, each file by March 14, 2017, a response to the SEC's application, and that such response contain as to each respondent each reason why such respondent has not complied with the subpoena directed to it and as to why an order should not be issued by this court directing it to provide prompt compliance with the subpoena directed to it. (Order mailed to Attorney John Teakell and to David Woodward) (Ordered by Judge John McBryde on 2/28/2017) (tln) (Entered: 02/28/2017)
2017-02-28 8 0 Order Unfiling/Striking 5 Judge McBryde's paper original and copy pursuant to the standing order of 1 Motion to Compel (compliance with a subpoena), 2 Brief/Memorandum of Law in Support, 3 Appendix in Support, filed by Securities and Exchange Commission due to the following deficiency: They do not comply with the order re paper filing. Moreover, the original paper document is not signed, but bears a typewritten signature, and for that reason is subject to being stricken. The court ORDERS that the paper copy of the application delivered February 28, 2017, be, and is hereby, stricken from the record and unfiled. Applicant may retrieve the paper copies of the application by 4:00 p.m. on March 1, 2017; otherwise the clerk may dispose of them. (Ordered by Judge John McBryde on 2/28/2017) (tln) (Entered: 02/28/2017)
2017-03-01 9 0 Judge McBryde's paper original and copy pursuant to the standing order of 1 Motion to Compel (compliance with a subpoena), 2 Brief/Memorandum of Law in Support, 3 Appendix in Support, filed by Securities and Exchange Commission. (Attachments: # 1 appx pg 20 - 65, # 2 appx pg 66 - 97, # 3 appx pg 98 - 141, # 4 appx pg 142 - 187, # 5 appx pg 188 - 216) (tln) (Entered: 03/01/2017)