| Court: | nysd |
| Docket #: | 1:10-cv-01888 |
| Case Name: | United States Securities and Exchange Commission v. Verdiramo et al |
| PACER case #: | 359726 |
| Date filed: | 2010-03-10 |
| Date terminated: | 2012-01-17 |
| Assigned to: | Judge Richard M. Berman |
| Case Cause: | 15:78m(a) Securities Exchange Act |
| Nature of Suit: | 850 Securities/Commodities |
| Jury Demand: | None |
| Jurisdiction: | U.S. Government Plaintiff |
| Represented Party | Attorney & Contact Info |
| United States Securities and Exchange Commission Plaintiff |
Beth Collier Groves Dean Michael Conway |
| Richard Verdiramo Defendant TERMINATED: 12/21/2011 |
Jerome H. Mooney Paul Amandio Batista |
| Esq. Vincent L. Verdiramo Defendant TERMINATED: 12/21/2011 |
Gerald Joseph McMahon Paul Amandio Batista Jerome H. Mooney |
| Jr. Edward Meyer Defendant TERMINATED: 06/27/2011 |
Edward Meyer |
| Victoria Chen Defendant |
Victoria Chen Gregory Bartko |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2010-03-10 | 1 | 0 | COMPLAINT against Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Victoria Chen. Document filed by United States Securities and Exchange Commission.(laq) (ama). (Entered: 03/12/2010) | 2010-05-26 10:05:06 | 8bf547d4ba455e93b7b764c8f35ab0528f04dbc8 | |
| 2010-03-30 | 2 | 0 | SUMMONS RETURNED EXECUTED Summons and Complaint served. Edward Meyer served on 3/20/2010, answer due 4/12/2010. Service was accepted by Edward Meyer, Jr. Defendant. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 03/30/2010) | |||
| 2010-03-30 | 3 | 0 | SUMMONS RETURNED EXECUTED Summons and Complaint served. Richard Verdiramo served on 3/22/2010, answer due 4/12/2010. Service was accepted by Richard Verdiramo, Defendant. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 03/30/2010) | |||
| 2010-03-30 | 4 | 0 | WAIVER OF SERVICE RETURNED EXECUTED. Vincent L. Verdiramo waiver sent on 3/25/2010, answer due 5/24/2010. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 03/30/2010) | |||
| 2010-03-30 | 5 | 0 | MOTION for Dean M. Conway to Appear Pro Hac Vice. Document filed by United States Securities and Exchange Commission.(mro) (Entered: 03/31/2010) | |||
| 2010-04-01 | 6 | 0 | ORDER GRANTING MOTION FOR ADMISSION OF DEAN M. CONWAY PRO HAC VlCE; that the motion should be and hereby is GRANTED, and Dean M. Conway is hereby admitted to practice pro hac vice before this Court. (Signed by Judge Richard M. Berman on 4/1/10). (pl) (Entered: 04/02/2010) | |||
| 2010-04-05 | 7 | 0 | WAIVER OF SERVICE RETURNED EXECUTED. Victoria Chen waiver sent on 3/25/2010, answer due 5/24/2010. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 04/05/2010) | |||
| 2010-04-16 | 8 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Gerald J. McMahon dated 4/15/2010 re: This letter is to request that the IPTC be adjourned to any date in June other than 6/8, 6/16 or 6/24. ENDORSEMENT: Application respectfully denied. Conference to proceed as scheduled. SO ORDERED. (Signed by Judge Richard M. Berman on 4/16/2010) (tve) (Entered: 04/16/2010) | |||
| 2010-04-19 | 9 | 0 | NOTICE OF APPEARANCE by Gerald Joseph McMahon on behalf of Vincent L. Verdiramo (McMahon, Gerald) (Entered: 04/19/2010) | |||
| 2010-04-30 | 10 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Gregory Bartko dated 4/29/2010 re: My firm is located in Atlanta, Georgia and I am requesting permission from the Court to participate in the May 4, 2010 initial pre-trial conference by teleconference call as opposed to my live appearance. ENDORSEMENT: Counsel may appear telephonically and is directed to call chambers 5 minutes prior to the conference. SO ORDERED. (Signed by Judge Richard M. Berman on 4/30/2010) (jmi) (Entered: 04/30/2010) | |||
| 2010-05-04 | 11 | 0 | LETTER addressed to Judge Richard M. Berman from Edward Meyer, Jr. dated 4/28/10 re: I will not be able to retain an attorney until the end of May, due to financial reasons. I have not been able to fill out my paperwork because I do not understand it; I will be appearing for the pre-trial conference set for May 4, 2010. Document filed by Edward Meyer.(mro) (Entered: 05/04/2010) | |||
| 2010-05-04 | 12 | 0 | CASE MANAGEMENT PLAN: Amended Pleadings due by 6/29/2010. Joinder of Parties due by 6/29/2010. Discovery due by 11/5/2010 (Fact and Expert). Status Conference set for 11/8/2010 at 09:00 AM before Judge Richard M. Berman with principals on going with Defendants Meyer and Chen. SO ORDERED (Signed by Judge Richard M. Berman on 5/4/2010) (jmi) (Entered: 05/04/2010) | |||
| 2010-05-24 | 13 | 0 | RULE 26 DISCLOSURE.Document filed by Richard Verdiramo.(Batista, Paul) (Entered: 05/24/2010) | |||
| 2010-05-24 | 14 | 0 | ANSWER to Complaint. Document filed by Richard Verdiramo.(Batista, Paul) (Entered: 05/24/2010) | |||
| 2010-05-25 | 15 | 0 | MOTION for Gregory Barko to Appear Pro Hac Vice. Document filed by Victoria Chen.(mro) (Entered: 05/27/2010) | 2010-05-28 13:17:03 | 48ce01ebb6020c429309740ebede4fa6b433953f | |
| 2010-06-02 | 16 | 0 | ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 15 Motion for Gregory Barko to Appear Pro Hac Vice. (Signed by Judge Richard M. Berman on 6/1/2010) (jfe) (Entered: 06/02/2010) | |||
| 2010-06-04 | 17 | 0 | ANSWER to Complaint. Document filed by Vincent L. Verdiramo.(McMahon, Gerald) (Entered: 06/04/2010) | |||
| 2010-06-04 | 18 | 0 | RULE 26 DISCLOSURE.Document filed by Vincent L. Verdiramo.(McMahon, Gerald) (Entered: 06/04/2010) | |||
| 2010-06-07 | 19 | 0 | ANSWER to Complaint. Document filed by Victoria Chen.(Bartko, Gregory) (Entered: 06/07/2010) | |||
| 2010-07-20 | 20 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Gregory Bartko dated 7/14/10 re: It is my belief that settlement is more likely to be achieved if the Court was to assign this matter to a Magistrate Judge for purposes of convening a "status conference." ENDORSEMENT: The parties are directed to raise the possibility of settlement with Magistrate Judge Peck, to whom this matter has been referred for general pretrial purposes. So ordered. (Signed by Judge Richard M. Berman on 7/20/10) (rjm) (Entered: 07/20/2010) | |||
| 2010-07-20 | 21 | 0 | ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Andrew J. Peck. (Signed by Judge Richard M. Berman on 7/20/10) (rjm) (Entered: 07/20/2010) | |||
| 2010-07-27 | 22 | 0 | ORDER SCHEDULING STATUS CONFERENCE Status Conference set for 8/13/2010 at 02:00 PM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck. (Signed by Magistrate Judge Andrew J. Peck on 7/27/10) (cd) (Entered: 07/27/2010) | |||
| 2010-08-13 | 23 | 0 | ORDER DECLARING CASE ELIGIBLE OR INELIGIBLE FOR MEDIATION..the above-entitled action is eligible for mediation, pursuant to the Civil Justice Expense and Delay Reduction Plan. This action is eligible for mediation subject to the limitations and restrictions as noted: ALL ISSUES ARE ELIGIBLE. (Signed by Magistrate Judge Andrew J. Peck on 8/13/10) Copies Faxed & ECF By Chambers. (pl) (Entered: 08/13/2010) | |||
| 2010-08-17 | 24 | 0 | NOTICE OF CHANGE OF ADDRESS by Gregory Bartko on behalf of Victoria Chen. New Address: LAW OFFICE OF GREGORY BARTKO, LLC, 3399 Peachtree Road, Suite 400, Atlanta, Georgia, United States 30326, 404-238-0550. (Bartko, Gregory) (Entered: 08/17/2010) | |||
| 2010-08-18 | 25 | 0 | NOTICE SELECTING MEDIATOR - Notice of selection of mediator.(sc) (Entered: 08/18/2010) | |||
| 2010-08-31 | 26 | 0 | ADMINISTRATIVE ORDER: Status Conference set for 9/9/2010 at 09:00 AM before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 8/31/2010) (jpo) (Entered: 08/31/2010) | |||
| 2010-09-07 | 27 | 0 | ADMINISTRATIVE ORDER. The status conference scheduled for September 9, 2010 is hereby adjourned to September 14, 2010 at 3:15 p.m. to allow defendant Victoria Chan and her counsel to appear in person. (Signed by Judge Richard M. Berman on 9/7/10) (djc) (Entered: 09/08/2010) | |||
| 2010-09-28 | 28 | 0 | MOTION for Beth Collier Groves to Appear Pro Hac Vice. Document filed by United States Securities and Exchange Commission.(mro) (Entered: 09/30/2010) | |||
| 2010-10-01 | 29 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 10/1/10 re: Counsel for defendant Richard Verdiramo and his father, defendant Vincent Verdiramo respectfully request that the Court extend the discovery cutoff date to January 31, 2011. ENDORSEMENT: Discovery cutoff extended to 12/23/10. (Signed by Magistrate Judge Andrew J. Peck on 10/1/10) Copies Faxed By Chambers. (pl) (Entered: 10/01/2010) | |||
| 2010-10-04 | 30 | 0 | ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 28 Motion for Beth Collier Groves to Appear Pro Hac Vice on behalf of United States Securities and Exchange Commission. ENDORSEMENT: Counsel is directed to forward the pro hac vice fee to the Clerk of Court. (Signed by Judge Richard M. Berman on 10/4/10) (djc) (Entered: 10/04/2010) | |||
| 2010-10-04 | 31 | 0 | TRANSCRIPT of proceedings held on 9/14/2010 before Judge Richard M. Berman. (jn) (Entered: 10/05/2010) | |||
| 2010-10-04 | 32 | 0 | ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION; Beth Collier Groves is admitted to practice pro hac vice for the United States Securities and Exchange Commission in the above-captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Richard M. Berman on 10/4/10) (djc) (Entered: 10/06/2010) | |||
| 2010-10-14 | 33 | 0 | NOTICE OF APPEARANCE by Paul Amandio Batista on behalf of Vincent L. Verdiramo (Batista, Paul) (Entered: 10/14/2010) | |||
| 2010-10-27 | 34 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Gregory Bartko dated 10/27/2010 re: Requesting a protective order from the Court which prohibits the taking of Ms. Chen's deposition in this case as now scheduled for October 29, 2010. ENDORSEMENT: Ms. Chen's deposition is re-scheduled for November 30 in NYC. It will not be adjourned absent proof by affidavits from Ms. Chen's doctors that she is unable to be deposed at that time. Failure to appear on November 30 will lead to sanctions inc. possibly a default judgment against Ms. Chen. (Signed by Magistrate Judge Andrew J. Peck on 10/27/2010) Copies Sent By Chambers. (jpo) (Entered: 10/27/2010) | |||
| 2010-10-29 | 35 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Dean M. Conway dated 10/27/2010 re: Requesting a pre-motion conference regarding its anticipated motion for partial judgment. ENDORSEMENT: Defendants to respond by 11/12/2010. A pre-motion conference is scheduled for 11/15/2010 at 10:30 am. (Signed by Judge Richard M. Berman on 10/29/2010) (jpo) (Entered: 10/29/2010) | |||
| 2010-11-10 | 36 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Dean M. Conway dated 11/10/2010 re: Requesting that the Court move-up the November 22, 2010 Status Conference to address the issues described in this letter. ENDORSEMENT: As to item "First," the Verdiramos are to provide verifications by 11/7. As to item "Second," the responses are due by 11/17. Failure to comply as to #1-2 will result in sanctions. As to Ms. Hogan, if she is a non-party, the SEC must move by Order to Show Cause if Ms. Hogan does not appear for her deposition. Or she can be asked to vol. Appear at the 11/22 court conference. (Signed by Magistrate Judge Andrew J. Peck on 11/10/2010) Copies Mailed By Chambers. (jpo) (Entered: 11/10/2010) | |||
| 2010-11-10 | 37 | 0 | ENDORSED LETTER addressed to Judge Andrew J. Peck from Paul Batista dated 11/10/2010, re: I represent defendants Richard Verdiramo and Vincent Verdiramo in the above-entitled litigation. To the extent the Court wishes to proceed on November 22, I have a conflict with a federal criminal case. I am scheduled to appear before Judge Irizarry for a status conference at 11:00 a.m. on November 22 in the United States v. Nicolois, 10 CR 600 (DLI). I request a time on or after 3:00 p.m. ENDORSEMENT: If all counsel wish to move the 11/22 conf., let me know. Otherwise, my conf. Date was scheduled long and I see no reason to move it. (Signed by Magistrate Judge Andrew J. Peck on 11/10/2010) Copies Sent By Chambers. (lnl) (Entered: 11/10/2010) | |||
| 2010-11-16 | 38 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 11/16/10 re: Request to adjourn the 11/22/10 status conference from 9:30 to 2:00 pm. ENDORSEMENT: Approved. (Status Conference reset for 11/22/2010 at 02:00 PM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 11/16/10) (cd) (Entered: 11/16/2010) | |||
| 2010-11-17 | 39 | 0 | ANSWER to Complaint. Document filed by Edward Meyer.(mro) (Entered: 11/22/2010) | |||
| 2010-11-22 | 40 | 0 | ORDER: The SEC has called the Court's attention to the fact that Gregory Bartko, counsel for defendant Victoria Chen, has been convicted of felonies and suspended from practicing law in the U.S. District Court for the Eastern District of North Carolina (see enclosed). Accordingly, his pro hac vice status for this case is hereby revoked. Ms. Chen is to promptly advise the Court ofher new representation or that she will be continuing as a pro se defendant. Attorney Gregory Bartko terminated. (Signed by Magistrate Judge Andrew J. Peck on 11/22/10) Copies By ECF. (db) (Entered: 11/22/2010) | |||
| 2010-11-23 | 41 | 0 | ENDORSED LETTER: addressed to Magistrate Judge Andrew J. Peck from Rebeca Lascau dated 11/23/2010 re: A Paralegal for Counsel writes of two purposes of this letter the first is regarding Mr. Bartko's conviction, and the second, regarding Mrs. Chen's rescheduled deposition, on November 30, 2010. Mr. Bartko's bond was revoked, and he is currently in custody in North Carolina. It is for this reason that Mr. Bartko cannot formally withdraw from this case and as Mrs. Chen's representation. In regards to Mrs. Chen's scheduled deposition on November 30, 2010, she has informed me that she is still not stable enough to be disposed, and have affidavits from the doctor. It is requested on the Court's behalf of Mrs. Chen that she be granted adequate time to find new counsel, so that any necessary pleadings may be made on her behalf, regarding her current state, by a competent attorney. ENDORSEMENT: Fax the doctor's affidavit in today or before 10 AM tomorrow. Provide Ms. Chen's contact information to the Court. Mr. Bartko should have informed Ms. Chen and the Court of his legal problems before his trial started. Even if Ms. Chen's deposition is adjourned, all other other deposition in this case will go forward. So Ordered. (Signed by Magistrate Judge Andrew J. Peck on 11/23/2010) Copies by ECF to all Counsel(js) (Entered: 11/24/2010) | |||
| 2010-12-01 | 42 | 0 | TRANSCRIPT of proceedings held on November 22, 2010 before Magistrate Judge Andrew J. Peck. (mro) (Entered: 12/01/2010) | |||
| 2010-12-01 | 43 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Dr. Aaron Van Gaver dated 11/29/2010 re: To Ms. Chen Deposition. ENDORSEMENT: This letter is late but the Court adjourns Ms. Chen's deposition to a date to be noticed by the SEC late December or early January. If Ms. Chen still is unable to be deposed, a default judgment or other sanction may be imposed. SO ORDERED. As Per Chambers. (Signed by Magistrate Judge Andrew J. Peck on 12/1/2010) (jmi) (Entered: 12/03/2010) | |||
| 2010-12-10 | 44 | 0 | TRANSCRIPT of proceedings (Teleconference) held on 11/23/2010 before Judge Richard M. Berman. (ab) (Entered: 12/10/2010) | |||
| 2010-12-23 | 45 | 0 | MOTION for Partial Summary Judgment. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Conway, Dean) (Entered: 12/23/2010) | |||
| 2010-12-23 | 46 | 0 | MEMORANDUM OF LAW in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/23/2010) | |||
| 2010-12-23 | 47 | 0 | RULE 56.1 STATEMENT. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/23/2010) | |||
| 2010-12-23 | 48 | 0 | NOTICE of To Pro Se Litigant Who Opposes A Motion For Summary Judgment re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/23/2010) | |||
| 2010-12-23 | 49 | 0 | DECLARATION of Dean M. Conway in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Complaint, # 2 Exhibit R. Verdiramo Answer, # 3 Exhibit V. Verdiramo Answer, # 4 Exhibit E. Meyer Answer, # 5 Exhibit V. Chen Answer, # 6 Exhibit R. Verdiramo Admissions, # 7 Exhibit Jersey Transfer Records April 4, 2005, # 8 Exhibit Jersey Transfer Records May 26, 2005, # 9 Exhibit Jersey Transfer Records July 19, 2005, # 10 Exhibit Jersey Transfer Records July 25, 2005, # 11 Exhibit First Attestation of Larry Mills, # 12 Exhibit Second Attestation of Larry Mills, # 13 Exhibit Bank Records Verdiramo & Verdiramo PA, # 14 Exhibit Illuminate Brokerage Records, # 15 Exhibit Xcel Brokerage Records from D. Weckstein, # 16 Exhibit Meyer Brokerage Records from D. Weckstein, # 17 Exhibit EXCEL Brokerage Records from Alpine Securities Part 1, # 18 Exhibit EXCEL Brokerage Records from Alpine Securities Part 2, # 19 Exhibit EXCEL Brokerage Records from Alpine Securities Part 3, # 20 Exhibit Meyer Brokerage Records from Alpine Securities Part 1, # 21 Exhibit Meyer Brokerage Records from Alpine Securities Part 2, # 22 Exhibit Greenwood Capital Brokerage Records from Alpine Securities Part 1, # 23 Exhibit Greenwood Capital Brokerage Records from Alpine Securities Part 2, # 24 Exhibit Jersey Tranfer Records for RECOV April 8, 2005, # 25 Exhibit RECOV Form 10K-KSB for Fiscal Year Ended March 31, 2005, # 26 Exhibit Third Attestation of Larry Mills, # 27 Exhibit Fourth Attestation of Larry Mills, # 28 Exhibit Prejudgment Interest Calculation for V. Chen, # 29 Exhibit Prejudgment Interest Calculation for E. Meyer, # 30 Exhibit Prejudgment Interest Calculation for R. Verdiramo, # 31 Exhibit Prejudgment Interest Calculation for V. Verdiramo)(Conway, Dean) (Entered: 12/23/2010) | |||
| 2010-12-23 | 50 | 0 | NOTICE of Designation. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 12/23/2010) | |||
| 2011-01-04 | 51 | 0 | TRANSCRIPT of proceedings held on 12/14/2010 before Magistrate Judge Andrew J. Peck. (dnd) (Entered: 01/06/2011) | |||
| 2011-01-10 | 52 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Victoria Chen dated 1/6/11 re: I respectfully request more time to be able to be gain proper representation so I can be deposed and continue to defend myself in these matters. ENDORSEMENT: Fact discovery closed in December and expert discovery closes 1/28. If Ms. Chen is unable to participate in discovery, as the Court previously warned her, the Court has no choice but to strike her answer and allow the SEC to proceed for a default judgment as to damages and/or penalties. Ms. Chen has 14 days to file objections to this Order with Judge Berman. (Signed by Magistrate Judge Andrew J. Peck on 1/10/11) Copies Faxed By Chambers. (db) (Entered: 01/10/2011) | |||
| 2011-01-10 | 53 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Victoria Chen dated 1/6/11 re: Defendant advises that she was unable to attend the deposition that was required on January 7th. She requests more time to be able to gain proper representation so she can be deposed and continue to defend herself in this matter. ENDORSEMENT: Fact discovery closed in December and expert discovery closes 1/28. If Ms. Chen is unable to participate in discovery, as the Court previously warned her, the Court has no choice but to strike her answer and allow the SEC to proceed for a default judgment as to damages and/or penalties. Ms. Chen has 14 days to file objections to this Order with Judge Berman. Copies to: Victoria Chen and Edward Mayer via Email; All counsel via ECF, Judge Richard M. Berman. (Signed by Magistrate Judge Andrew J. Peck on 1/10/11) (mro) (Entered: 01/13/2011) | |||
| 2011-01-19 | 54 | 0 | TRANSCRIPT of proceedings held on 1/6/2011 before Judge Richard M. Berman. (ja) (Entered: 01/21/2011) | |||
| 2011-01-28 | 55 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 1/28/2011 re: Counsel request that Your Honor adjourn the conference to a date on or after 2/15/11. ENDORSEMENT: Application granted. The status conference on 2/3/11 is adjourned to 2/24/11 at 9:00 a.m. So Ordered. (Signed by Judge Richard M. Berman on 1/28/2011) (jfe) (Entered: 01/28/2011) | |||
| 2011-01-31 | 56 | 0 | STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED by and between the undersigned that the time of defendants Richard Verdiramo and Vincent Verdiramo to serve and file opposition papers with respect to plaintiff's motion for partial summary judgment is extended from February 3, 2011 to February 28, 2011. IT IS FURTHER STIPULATED AND AGREED that plaintiff's time to serve and file reply papers is extended to March 16, 2011. IT IS FURTHER STIPULATED AND AGREED that the extensions set forth in this Stipulation and Order apply to pro se and defendants Victoria Chen and Edward Meyer as well. Set Deadlines as to 45 MOTION for Partial Summary Judgment: Responses due by 2/28/2011. Replies due by 3/16/2011. (Signed by Judge Richard M. Berman on 1/31/2011) (lnl) (Entered: 02/01/2011) | |||
| 2011-02-08 | 58 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Dean M. Conway dated February 8, 2011 re: In light of the Ms. Chen's refusal to participate in this suit, the SEC respectfully asks that the Court permit it to file a Motion for Default Judgment against her. ENDORSEMENT: APPLICATION GRANTED. SO ORDERED. (Signed by Judge Richard M. Berman on 2/8/2011) (jmi) (Entered: 02/09/2011) | |||
| 2011-02-16 | 59 | 0 | Letter addressed to Honorable Judge Berman from Edward Meyer dated February 16, 2011 re: Court Appearance. Document filed by Edward Meyer.(jnm) (Entered: 02/16/2011) | |||
| 2011-02-16 | 60 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 2/16/2011 re: Counsel request a brief extension of 2 schedules: Counsel request that the cut-off date for expert discovery be extended to 3/15/11. Counsel request an extension for partial summary judgment to 3/28/11, reply papers by 4/12/11. ENDORSEMENT: Application granted. So Ordered. (Signed by Judge Richard M. Berman on 2/16/2011) (jfe) (Entered: 02/16/2011) | |||
| 2011-02-16 | 61 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Edward Meyer, Jr. re: Edward Meyer, Jr. requests that he be able to call in by telephone for the conference scheduled for 2/24/11, due to illness. ENDORSEMENT: Application granted provided that Defendant submit a doctor's note to the Court. (Signed by Judge Richard M. Berman on 2/16/2011) (tro) (Entered: 02/17/2011) | |||
| 2011-02-24 | 62 | 0 | Letter addressed to Judge Berman from Vinod K. Aggarwal dated February 22, 2011 re: Mr. Meyers under Medical Care. Document filed by Edward Meyer.(jnm) (Entered: 03/02/2011) | |||
| 2011-03-09 | 63 | 0 | TRANSCRIPT of proceedings held on 2/24/2011 before Judge Richard M. Berman. (ab) (Entered: 03/09/2011) | |||
| 2011-03-22 | 64 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 3/22/11 re: counsel for defendants request an extension to April 12, 2011 of my clients' time to serve and file papers in opposition to the motion of the SEC for partial summary judgment. ENDORSEMENT: Application granted. Final extension. ( Responses due by 4/12/2011) (Signed by Judge Richard M. Berman on 3/22/11) (pl) (Entered: 03/22/2011) | |||
| 2011-03-24 | 65 | 0 | Letter addressed to Judge Richard M. Berman from Edward Meyer dated March 21, 2011 re: Settlement. Document filed by Edward Meyer.(jnm) (Entered: 03/24/2011) | |||
| 2011-03-25 | 66 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Edward Meyer, dated 3/21/2011, re: The staff of the SEC and I have reached an agreement to settle the litigation against me which is subject to the approval of the full Commission. Mr. Conway, on behalf of the staff, and I request that you postpone the pending summary judgment motion against me. My papers in opposition are due March 28, 2011. We have agreed that if the Commission does not approve of the settlement, then I will have a reasonable time - two to three weeks after, to file my papers in opposition to the summary judgment motion against me. ENDORSEMENT: Application respectfully denied. SO ORDERED. (Signed by Judge Richard M. Berman on 3/25/2011) (lnl) (Entered: 03/25/2011) | |||
| 2011-04-11 | 67 | 0 | DECLARATION of Vincent L. Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Batista, Paul) (Entered: 04/11/2011) | |||
| 2011-04-12 | 68 | 0 | COUNTER STATEMENT TO 47 Rule 56.1 Statement. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 04/12/2011) | |||
| 2011-04-12 | 69 | 0 | DECLARATION of Richard Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Richard Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Batista, Paul) (Entered: 04/12/2011) | |||
| 2011-04-12 | 70 | 0 | MEMORANDUM OF LAW in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 04/12/2011) | |||
| 2011-04-14 | 71 | 0 | Letter addressed to Honorable Judge Richard M. Berman from Edward Meyer dated April 8, 2011 re: Partial Summary Judgment. Document filed by Edward Meyer.(jnm) (Entered: 04/14/2011) | |||
| 2011-04-22 | 72 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Dean M. Conway, dated 4/21/2011, re: We write to respectfully request a brief extension of approximately two weeks, to Monday May 16, 2011, for the SEC's reply papers for the SEC's motion for partial summary judgment against the defendants. By letter from Paul Batista, Esq. to Your Honor, dated March 22, 2011 and memo endorsed (Dkt. 64 ), the SEC's papers are currently due on April 30, 2011, which is a Saturday (presumably resulting in the papers due the following Monday). The extension is necessary because of work on other cases needed to be done during this time, and to respond adequately on the law and arguments in the brief and various declarations submitted by defendants. ENDORSEMENT: Plaintiff to file its reply on or before 5/9/11. The reply brief shall not exceed 12 pages. SO ORDERED. Set Deadline as to 45 MOTION for Partial Summary Judgment: Replies due by 5/9/2011. (Signed by Judge Richard M. Berman on 4/22/2011) (lnl) (Entered: 04/22/2011) | |||
| 2011-05-09 | 73 | 0 | SETTLEMENT AGREEMENT Consent of Edward Meyer, Jr.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Proposed Final Judgment as to Edward Meyer, Jr)(Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-09 | 74 | 0 | REPLY MEMORANDUM OF LAW in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order V. Verdiramo and R. Verdiramo, # 2 Text of Proposed Order V. Chen)(Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-09 | 75 | 0 | REPLY AFFIDAVIT of Dean M. Conway in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Transcript of 2/14/11 Court Conference, # 2 Exhibit Rule 144 2005 Edition, # 3 Exhibit PJI Report Chen Revised, # 4 Exhibit PJI Report V. Verdiramo Revised, # 5 Exhibit Xcel Supplemental Brokerage Records September 2005, # 6 Exhibit Xcel Supplemental Brokerage Records November 2005, # 7 Exhibit PJI Reort for E. Meyer based on total gross proceeds)(Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-09 | 76 | 0 | NOTICE of Notice of Motion in Limine to Exclude the Expert Report and Testimony of Defendants' Expert Robert D. Axelrod. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-09 | 77 | 0 | MOTION in Limine to Strike Expert Report and Testimony of Robert D. Axel Rod. Document filed by United States Securities and Exchange Commission.(Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-09 | 78 | 0 | MEMORANDUM OF LAW in Support re: 77 MOTION in Limine to Strike Expert Report and Testimony of Robert D. Axel Rod.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Axelrod Expert Report)(Conway, Dean) (Entered: 05/09/2011) | |||
| 2011-05-11 | 79 | 0 | ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute. Referred to Magistrate Judge Andrew J. Peck. Motions referred to Andrew J. Peck. (Signed by Judge Richard M. Berman on 5/11/11) (jmi) (Entered: 05/11/2011) | |||
| 2011-05-11 | 80 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 5/10/2011 re: requesting a pre-motion conference regarding defendants' projected motion for orders sanctioning what appears to be a massive and extremely disturbing discovery default by the SEC. ENDORSEMENT: Defendants are directed to take this issue up with United States Magistrate Judge Peck, to whom this matter has been referred. (Signed by Judge Richard M. Berman on 5/11/2011) (jar) (Entered: 05/11/2011) | |||
| 2011-05-11 | 81 | 0 | ENDORSED LETTER (denying 77 Motion in Limine) addressed to Judge Richard M. Berman from Paul Batista dated 5/10/2011 re: request that Your Honor strike a motion in limine filed 5/9/2011 by plainitff SEC. ENDORSEMENT: The SEC's motion in limine (#77) is denied for failure to comply with the Court's individual rules. More importantly, any such motion should have been filed with the underlying papers. (Signed by Judge Richard M. Berman on 5/11/2011) (jar) Modified on 5/11/2011 (jar). Modified on 5/12/2011 (jar). (Entered: 05/11/2011) | |||
| 2011-05-16 | 82 | 0 | ORDER, that counsel shall appear for a conference before me on May 19, 2011 at 2:00p.m. to discuss the discovery sanction issues raised in Mr. Batista's May 10, 2011 letter and Mr. Conway's May 12, 2011 letter. Mr. Meyer and Ms. Chen can appear telephonically (by calling 212-805-0036) or, if they are not involved in this issue, need not appear. ( Status Conference set for 5/19/2011 at 02:00 PM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 5/16/11) Copies Sent By Chambers. (pl) (Entered: 05/16/2011) | |||
| 2011-05-18 | 83 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 5/18/11 re: Mr. Conway and I request that the conference scheduled for tomorrow (May 19, 2011) at 2:00 p.m. be adjourned for a period of at least two weeks. ENDORSEMENT: The 5/19 conf. is adjourned at the parties' request to 6/7 at 10 AM (Mr. Batista is to send this order to the pro se defendants). So ordered. (Status Conference set for 6/7/2011 at 10:00 AM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 5/18/11) Copies Sent By Chambers via Fax & ECF. (rjm) (Entered: 05/18/2011) | |||
| 2011-06-02 | 84 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 6/1/11 re: Request to adjourn the 6/6/11 conference. ENDORSEMENT: Conf. adjourned at parties' request to 7/6 at 11 am. Further adjournments are unlikely. (Status Conference reset for 7/6/2011 at 11:00 AM before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 6/1/11) Copies Sent By By ECF Chambers. (cd) (Entered: 06/02/2011) | |||
| 2011-06-27 | 85 | 0 | FINAL JUDGMENT #11,1228 in favor of United States Securities and Exchange Commission against Edward Meyer Jr. in the amount of $ 124,050.00. (Signed by Judge Richard M. Berman on 6/27/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml) (Entered: 06/27/2011) | |||
| 2011-06-29 | 86 | 0 | FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION for Conference Letter motion regarding conference. Document filed by Richard Verdiramo, Vincent L. Verdiramo.(Batista, Paul) Modified on 6/29/2011 (db). (Entered: 06/29/2011) | |||
| 2011-07-20 | 87 | 0 | MOTION to Dismiss. Document filed by Richard Verdiramo, Vincent L. Verdiramo.(Batista, Paul) (Entered: 07/20/2011) | |||
| 2011-07-20 | 88 | 0 | DECLARATION of Richard Verdiramo in Support re: 87 MOTION to Dismiss.. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Batista, Paul) (Entered: 07/20/2011) | |||
| 2011-07-26 | 89 | 0 | ORDER denying 87 Motion to Dismiss. For the reasons set forth and the reasons discussed at the July 6, 2011 conference, defendants' motion (Dkt. No. 87) is DENIED with prejudice. (Signed by Magistrate Judge Andrew J. Peck on 7/26/2011) (ft) (Entered: 07/26/2011) | |||
| 2011-08-08 | 90 | 0 | OPPOSITION BRIEF re: 89 Order on Motion to Dismiss. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Batista, Paul) (Entered: 08/08/2011) | |||
| 2011-08-09 | 91 | 0 | MEMO ENDORSEMENT on 90 Opposition Brief filed by Vincent L. Verdiramo and Richard Verdiramo: The SEC to respond by 8/15/2011. (Signed by Judge Richard M. Berman on 8/9/2011) (ab) (Entered: 08/09/2011) | |||
| 2011-08-15 | 92 | 0 | TRANSCRIPT of Proceedings re: Conference held on 7/6/2011 before Magistrate Judge Andrew J. Peck. Court Reporter/Transcriber: Joseph Quinones, (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 9/8/2011. Redacted Transcript Deadline set for 9/19/2011. Release of Transcript Restriction set for 11/17/2011.(McGuirk, Kelly) (Entered: 08/15/2011) | |||
| 2011-08-15 | 93 | 0 | NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 7/6/11 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...(McGuirk, Kelly) (Entered: 08/15/2011) | |||
| 2011-08-15 | 94 | 0 | MEMORANDUM OF LAW in Opposition re: 90 Opposition Brief. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Transcript from July 1, 2011 Conference, # 2 Exhibit July 1, 2011 Letter to MJ Peck)(Conway, Dean) (Entered: 08/15/2011) | |||
| 2011-09-09 | 95 | 0 | DECISION & ORDER granting 45 Motion for Partial Summary Judgment. The SEC's motion for partial summary judgment [#45] is granted. This matter is referred to United States Magistrate Judge Andrew J. Peck for further proceedings as to the amounts to be disgorged. The parties shall appear before the Court for a status/pretrial conference on Thursday, September 15, 2011 at 9:30 a.m. in Courtroom 21 B of the United States Courthouse, 500 Pearl Street, New York, New York. (Signed by Judge Richard M. Berman on 9/9/2011) (lmb) (Entered: 09/09/2011) | 2011-09-10 08:52:50 | 42e99d09fab034c6733d2554fde3cc6a2de6a22a | |
| 2011-09-09 | 96 | 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 Inquest After Default/Damages Hearing. Referred to Magistrate Judge Andrew J. Peck. (Signed by Judge Richard M. Berman on 9/9/2011) (lmb) (Entered: 09/09/2011) | |||
| 2011-09-12 | 97 | 0 | ORDER: Judge Berman has referred this matter to me for a determination of the appropriate amount of disgorgement by defendants Vincent Verdiramo, Richard Verdiramo and Victoria Chen. The S.E.C.'s disgorgement papers are due by September 30, 2011. Defendants' opposition papers are due by October 14, 2011. The S.E.C.'s reply papers are due by October 24, 2011. Counsel are reminded to send courtesy copies of all filings to my chambers. (Signed by Magistrate Judge Andrew J. Peck on 9/12/2011) Copies by ECF. (mro) (Entered: 09/12/2011) | |||
| 2011-09-30 | 98 | 0 | SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 45 MOTION for Partial Summary Judgment. of Disgorgement. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 09/30/2011) | |||
| 2011-09-30 | 99 | 0 | DECLARATION of Dean M. Conway in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Verdiramo and Verdiramo Attorney Trust Account records related to the incoming $25,000 wire from Meyers company, Xcel Associates, # 2 Exhibit Exhibit 2 Part 1 Public Entity Acquisition Corporation Bank Account Records, # 3 Exhibit Exhibit 2 Part 2A Public Entity Acquisition Corporation Bank Account Records, # 4 Exhibit Exhibit 2 Part 2B Public Entity Acquisition Corporation Bank Account Records, # 5 Exhibit Exhibit 2 Part 3 Public Entity Acquisition Corporation Bank Account Records, # 6 Exhibit Exhibit 2 Part 4 Public Entity Acquisition Corporation Bank Account Records, # 7 Exhibit Exhibit 2 Part 5 Public Entity Acquisition Corporation Bank Account Records, # 8 Exhibit R. Verdiramo Deposition Transcript Excerpt, # 9 Exhibit R. Verdiramo alternative Prejudgment Interest Calculation)(Conway, Dean) (Entered: 09/30/2011) | |||
| 2011-10-12 | 100 | 0 | FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - FIRST MOTION for Extension of Time to File Papers in Opposition to the SEC's disgorgement motion. Document filed by Richard Verdiramo, Vincent L. Verdiramo.(Batista, Paul) Modified on 10/12/2011 (db). (Entered: 10/12/2011) | |||
| 2011-10-12 | 101 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 10/12/2011 re: counsel for defendants write to request an extension from October 14, 2011 to October 21, 2011, of defendants' time to serve and file papers in opposition to the SEC's disgorgement motion. ENDORSEMENT: Approved. ( Responses due by 10/21/2011) (Signed by Magistrate Judge Andrew J. Peck on 10/12/2011) (pl) Modified on 10/13/2011 (pl). (Entered: 10/13/2011) | |||
| 2011-10-20 | 102 | 0 | FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION for Extension of Time to File. Document filed by Richard Verdiramo.(Batista, Paul) Modified on 10/20/2011 (db). (Entered: 10/20/2011) | |||
| 2011-10-21 | 103 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J Peck from Paul Batista dated 10/20/2011 re: Request to extend time from 10/21 to 10/25/2011 to file opposition papers to the SEC's disgorgement motion. ENDORSEMENT: Approved. ( Response due by 10/25/2011) (Signed by Magistrate Judge Andrew J. Peck on 10/20/2011) (cd) (Entered: 10/21/2011) | |||
| 2011-10-25 | 104 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Richard Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment. Document filed by Richard Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Batista, Paul) Modified on 10/25/2011 (db). (Entered: 10/25/2011) | |||
| 2011-10-25 | 105 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vincent Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment. Document filed by Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Batista, Paul) Modified on 10/25/2011 (db). (Entered: 10/25/2011) | |||
| 2011-10-25 | 106 | 0 | MEMORANDUM OF LAW in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 10/25/2011) | |||
| 2011-10-26 | 107 | 0 | DECLARATION of Richard Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Richard Verdiramo. (Batista, Paul) (Entered: 10/26/2011) | |||
| 2011-10-26 | 108 | 0 | DECLARATION of Vincent Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Vincent L. Verdiramo. (Batista, Paul) (Entered: 10/26/2011) | |||
| 2011-10-26 | 109 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Richard Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment. Document filed by Richard Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Batista, Paul) Modified on 10/27/2011 (db). (Entered: 10/26/2011) | |||
| 2011-10-26 | 110 | 0 | FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vincent Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment. Document filed by Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Batista, Paul) Modified on 10/27/2011 (db). (Entered: 10/26/2011) | |||
| 2011-10-27 | 111 | 0 | DECLARATION of Richard Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Richard Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Batista, Paul) (Entered: 10/27/2011) | |||
| 2011-10-27 | 112 | 0 | DECLARATION of Vincent L. Verdiramo in Opposition re: 45 MOTION for Partial Summary Judgment.. Document filed by Vincent L. Verdiramo. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Batista, Paul) (Entered: 10/27/2011) | |||
| 2011-10-28 | 113 | 0 | NOTICE of Motion for Leave to Withdraw as Attorney. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 10/28/2011) | |||
| 2011-10-28 | 114 | 0 | MOTION to Withdraw as Attorney. Document filed by Richard Verdiramo, Vincent L. Verdiramo.(Batista, Paul) (Entered: 10/28/2011) | |||
| 2011-10-28 | 115 | 0 | DECLARATION of Paul Batista in Support re: 114 MOTION to Withdraw as Attorney.. Document filed by Richard Verdiramo, Vincent L. Verdiramo. (Batista, Paul) (Entered: 10/28/2011) | |||
| 2011-10-31 | 116 | 0 | MEMO ENDORSEMENT on 114 Motion to Withdraw. REQUEST DENIED at this time. The Disgorgement Motion is fully briefed by defendants, although the SEC Reply Brief remains. Mr. Batista can renew his motion after I rule re disgorgement. (Signed by Magistrate Judge Andrew J. Peck on 10/28/2011) (ft) (Entered: 10/31/2011) | |||
| 2011-10-31 | 117 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Paul Batista dated 10/31/2011 re: Counsel for the defendant writes in response to the Court's Order denying their motion for leave. ENDORSEMENT: Request DENIED without prejudice. To the extent relief is requested with respect to the trial and PTO requirements, application should be made directly to Judge Berman. (Signed by Magistrate Judge Andrew J. Peck on 10/31/2011) (ft) (Entered: 10/31/2011) | |||
| 2011-10-31 | 118 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 10/28/2011 re: Both Mr. Conway and I respectfully request that the Court conduct a status conference on Monday, October 31, or Tuesday, November 1, preferably by telephone since Mr. Conway is in Washington. The purpose of the conference would be to discuss the treatment of various deadlines connected with the preparation of materials prior to the trial of the fraud issues currently scheduled for December 13, 2011. ENDORSEMENT: A status conference is scheduled for 11/8/11 at 10:30 a.m. The deadline for the parties' pre-trial submissions are held in abeyance. (Status Conference set for 11/8/2011 at 10:30 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 10/31/2011) (djc) (Entered: 10/31/2011) | |||
| 2011-11-01 | 119 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Paul Batista dated 10/31/2011 re: Counsel for the Defendants writes to request that the Court stay proceedings in this action, except for the disgorgement issue, for a period of 60 days. ENDORSEMENT: We will discuss this issue at the status conference on 11/8/2011. (Signed by Judge Richard M. Berman on 11/1/2011) (ab) (Entered: 11/01/2011) | |||
| 2011-11-01 | 120 | 0 | SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 11/01/2011) | |||
| 2011-11-04 | 121 | 0 | DECLARATION of Dean M. Conway in Support re: 45 MOTION for Partial Summary Judgment.. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit Updated PJI Calculation for Victoria Chen through 10/31/11, # 2 Exhibit Updated PJI Calculation for Vincent Verdiramo through 10/31/11, # 3 Exhibit Updated PJI Calculation for Edward Meyer, Jr. Total Gross Proceeds through 10/31/11)(Conway, Dean) (Entered: 11/04/2011) | |||
| 2011-11-10 | 122 | 0 | REPORT AND RECOMMENDATION: For the reasons stated above, the Court should order (1) Victoria Chen to disgorge $40,284 and pay $16,453 in prejudgment interest; (2) Vincent Verdiramo to disgorge $42,938 and pay $15,827 in prejudgment interest; and (3) Richard Verdiramo to be jointly and severally liable with Chen, Meyer and Vincent Verdiramo for $307,769 in disgorgement and $120,356 in prejudgment interest. Objections to R&R due by 11/28/2011 (Signed by Magistrate Judge Andrew J. Peck on 11/10/2011) (djc) (Entered: 11/10/2011) | |||
| 2011-11-14 | 123 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Jerome H. Mooney dated 11/10/2011 re: Counsel writes to request a status conference. ENDORSEMENT: The Status conference on 11/21/11 is adjourned to 12/19/11 at 10:30 a.m. Counsel is directed to appear in person. ( Status Conference set for 12/19/2011 at 10:30 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 11/10/2011) (jfe) (Entered: 11/14/2011) | |||
| 2011-12-07 | 124 | 0 | MOTION for Jerome H. Mooney to Appear Pro Hac Vice. Document filed by Richard Verdiramo, Vincent L. Verdiramo.(bwa) (Entered: 12/09/2011) | |||
| 2011-12-12 | 125 | 0 | ORDER FOR ADMISSION PRO HAC VICE: granting 124 Motion for Jerome H. Mooney to Appear Pro Hac Vice to appear for all purposes as counsel for Vincent L. Verdirarno and Richard Verdirarno in the above- entitled action. IT IS HEREBY ORDERED that 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. Additional relief as set forth in this Order. (Signed by Magistrate Judge Andrew J. Peck on 12/12/2011) (pl) Modified on 12/12/2011 (pl). (Entered: 12/12/2011) | |||
| 2011-12-14 | 126 | 0 | TRANSCRIPT of Proceedings re: Conference held on 11/8/2011 before Judge Richard M. Berman. Court Reporter/Transcriber: Thomas Murray, (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 1/9/2012. Redacted Transcript Deadline set for 1/20/2012. Release of Transcript Restriction set for 3/16/2012.(McGuirk, Kelly) (Entered: 12/14/2011) | |||
| 2011-12-14 | 127 | 0 | NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/8/11 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...(McGuirk, Kelly) (Entered: 12/14/2011) | |||
| 2011-12-13 | 128 | 0 | Letter addressed to Judge Richard M. Berman from Jerome H. Mooney dated 11/17/2011 re: Counsel request that the time for filing an objection to Magistrate Judge Peck's report and recommendation dated 11/10/11 be stayed until the hearing on 12/19/11.(jfe) (Entered: 12/14/2011) | |||
| 2011-12-20 | 129 | 0 | SETTLEMENT AGREEMENT Consent of Defendant Richard Verdiramo. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Conway, Dean) (Entered: 12/20/2011) | |||
| 2011-12-20 | 130 | 0 | SETTLEMENT AGREEMENT Consent of Defendant Vincent L. Verdiramo. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Conway, Dean) (Entered: 12/20/2011) | |||
| 2011-12-21 | 131 | 0 | JUDGMENT AS TO DEFENDANT RICHARD VERDIRAMO in favor of United States Securities and Exchange Commission against Richard Verdiramo. (Signed by Judge Richard M. Berman on 12/21/2011) (jnm) (Entered: 12/21/2011) | |||
| 2011-12-21 | 132 | 0 | JUDGMENT AS TO DEFENDANT VINCENT L. VERDIRAMO in favor of United States Securities and Exchange Commission against Vincent L. Verdiramo. (Signed by Judge Richard M. Berman on 12/21/2011) (jnm) (Entered: 12/21/2011) | |||
| 2012-01-13 | 133 | 0 | ORDER: The Report is adopted in its entirety. Victoria Chen is ordered to disgorge $40,284 and to pay $16,453 in prejudgment interest, Vincent Verdiramo is ordered to disgorge $42,938 and to pay $15,827 in prejudgment interest, and Richard Verdiramo is jointly and severally liable with Chen, Meyer, and Vincent Verdiramo for $307,769 in disgorgement and $120,356 in prejudgment interest. The SEC is directed to submit a proposed judgment in accordance with this Order. (Signed by Judge Richard M. Berman on 1/13/2012) (rdz) (Entered: 01/13/2012) | |||
| 2012-01-18 | 134 | 0 | JUDGMENT #12,0056 in favor of United States Securities and Exchange Commission against Victoria Chen in the amount of $ 56,737.00; in favor of United States Securities and Exchange Commission against Vincent L. Verdiramo in the amount of $ 58,765.00; in favor of United States Securities and Exchange Commission against Richard Verdiramo in the amount of $ 428,125.00. (Signed by Judge Richard M. Berman on 1/17/2012) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 01/18/2012) | 2012-01-19 12:00:34 | 208efce5d6f5ce52d726582fba9ea3fdc1133e3e | |
| 2012-05-29 | 135 | 0 | ADMINISTRATIVE ORDER. The status conference scheduled for Tuesday, May 29, 2012 is adjourned to Monday, June 4, 2012 at 2:30 p.m. (Status Conference set for 6/4/2012 at 02:30 PM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 5/29/2012) (rjm) (Entered: 05/29/2012) | |||
| 2012-10-01 | 136 | 0 | MOTION for Order to Show Cause Why Victoria Chen Should Not be Ordered to Pay A Civil Money Penalty and Be Subject to A Penny Stock Bar. Document filed by United States Securities and Exchange Commission.(Conway, Dean) (Entered: 10/01/2012) | |||
| 2012-10-01 | 137 | 0 | MEMORANDUM OF LAW in Support re: 136 MOTION for Order to Show Cause Why Victoria Chen Should Not be Ordered to Pay A Civil Money Penalty and Be Subject to A Penny Stock Bar.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 10/01/2012) | |||
| 2012-10-01 | 138 | 0 | CERTIFICATE of Counsel by Dean Michael Conway on behalf of United States Securities and Exchange Commission. Re: 137 Memorandum of Law in Support of Motion, 136 MOTION for Order to Show Cause Why Victoria Chen Should Not be Ordered to Pay A Civil Money Penalty and Be Subject to A Penny Stock Bar.. (Conway, Dean) (Entered: 10/01/2012) | |||
| 2012-10-04 | 139 | 0 | ORDER TO SHOW CAUSE: Defendant Victoria Chen shall show cause as to why she should not be ordered by this Court to pay a civil money penalty and be subject to a permanent penny stock bar. The SEC is also directed to serve a copy of this Order upon Chen fortwith. SO ORDERED. Show Cause Hearing set for 11/15/2012 at 11:30 AM in Courtroom 12D, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 10/04/2012) (ama) (Entered: 10/04/2012) | |||
| 2012-10-23 | 140 | 0 | TRANSCRIPT of Proceedings re: CONFERENCE held on 9/4/2012 before Judge Richard M. Berman. Court Reporter/Transcriber: Eve Giniger, (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 11/16/2012. Redacted Transcript Deadline set for 11/29/2012. Release of Transcript Restriction set for 1/25/2013.(Moya, Goretti) (Entered: 10/23/2012) | |||
| 2012-10-23 | 141 | 0 | NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 9/4/12 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...(Moya, Goretti) (Entered: 10/23/2012) | |||
| 2012-11-27 | 142 | 0 | OPINION & ORDER: #102616 The Court hereby imposes a permanent penny stock bar against Chen and orders a civil monetary penalty, as further set forth in this document. (Signed by Judge Richard M. Berman on 11/27/2012) (cd) Modified on 11/29/2012 (jab). (Entered: 11/27/2012) | 2012-11-28 09:02:42 | 2a2852c60eb51fe250428bd51633fdce705e850b | |
| 2012-11-27 | 143 | 0 | ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Inquest After Default/Damages Hearing, see order, dated 11/27/2012. Referred to Magistrate Judge Andrew J. Peck. (Signed by Judge Richard M. Berman on 11/27/2012) (cd) (Entered: 11/27/2012) | |||
| 2012-11-28 | 144 | 0 | ORDER: The SEC is to provide papers (brief and, if necessary, affidavit) in support of the inquest as to the amount of a civil monetary penalty against defendant Chen, by December 7, 2012. The SEC is to properly serve this Order (and its subsequent submissions) on Chen: (1) by certified mail at her last known address, (2) by email, and (3) by a reasonable alternative method of providing notice to Chen, to be proposed by SEC to the Court by November 30, 2012 for approval. The SEC is to file proof of service. Chen is to respond to the SEC's inquest submissions by December 21, 2012. (Signed by Magistrate Judge Andrew J. Peck on 11/28/2012) (lmb) (Entered: 11/28/2012) | |||
| 2012-11-30 | 145 | 0 | ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Dean M. Conway dated 11/30/2012 re: the SEC writes to propose a third-alternative method for simultaneously serving a copy of the Order and its subsequent papers (that are due on December 7). The SEC proposes that it retain a Canadian process server attempt to personally serve Ms. Chen with the forgoing papers. ENDORSEMENT: The Proposed method of service and simultaneously serving the Order and papers are approved. (Signed by Magistrate Judge Andrew J. Peck on 11/30/2012) (ama) (Entered: 11/30/2012) | |||
| 2012-12-06 | 146 | 0 | SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 136 MOTION for Order to Show Cause Why Victoria Chen Should Not be Ordered to Pay A Civil Money Penalty and Be Subject to A Penny Stock Bar.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/06/2012) | |||
| 2012-12-06 | 147 | 0 | DECLARATION of Beth Collier Groves in Support re: 136 MOTION for Order to Show Cause Why Victoria Chen Should Not be Ordered to Pay A Civil Money Penalty and Be Subject to A Penny Stock Bar.. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/06/2012) | |||
| 2012-12-06 | 148 | 0 | CERTIFICATE OF SERVICE of Supplemental memorandum, Declaration and Order dated 11/28/12 served on Victoria Chen on 12/6/2012. Service was made by Certified Mail, Email and provided to Process Server to attempt personal service. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/06/2012) | |||
| 2012-12-21 | 149 | 0 | AFFIDAVIT OF SERVICE of Unsuccessful Attempt to Personally Serve Order, Memorandum and Declaration served on Victoria Chen on Service Not Accomplished, Unsuccessfully Attempted Personal Service. Document filed by United States Securities and Exchange Commission. (Conway, Dean) (Entered: 12/21/2012) | |||
| 2013-01-07 | 150 | 0 | REPORT AND RECOMMENDATION: For the reasons set forth above, the Court should order Chen to pay a maximum second tier civil monetary penalty of $65,000. Objections to R&R due by 1/25/2013 (Signed by Magistrate Judge Andrew J. Peck on 1/7/2013) Copies Mailed By Chambers and by ECF. (mro) (Entered: 01/07/2013) | |||
| 2013-02-01 | 151 | 0 | ORDER ADOPTING REPORT AND RECOMMENDATIONS for 150 Report and Recommendations: For the reasons stated herein and therein, the Court adopts the Report [#150] in its entirety. The Clerk of the Court is respectfully requested to enter judgment against Chen for a civil monetary penalty in the amount of $65,000. So Ordered (Signed by Judge Richard M. Berman on 2/1/2013) (js) (Entered: 02/01/2013) | 2013-02-02 08:44:48 | 7fcc08945a5f8acda5bf7bb2d52e164c99cb925f | |
| 2013-02-01 | 152 | 0 | CLERK'S JUDGMENT # 13,0224 That for the reasons stated in the Court's Order dated February 1, 2013, the Report is adopted in its entirety, and judgment is hereby entered against Chen for a civil monetary penalty in the amount of $65,000. (Signed by Clerk of Court Ruby Krajick on 2/1/13) (Attachments: # 1 Notice of Right to Appea)(dt) (Entered: 02/01/2013) | |||
| 2013-02-13 | 153 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Jerome H. Mooney dated 2/8/2013 re: I am writing to provide the Court with an update on the status of the settlement in the above-referenced matter. ENDORSEMENT: Telephone conference on 2/15/2013 at 11:00 a.m. (We'll need more progress than appears from this letter). So ordered. (Telephone Conference set for 2/15/2013 at 11:00 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 2/13/2013). (rjm) (Entered: 02/13/2013) | |||
| 2013-04-11 | 154 | 0 | NOTICE of Satisfaction of Judgment re: 85 Judgment. Document filed by United States Securities and Exchange Commission. (Silbermann, John) (Entered: 04/11/2013) | |||
| 2013-04-26 | 155 | 0 | SETTLEMENT AGREEMENT of Richard Verdiramo. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Conway, Dean) (Entered: 04/26/2013) | |||
| 2013-04-26 | 156 | 0 | SETTLEMENT AGREEMENT of Vincent Verdiramo. Document filed by United States Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Conway, Dean) (Entered: 04/26/2013) | |||
| 2013-04-29 | 157 | 0 | JUDGMENT AS TO DEFENDANT RICHARD VERDIRAMO #13,0827 in favor of United States Securities and Exchange Commission against Richard Verdiramo in the amount of $ 306,968.00. (Signed by Judge Richard M. Berman on 4/29/13) (Attachments: # 1 Notice of Right to Appeal)(ml) (Entered: 04/29/2013) | 2013-05-10 02:59:13 | e922fd9282266ce8195699faaa622aa211c08409 | |
| 157 | 1 | Notice of Right to Appeal | ||||
| 2013-04-29 | 158 | 0 | JUDGMENT AS TO DEFENDANT VINCENT VERDIRAMO #13,0828 in favor of United States Securities and Exchange Commission against Vincent L. Verdiramo in the amount of $ 759,444.00. (Signed by Judge Richard M. Berman on 4/29/13) (Attachments: # 1 Notice of Right to Appeal)(ml) (Entered: 04/29/2013) | 2013-05-11 03:42:07 | 739cc150abe27b08772c5bb1016046c62dda29fc | |
| 158 | 1 |