McGinn, Smith & Co. Inc., et al.
Website of the Receiver
William J. Brown, Esq.

 

 

Securities and Exchange Commission v. McGinn, Smith & Co. Inc., et al.
United States District Court
Northern District of New York
Case No. 1:10-cv-00457-GLS-RFT

On April 20, 2010, William J. Brown, Esq. was appointed temporary Receiver for the entities listed on Exhibit A to the Order to Show Cause, Temporary Restraining Order and Order Freezing Assets and Granting Other Relief (the “Receiver Entities”) posted as Docket No. 5 below by the United States District Court for the Northern District of New York. The Receivership was made permanent pending final disposition of the SEC's action on July 26, 2010 (Docket No. 96 below).

The website for the United States District Court for the Northern District of New York is www.nynd.uscourts.gov.

NOTICE TO ALL INVESTORS & CREDITORS OF McGINN, SMITH & CO. INC., et al.
CLAIMS PROCEDURE AND BAR DATE FOR FILING OF PRE-RECEIVERSHIP CLAIMS

On May 1, 2012, a letter from the Receiver (“Access Notice”) generally describing the claims process was mailed to all known Investors and Creditors of the MS Entities (defined below). The letter also included a (i) Notice of Claims Bar Date and Claims Procedure (“Notice”) and (ii) Claim Form. Copies of the Access Notice (without password), the Notice, and the Claim Form are also available for viewing and download by clicking here.

Investors and Creditors should carefully read and follow the Notice for the Court approved procedure.

CLAIMS WEBSITE: The Claims Website containing the Schedules is organized into four tabs named Investors, FINRA Arbitrations, Unsecured Claims, and Secured Claims, and can be accessed by clicking here using the confidential password in the Access Notice. The Claims Website is for the confidential use of Investors and Creditors only. Creditors and Investors should access the Claims Website using the confidential password contained in the Access Letter so as to review the Schedules and determine if a written Claim needs to be filed prior to the Bar Date. UPDATE ON MAY 7, 2012: If a person receives on Access Notice but is unable to locate their name on any of the four tabs on the Claims Website, it is possible that the person is not an Investor or Creditor because the mailing list included other categories including potential investors and equity investors. There will be a separate claims process for equity investors in the near future.

BAR DATE FOR CLAIMS: The bar date or last day to file pre-Receivership Claims is June 19, 2012 if you have a claim against any of the entities listed on the Schedule of Receivership Entities attached to the Notice (collectively, “MS Entities”).

WHO DOES NOT NEED TO FILE A CLAIM: If an Investor or Creditor agrees with the description for their Claim(s) and the amount(s) as listed on the Schedules on the Claims Website and the claim(s) is/are not listed as disputed, contingent or unliquidated, the investor or creditor does not need to take any further actions. The claims in that event will be treated in the amount set forth on the Schedules, subject to the right of the Receiver to object to the Claim at a later date, amend the amount of the Claim, or seek to avoid any Claim or payment, but only after giving notice by first class mail of such an intention with an opportunity to object to any such Investor or Creditor.

WHO MUST FILE A CLAIM: Creditors and Investors are required to timely file a written claim in the manner described in the Notice using the Claim Form if:

  1. the Creditor or Investor does not receive an Access Notice and, therefore, the claim of the Creditor or Investor is not scheduled by the Receiver or the address of the Creditor and Investor is not current;
  2. the claim of the Creditor or Investor is listed on the Schedules on the Claims Website as contingent, disputed, or unliquidated; or
  3. the Creditor or Investor objects to the claim amount or description as listed on the Schedules on the Claims Website.

The Notice and Claim Form are self-explanatory, but if any Investor or Creditor has a question as to the claims procedure (not the calculation of a claim), they may contact Jourdan L. Stevenson, paralegal, Phillips Lytle LLP, at (716) 504-5758 or jstevenson@phillipslytle.com.

To the extent of any inconsistency, the Notice shall govern.

ASSETS FOR SALE (Updated as of March 12, 21, 26 and 28, April 5, and May 7, 2012): The Receiver has filed two Motions (Docket Nos. 453 and 454 below) (“Motions”) seeking approval to sell (a) a portfolio of approximately 5,000 alarm system monitoring accounts in 40 states for approximately $1.75 million subject to higher and better offers, and (b) a portfolio of triple play contracts (cable, Internet and telephone services) located in Florida for $2 million subject to higher and better offers. The details of each sale and the procedure for information, auction and sales procedure are outlined in the Motion and the Court’s Order (Docket No. 458). The sale hearing will be on March 19, 2012 at 10:00 a.m. with any auction to be held two business days prior (March 15, 2012 at 12 Noon Eastern) as to any qualified competing offers received by the Receiver prior to March 14, 2012 at 4 p.m. Eastern. Qualified parties interested in making a higher and better offer for these assets should contact the Receiver in writing or by phone (716.847.7089). The details of the alarm system accounts auction are contained in the Notice which has been provided to potential bidders and is available by clicking here.

The Court approved the triple play sale for $2 million on March 19, 2012. There were no higher offers. A copy of the Order can viewed below at Docket No. 471.  The sale is expected to close in late April 2012.

The auction and the Court hearing to consider the alarm system monitoring account sale have been postponed to April 3 and 4, respectively, as a result of potentially higher and better offers. No further adjournments are expected.

The Court approved the sale of the alarm system monitoring accounts on April 4, 2012 to Security Systems, Inc. for $2,250,000, which was the highest and best bid at the April 3, 2012 auction. A copy of the Order can be viewed below at Docket No. 479. The sale closed on May 4, 2012 for $2,250,000.

  1. Information for Interested Parties / New Information

    1. April 21, 2010: The Receiver is undertaking a review of the assets and liabilities of the Receiver Entities at this time. The Receiver expects to communicate with interested parties by an initial letter communication sometime in the next several weeks once more is known. In the interim, interested parties can review this website from time to time for possible updates.

    2. June 4, 2010: RECEIVER’S REPORT - The First Report of the Receiver was filed with the Court (Docket No. 49 below).

    3. August 13, 2010: The Receiver has sent a letter to all known investors on August 13, 2010. The letter is also available by clicking here.

    4. November 18, 2010: COURT HEARINGS ON SMITH TRUST (DOCKET NOS. 103 AND 104) AND SEC MOTION FOR CONTEMPT (DOCKET NO. 168) - The Court held hearings on November 16 and 17, 2010 regarding the SEC’s Motion for reconsideration of the freezing of the Smith Trust. The Smith Trust hearing involved live witness testimony. The Court also heard arguments on the SEC’s Motion to hold Messrs. Smith and McGinn in contempt. The Court will announce its decisions at a later date. When the Court issues its decisions, they will be posted on this website.

    5. November 22, 2010: The Court has granted the SEC’s motion, reimposed the freeze on the Smith Trust, and granted the SEC the right to move for sanctions against the Trust, Lynn Smith, the former and current Trustees of the Trust, and certain of their professionals. Please see the Court’s decision at No. 194 below.

    6. December 22, 2010: 74 STATE STREET HOSPITALITY, LLC (DOCKET NO. 234) - Third Albany Income Notes, LLC holds a subordinate mortgage lien on real property in Albany, New York commonly known as 74-76 State Street. The first mortgagee (CIT) commenced a mortgage foreclosure action which, if successful, would have had the effect of wiping out the subordinate TAIN mortgage. The Receiver has settled with Court approval CIT’s motion to lift the stay as to the TAIN mortgage position for $50,000 without waiving any of his other rights including those as a holder of equity interests in the owner of the property as more fully described in Docket Nos. 202 and 234.

    7. December 27, 2010: MESSAGE TO McGINN SMITH INVESTORS HOLDING McGINN SMITH INVESTMENTS IN IRA’S - Many investors have inquired as to what value to use for McGinn Smith investments held in their IRA’s. At this time, because of the uncertainty of the ultimate value of the underlying assets comprising the investments, the Receiver cannot value the investments. It presently appears to the Receiver that the value of the investments in general will likely be materially less than fifty percent of the original investment value and, in most cases, likely less than that. Individual investors should consider applying a rule of reason taking into account the facts and circumstances of this case. Valuations will not be possible until sometime in the last half of 2011 when assets have been monetized or collected.

    8. February 1, 2011 (updated as of March 7, 2011, March 26, and May 7, 2012): VERO BEACH PROPERTY HAS BEEN SOLD - The District Court has granted the SEC’s Motion to appoint the Receiver to sell the Vero Beach property. See Docket No. 263 below. The Receiver has started the process to interview real estate brokers and will commence a sales process once an appropriate realtor is selected and engaged on appropriate terms. As of February 17, 2011, the Receiver has retained Norris and Company as the Real Estate broker for the sale of the Vero Beach property. The property should be listed in the Multiple Listing system the week of February 21, with photos of the property having been taken on February 18, 2011. The District Court has denied Lynn Smith’s motion for a stay of the sale order. (See Docket No. 285 below.) The property is listed for sale at $1.65 million, furniture available. Lynn Smith has appealed the Order permitting the sale of the Vero Beach property to the United States Court of Appeals for the Second Circuit. In response to Lynn Smith’s motion to stay the sale pending a decision by the Court of Appeals, the Court has allowed the property to continue to be listed and shown and for the Receiver to receive offers on the property, but the acceptance of any offer is stayed until a Motion Panel of the Circuit Court renders a decision on the motion for stay pending appeal. The Second Circuit subsequently agreed with Judge Homer that the Receiver should sell the property.

      A contract for sale has been accepted, but the sale will close at a later date. The closing took place on April 23, 2012 for $1,120,000 with the estate retaining $102,310.94 after payment of past-due taxes, assessments and mortgage. The Receiver obtained a material concession from the mortgagee to produce equity for the estate.

    9. July 20, 2011: DECISION ON MOTION BY SEC FOR SANCTIONS - The District Court has awarded sanctions against Defendants Lynn A. Smith, Jill A. Dunn and David Wojeski, relating to issues surrounding the David L. and Lynn A. Smith Irrevocable Trust. Pursuant to the Decision, Lynn Smith is to disgorge $944,848 to the Receiver in addition to paying the SEC $51,232 for attorneys’ fees and costs incurred by the SEC. If Lynn Smith fails to disgorge the full amount by September 1, 2011, the Receiver is granted authority to take certain actions to recover the unpaid amounts from the Great Sacandaga Lake property, including its sale or rental. Ms. Dunn is to disgorge $5,355 to the Receiver, and Mr. Wojeski is to disgorge to the Receiver $13,834. Sanctions which were sought against Thomas Urbelis and a request to pursue discovery against James D. Featherstonhaugh were denied. A copy of the Decision is at Docket No. 342 below.

    10. July 27, 2011: MESSAGE TO UPSTATE IMAGING ASSOCIATES AND PORTFOLIO PARTNERS INVESTORS - The County of Albany seeks to foreclosure for unpaid taxes a certain real property owned by Upstate Imaging Associates. The circumstances of the property are described in Docket No. 343 below. Additionally, the Receiver has mailed an explanatory letter to each of the relevant investors of whom he is aware.

    11. August 8, 2011: APPELLATE COURT UPHOLDS ASSET FREEZE OF SMITH TRUST AND SMITH STOCK ACCOUNT AND SALE OF SMITH FLORIDA PROPERTY - The Second Circuit Court of Appeals issued two opinions on August 8, 2011 denying appeals by Lynn Smith, Geoffrey Smith and Lauren Smith and sustaining the District Court’s decision to freeze the Smith Trust and the Smith’s stock account (See Docket Nos. 194 and 86 below). The Appeals Court also upheld the District Court’s Order permitting the sale of the Smith’s Florida home in a sale to be conducted by the Receiver (See Docket No. 263 below). Copies of both decisions are available by clicking here.

    12. August 17, 2011 (Updated as of September 7, 2011): MESSAGE TO MCGINN SMITH FIRSTLINE FUNDING, LLC INVESTORS. - The Receiver has filed a motion to approve a settlement with Security Systems, Inc. (“SSI”) regarding the McGinn Smith Firstline Funding, LLC (“MS Firstline”) transaction. The Motion will be heard by the Court on August 30, 2011 at 9:30 a.m. The settlement involves the resolution of a $1.1 million pre-Receivership loan to MS Firstline by SSI by payment of a substantially reduced amount to the lender, forgiveness of interest, and cancellation of an attrition guaranty. The repayment of an unrelated loan made by the Receivership estates to an entity known as Integrated Excellence Funding, LLC will also be repaid to the Receivership estates in the approximate amount of $606,636. Complete details of the Motion and the reasons supporting it are contained in Docket No. 365 below. Also see attached letter by clicking here. On August 30, 2011, the Court approved the settlement with Security Systems, Inc. per Docket No.372 below, and Security Systems, Inc. previously acquired the Integrated Excellence alarm contracts collateral for a total of $642,944.91, which proceeds were placed into a Receiver’s account.

    13. September 16, 2011: MESSAGE TO MCGINN SMITH INVESTORS REGARDING ASSETS COLLECTED. - As of September 9, 2011, the Receiver’s accounts have a balance of $8,094,973.22. This amount represents proceeds from operating businesses and other assets. Additional monies will be collected from the sale of at least four operating businesses prior to year-end based upon current facts. At the initiation of the Receivership, the Receiver’s account balances totaled only $485,491.63. A more specific Report will be filed with the Court and posted on this website shortly. Subject to Court approval and SEC consent, it is possible that at least a preliminary distribution could be made sometime in the first six months of 2012.

    14. September 19, 2011 (Updated as of September 30, 2011): MESSAGE REGARDING SIPC COVERAGE. - In order to clarify whether SIPC (Securities Investor Protection Corporation) protection exists in the McGinn Smith cases, this explanation is being posted by the Receiver. SIPC protection as a general matter is for cash and securities, such as stocks and bonds, held by a customer at a brokerage firm protected by SIPC. At this point, it appears that the investments in the McGinn Smith case were not held at the licensed broker dealer, McGinn, Smith & Co. Inc.

      The SEC has advised the Receiver that it is still considering whether it will make a coverage referral of the McGinn Smith case to SIPC.

      Investors may also wish to review the SIPC website at www.sipc.org/How/Covers.aspx.

      The SEC has filed a letter with the Court on this subject. See Docket No. 391 below.

    15. November 8, 2011: SMITH ACCOUNTANT PLEADS GUILTY - A certified public accountant has pled guilty to one count of Delivering and Disclosing a false Federal Income Tax Return in 2007 for Lynn and David Smith. The transactions at issue arose out of TDM Cable Funding LLC in 2006. The same accountant also prepared audited financial statements and tax returns for McGinn, Smith & Co. Inc. and its related entities. He will be sentenced at a later date. A copy of the U.S. Attorney’s press release may be read by clicking here.

    16. November 16, 2011: RECEIVER’S REPORT - The Receiver’s Second Written Report was filed with the Court (Docket No. 425 below).

    17. November 21, 2011: SALE OF MCGINN RESIDENCE - The short sale of the McGinn residence closed on November 18, 2011 per prior Court Orders (Docket Nos. 276 and 337). $15,000 in net sale proceeds were paid to the Receiver. One-half of that amount was deposited into a Receiver’s account, and the other one-half paid to Nancy McGinn per prior Court Order. The house was overencumbered by liens, and the second mortgagee accepted a substantial payment discount from what it was owed but agreed to release proceeds to the Receiver in return for the Receiver arranging the sale.

    18. November 29, 2011: MCGINN, SMITH & CO., INC. MANAGING DIRECTOR PLEADS GUILTY – Matthew Rodgers, a former senior managing director of McGinn, Smith & Co. Inc., pled guilty today to one count of filing a false income tax return.  He will be sentenced at a later date.  A copy of the press release issued by the U.S. Attorney’s Office may be read by clicking here.

    19. December 9, 2011: NOTICE OF RECEIVER’S INTENT TO ABANDON AND DESTROY CERTAIN RECORDS – The Receiver intends to abandon and shred certain non-material records after December 19, 2011. Docket No. 427 below describes the records and the proposed process.

    20. December 22, 2011: STATUS OF SEC LAWSUIT – The discovery phase of the SEC lawsuit has ended. See Docket No. 428 below. The next steps before trial will be for the Court to decide any motions the parties may make to limit the claims asserted by the SEC in the Amended Complaint.

    21. January 26, 2012: CRIMINAL INDICTMENT OF TIMOTHY M. MCGINN AND DAVID L. SMITH – Messrs. McGinn and Smith were criminally indicted today on multiple federal criminal charges. A copy of the Indictment can be read by clicking here. A copy of the Department of Justice press release which describes the Indictment can be read by clicking here.


    22. March 26, 2012: STAY OF SEC LAWSUIT – The United States Attorney, as a result of the pending criminal proceedings against Messrs. McGinn and Smith, has requested and been granted a stay of dispositive motions and trial in the SEC’s civil lawsuit. See Docket No. 474 below. Such a stay is customary when there are parallel criminal and civil proceedings. The Order does not stay the activities and responsibilities of the Receiver.

    23. April 5, 2012: DECISION ON MOTIONS BY TIMOTHY MCGINN, DAVID SMITH AND THE SMITH TRUST FOR THE RELEASE OF ASSETS - The District Court has granted in part and denied in part the Motions of Messrs. McGinn and Smith for the release of certain assets to pay the costs of their criminal defense. In the case of Mr. McGinn, the Court allows him to sell or monetize 9 of 10 items listed on pages 8-9 of the Memorandum-Decision and Order at Docket No. 478 below. As to Mr. Smith, he is allowed to use up to $181,000 in his 401-K account, and $8,135 from his IRA. In each instance, the Court has established a structured procedure supervised by the Court for the liquidation of the approved assets and for the allowance of fees and expenses to criminal defense counsel. As to the Trust, the Court clarified that its intention is for the Receiver to control, manage and pay the expenses of the Trust’s assets and denied the Trust’s Motion for reimbursement of expenses and the release of assets to pay its attorneys fees, in part, because “the interests of defrauded investors in preserving the frozen assets substantially outweighs the interests of the Trust in releasing assets to pay attorney’s fees and costs.” The Memorandum-Decision and Order is at Docket No. 478 below.


  2. Claims Process

    1. As described in the Receiver August 13, 2010 letter (see above), a claims process has not yet been established. Notice of any such process will be posted on this website only, and interested parties should visit the website several times per month for updates on any claims process and other information.

    2. February 1, 2012: CLAIMS PROCESS MOTION IS FILED AND APPROVED (Updated March 2, 12, and 21, 2012 and April 5 and 17, 2012) – The Receiver has filed a Motion with the Court to establish a process for the fixing and allowance of investor and creditor claims. The Motion is at Docket No. 466 below. The Court will first need to approve the process proposed by the Receiver. The Court will consider the proposed claims procedure motion at a hearing on March 27, 2012. If the procedure is approved, detailed instructions for investors and creditors will be posted prominently on this website.

      The Court approved the Motion on March 27, 2012. See the announcement at the top of this website, and visit the website for detailed instructions starting May 1, 2012. The claims bar date for all pre-Receivership period claims is June 19, 2012.


  3. Pleadings

    The following pleadings have been posted to this website for informational purposes or pursuant to Court Orders:
    1 4/20/10 Complaint.
    2 4/20/10 Summons.
    3 4/20/10 Filing Order.
      4 4/20/10 Motion for Temporary Restraining Order filed by Securities and Exchange Commission. (Attachments: Memorandum of Law, Declaration of Israel Maya, Declaration of Lara Shalov Mehraban, Declaration of Roseann Daniello, and Exhibits 1-67).
    a Documents   Exhibit 20 Part II
    b Listing of Exhibits 1 to 19   Exhibit 21 Part I
    b Listing of Exhibits 20 to 27   Exhibit 21 Part II
    Exhibits 01 to 03   Exhibits 22 to 23
    Exhibits 04 to 06   Exhibit 24
    Exhibit 07   Exhibits 25 to 27
    Exhibit 08   Exhibits 28 to 49
    Exhibit 09   Exhibits 50 to 59
    Exhibits 10 to 12   Exhibits 60 to 66
    Exhibits 13 to 15   Exhibit 67 Part I
    Exhibits 16 to 19   Exhibit 67 Part II
    Exhibit 20 Part I   Exhibit 67 Part III and IV
    5 4/20/10 Order to Show Cause, Temporary Restraining Order and Order Freezing Assets and Granting Other Relief
    6 4/29/10 Certificate of Service
    7 4/29/10 Order Reassigning Case
    8 4/29/10 Notice from KeyBank re Temporary Restraining Order
    9 4/29/10 Notice by SEC
    10 4/29/10 Corrected Notice by SEC
    11 4/29/10 Letter
    12 4/29/10 Consent Order Referring Motion
    13 5/3/10 Notice of Appearance
    14 5/3/10 List of Accounts
    15 5/3/10 Consent Order Extending Dates in Order to Show Cause
    16 5/3/10 Notice of Appearance
    17 5/3/10 Response of David L. Smith
    18 5/3/10 Response of Timothy M. McGinn
    19 5/6/2010 Statement of Assets (Redacted)
    20 5/6/2010 SEC Proposed Consent Order for Extension of Time
    21 5/7/2010 Consent Order
    22 5/20/2010 Response of McGinn and Smith
    23 5/24/2010 Affidavit by Lynn A. Smith
    24 5/24/2010 Memorandum of Law filed by Lynn A. Smith
    25 5/24/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Modification of Dates for Defendants to File Opposition Brief and Plaintiff to File Reply Concerning Order to Show Cause
    26 5/24/2010 Emergency Motion for Temporary Restraining Order Stay of Discovery by Timothy M. McGinn
    27 5/24/2010 Consent Order
    28 5/26/2010 SEC Response (Memorandum of Law)
    29 5/26/2010 Order regarding Stay of Proceedings
    30 5/26/2010 Order regarding Depositions
    31 5/28/2010 Order to Show Cause to Establish Method for Service and Motion Schedule on Motion to Intervene
    32 5/28/2010 Affidavit of David M. Wojeski in Support of Motion to Intervene
    33 5/28/2010 Declaration of Jill A. Dunn in Support of Motion to Intervene For Limited Purpose
    34 5/28/2010 Affidavit of Lynn A. Smith in support of Motion to Intervene
    35 5/28/2010 Intervenor's Memorandum of Law
    36 5/28/2010 Proposed Consent Order
    37 5/28/2010 Signed Consent Order
    38 5/28/2010 Status Report of McGinn and Smith
    39 6/1/2010 Order Granting Trustee of David L. and Lynn A. Smith Irrevocable Trust leave to intervene and rescheduling Preliminary Injunction Hearing
    40 6/1/2010 Letter Motion from David Stoelting for SEC Requesting (1) Extension to 6/2/10 for plaintiff to respond to Intervenor and Lynn Smith motions; and (2) Intervenor to 6/7/10 to file reply submitted to Judge Homer
    41 6/1/2010 Motion for Protective Order to ensure compliance with paragraph 1 of the Order dated 5/25/10 concerning scope of deposition filed by SEC (w/ Memorandum of Law attached)
    42 6/3/2010 Letter Motion from James Featherstonhaugh for Lynn A. Smith requesting Response to Plaintiff's Motion for a Protective Order submitted to Judge Hon. David R. Homer
    43 6/3/2010 Order Granting Request in #40 above
    44 6/3/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to June 3, 2010 at 4:00 pm to file papers re preliminary injunction motion submitted to Judge Homer
    45 6/4/2010 Order Granting request in #44 above
      46 6/4/2010 Supplemental Declaration of Roseann Daniello dated June 2, 2010 with Exhibits (5 parts)
    Part 1
    Part 2
    Part 3
    Part 4
    Part 5
    47 6/4/2010 Memorandum of Law in Response to: (1) Relief Defendant Lynn A. Smith's Opposition to Plaintiff's Motion for a Preliminary Injunction; and (2) Intervenor's Order to Show Cause filed by Securities and Exchange Commission
    48 6/4/2010 Receiver's Consent to Preliminary Injunction Order
    49 6/4/2010 First Report of the Receiver
    50 6/7/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting Response to Plaintiff's Memorandum of Law Response to Relief Defendant Lynn A. Smith's Opposition to Plaintiff's Motion for a Preliminary Injunction and Intervenor's Order to Show Cause submitted to Judge David R. Homer
    51 6/7/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Order Regarding Pine Street Entities submitted to Judge Homer
    52 6/7/2010 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting conference call submitted to Judge Homer
    53 6/7/2010 Letter Motion from Jill Dunn for David M. Wojeski requesting extension of time to file reply papers submitted to Judge Homer
    54 6/7/2010 Letter Brief regarding Consent Order Regarding Pine Street Entities by David M. Wojeski
        6/8/2010 [Text Only] Notice re [52] Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting conference call. A Telephone Conference will be held with all counsel and Magistrate Judge David R. Homer on June 8, 2010 at 3:00 PM. The court will initiate the conference call.
    55 6/8/2010 Order granting 53 Letter Request. It is ordered that Intervenor shall file and serve any reply papers to the Plaintiff's motion for a preliminary injunction on or before 6/8/2010
    56 6/8/2010 Notice of Appearance by Kevin P. McGrath on behalf of Securities and Exchange Commission
    57 6/9/2010 Notice by Lynn A. Smith of Initial Disclosure of Potential Witnesses and Exhibits
    58 6/9/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting submitting revised Preliminary Injunction Order consented to by all defendants submitted to Judge Homer
    59 6/9/2010 Consent Order Referring Motion for Temporary Restraining Order Motion for Preliminary Injunction filed by Securities and Exchange Commission. Signed by Judge Gary L. Sharpe on 6/8/2010
    60 6/9/2010 Notice by David M. Wojeski of Disclosure of Witnesses and Exhibits
    61 6/9/2010 Notice by Timothy M. McGinn, David L. Smith re 58 Letter Motion from David Stoelting for Securities and Exchange Commission requesting submitting revised Preliminary Injunction Order consented to by all defendants submitted to Judge Homer Consent to Entry of Preliminary Injunction Order
    62 6/9/2010 Exhibit List relating to Preliminary Injunction hearing scheduled for June 9, 2010 by Securities and Exchange Commission
    63 6/9/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to June 18, 2010 for defendants Smith and McGinn to respond to the Complaint
    64 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Memorandum of Law filed by David M. Wojeski
    65 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Reply Affidavit of Intervenor filed by David M. Wojeski
    66 6/9/2010 Reply to Response to Motion re 31 Emergency MOTION for Temporary Restraining Order to establish method for service and motion schedule on motion to intervene Reply Declaration of Jill Dunn filed by David M. Wojeski
    67 6/10/2010 Order granting Letter Request. Timothy M. McGinn answer due 6/18/2010; David L. Smith answer due 6/18/2010. Signed by Magistrate Judge David R. Homer on 6/9/2010
    68 6/10/2010 Order granting Letter Request. Signed by Magistrate Judge David R. Homer on 6/9/2010
    69 6/10/2010 Motion to Dismiss Motion Hearing set for 7/12/2010 10:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 6/25/2010 Reply to Response to Motion due by 7/1/2010 filed by Lynn A. Smith
    70 6/14/2010 Minute Entry (FTR recorded in CTRM #1/CR Bonnie Buckley) for proceedings held before Magistrate Judge David R. Homer: Motion for Preliminary Injuction held on 6/9/2010. Witnesses for plaintiff: William J. Brown, Isreal Maya, Roseann Daniello,Bernard Malmud, David McQuade. Court is adjourned to 9:15 am on 6/10/10
        6/14/2010 [Text Only] Notice of Hearing on Motion to Dismiss : Response to Motion due by 6/28/2010. Reply to Response to Motion due by 7/6/2010. Motion Hearing set for 7/15/2010 at 09:00 AM in Albany before Judge Gary L. Sharpe
    71 6/15/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting correction of a misstatement in Plaintiff's Memorandum of Law in Response to: (1) Relief Defendant Lynn A. Smith's Opposition to Plaintiff's Motion for a Preliminary Injunction; and (2) Intervenor's Order to Show Cause submitted to Judge David R. Homer
    72 6/16/2010 Intervenor's Supplemental Exhibit List filed by Jill A. Dunn
    73 6/16/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting extension of time to July 2, 2010 for defendants McGinn and Smith to respond to the Complaint submitted to Judge David L. Homer
    74 6/16/2010 Memorandum of Law Regarding Adverse Inferences to be Drawn From Defendants' Assertions of the Fifth Amendment filed by Securities and Exchange Commission
    75 6/16/2010 Order granting 73 Letter Request. Signed by Magistrate Judge David R. Homer on 6/16/2010
    76 6/21/2010 Minute Entry (CRTRM #1/electronically & stenographically recorded) for proceedings held before Magistrate Judge David R. Homer: Motion for Preliminary Injunction held on 6/10/2010. Witnesses for plaintiff: Timothy R. Welles, Lynn A. Smith. Witness for defendant Lynn Smith: John D'Aleo. Court is adjourned until 10:15 am June 11, 2010.
    77 6/21/2010 Minute Entry (CTRM #1 Electronically and steno graphically recorded) for proceedings held before Magistrate Judge David R. Homer: Motion for a Preliminary Injuction held on 6/11/2010. Witness for defense: John D'Aleo, Intervenor witness: Jeffrey Smith, David Wojeski. Closings made. TRO remains in effect until motion for prelim injunction is decided.
    78 6/21/2010 Notice of Appearance by William J. Brown on behalf of First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., Third Albany Income Notes, LLC
    79 6/21/2010 Memorandum of Law In Opposition To The Application Of Adverse Inferences Proposed To Be Drawn From Defendants' Assertions Of The Fifth Amendment filed by Lynn A. Smith
    80 6/21/2010 Memorandum of Law in Opposition to Request for Adverse Inferences Based on Defendants McGinn and Smith's Invocation of their Constitutional Rights
    81 6/28/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to respond to motion to dismiss filed by relief defendant Lynn A. Smith submitted to Judge Sharpe
    82 6/28/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting Letter Opposing Plaintiff's Request for Extension to File Response to Relief Defendant's Motion to Dismiss submitted to Judge Sharpe
    83 6/28/2010 Transcript Request by Securities and Exchange Commission for proceedings held on June 9-11, 2010 before Judge Homer
        6/28/2010 [Text Only] Text Only Order - On June 24, 2010, the plaintiff filed a letter requesting an extension of time to respond to defendant Lynn Smiths motion to dismiss. (Dkt. No. 81). Defendant Lynn Smith opposes plaintiffs request. (Dkt. No. 82). The court has reviewed the parties submissions. IT IS ORDERED, that the plaintiffs response papers are to be filed on or before August 2, 2010. Defendant Lynn Smiths reply papers are to be filed on or before August 9, 2010. The motion hearing has been rescheduled for August 19, 2010 at 9:30 a.m. Issued by Judge Gary L. Sharpe on 6/25/2010.
    84 7/1/2010 Letter Motion from Michael L. Koenig for Timothy M. McGinn, David L. Smith requesting extension of time to July 30, 2010 for defendants McGinn and Smith to answer the Complaint submitted to Judge David R. Homer
    85 7/6/2010 ORDER granting Letter Request, Timothy M. McGinn answer due 7/30/2010; David L. Smith answer due 7/30/2010. Signed by Magistrate Judge David R. Homer on 7/2/2010
    86 7/8/2010 Memorandum Decision and Order
      87 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/9/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
      88 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/10/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
      89 7/14/2010 [Text Only] REDACTED. TRANSCRIPT of Proceedings: preliminary injunction hearing held on 6/11/2010 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898
    90 7/15/2010 Receipt for Returned Exhibits signed by Jill A. Dunn on 7/15/2010
    91 7/20/2010 RECEIPT for Returned Exhibits signed by Featherstonhaugh, Wiley Law Firm on 7/15/2010
    92 7/23/2010 Notice of Substitution of Counsel
    93 7/23/2010 Letter Motion from William J. Brown, Receiver for William J Brown submitted to Judge Homer
    94 7/23/2010 RECEIPT for Returned Exhibits signed by David Stoelting on 7/23/2010. (mab)
    95 7/23/2010 ORDER re telephone conference held on 7/22/2010. ORDERED that the request of the SEC for an order freezing the Trust is DENIED without prejudice to renewal by formal motion; and IT IS FURTHER ORDERED that the request of the Trust for an order compelling release of the assets of the Trust to the Trustee is DENIED without prejudice to renewal in a formal motion. Signed by Magistrate Judge David R. Homer on 7/23/2010. (mab)
        7/23/2010 [Text Only] Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 7/22/2010 at the request of plaintiff SEC. SEC requested the court to freeze the Trust account pending this action. The request was denied without prejudice. A written order will be entered. (lah)
    96 7/26/2010 ORDER re [58] Letter Motion from David Stoelting for Securities and Exchange Commission. IT IS HEREBY ORDERED that the Commission's Motion for a Preliminary Injunction is GRANTED. Signed by Magistrate Judge David R. Homer on 7/22/2010. (mab)
    97 7/29/2010 ORDER re [92] Notice of Substitution of Counsel filed by Timothy M. McGinn, David L. Smith. Signed by Judge Gary L. Sharpe on 7/28/2010. (mab)
    98 7/29/2010 NOTICE of Appearance by Martin H. Kaplan on behalf of Timothy M. McGinn, David L. Smith (Kaplan, Martin)
    99 7/29/2010 STIPULATION for Extension of Time to Answer or Otherwise Respond to the Complaint and Proposed Order by Timothy M. McGinn, David L. Smith submitted to Judge Sharpe. (Kaplan, Martin)
    100 8/3/2010 AMENDED COMPLAINT against First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, Timothy M. McGinn, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., David L. Smith, Lynn A. Smith, Third Albany Income Notes, LLC filed by Securities and Exchange Commission. (Stoelting, David)
    Attachments:
    1 Proposed Summons
    2 Proposed Summons
    3 Proposed Summons
    4 Proposed Summons
    101 8/3/2010 RESPONSE in Opposition re [69] MOTION to Dismiss filed by Securities and Exchange Commission. (McGrath, Kevin)
    102 8/3/2010 ORDER re [99] Stipulation and Proposed Order filed by Defendants Timothy M. McGinn and David L. Smith. Answer due date updated for Timothy M. McGinn. Answer due 8/16/2010. Answer due date updated for David L. Smith. Answer due 8/16/2010. Signed by Magistrate Judge David R. Homer on 8/2/2010. (mab)
    103 8/3/2010 Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief by Securities and Exchange Commission. (Stoelting, David)
    Attachments:
    1 Memorandum of Law in Support of Plaintiff's Application for an Order to Show Cause and Emergency Relief   11 Exhibit(s) 9
    2 Declaration of David Stoelting   12 Exhibit(s) 10
    3 Exhibit(s) 1   13 Exhibit(s) 11
    4 Exhibit(s) 2   14 Exhibit(s) 12
    5 Exhibit(s) 3   15 Exhibit(s) 13
    6 Exhibit(s) 4   16 Exhibit(s) 14
    7 Exhibit(s) 5   17 Exhibit(s) 15
    8 Exhibit(s) 6   18 Exhibit(s) 16
    9 Exhibit(s) 7   19 Exhibit(s) 17
    10 Exhibit(s) 8   20 Declaration of Roseann Daniello
    104 8/4/2010 ORDER re [103] Emergency MOTION. Show Cause Hearing set for 8/18/2010 at 10:00 AM in Albany before Magistrate Judge David R. Homer. IT IS FURTHER ORDERED that the Preliminary Injunction Order dated July 22, 2010 remains in full force and effect, except to the extent modified by this Order. Signed by Magistrate Judge David R. Homer on 8/3/2010. (mab)
        8/4/2010 [Text Only] COURT TEXT NOTICE. The handwritten insertion on page 5 of the Order to Show Cause filed 8/4/2010 [104] appears illegible in part and, for the information of the parties, states as follows: "...deeming this application as a motion (1) to reconsider the portion of the order filed July 7 2010 [86] as to the trust, and (2) for a preliminary injunction as to Nancy McGinn,..." (lah)
        8/5/2010 [Text Only] A Conference will be held with Magistrate Judge David R. Homer on AUGUST 11, 2011 at 11:00 AM re the pending Order to Show Cause [104]. The out-of-town attorneys may participate by telephone. The court will initiate the conference call. (lah)
    105 8/5/2010 Summons Issued as to Nancy McGinn, Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski. (Attachments: # (1) Summons Issued as to Geoffrey Smith, #(2) Summons Issued as to Lauren Smith, #(3) Summons Issued as to David Wojeski) (mab)
    1 Summons Issued as to Geoffrey Smith
    2 Summons Issued as to Lauren Smith
    3 Summons Issued as to David Wojeski
    106 8/5/2010 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] by Securities and Exchange Commission.(Stoelting, David)
    107 8/6/2010 Letter Motion from Jill Dunn for David M. Wojeski, David M. Wojeski requesting Extension of deadlines in Order to Show Cause submitted to Judge Homer. (Dunn, Jill)
        8/6/2010 [Text Only] COURT TEXT NOTICE re [104] AND [107]. The Telephone Conference previously set for 8/11/2010 at 11:00 AM with Magistrate Judge David R. Homer is RESCHEDULED to an IN-PERSON CONFERENCE on AUGUST 16, 2010 at 11:00 AM. During the conference new dates will be established for the parties' responses and hearing date on the court's order to show cause [104]. Leave of the court must be obtained to participate in this conference by telephone. (lah)
        8/6/2010 [Text Only] COURT TEXT NOTICE (SUPPLEMENTAL) re: Order to Show Cause [104]. The Trustee's Verified Accounting to be served on or before August 16, 2010. (lah)
    108 8/9/2010 Letter Motion from Scott J. Ely for Lynn A. Smith requesting to withdraw Motion to Dismiss submitted to Judge Gary L. Sharpe. (Featherstonhaugh, James)
    109 8/16/2010 NOTICE of Appearance by Craig H. Norman on behalf of The Shoma Group (Norman, Craig)
        8/16/2010 8/10/10: COURT TEXT NOTICE. At the conference on August 16, 2010 with Magistrate Judge David R. Homer, the parties shall be prepared to address why Exhibit 14 to Stoelting Declaraton 103 should not be filed in the docket of this case. (lah, )
    110 8/16/2010 ORDER granting 108 letter requesting to withdraw defendant Lynn Smith's 69 Motion to Dismiss. Signed by Judge Gary L. Sharpe on 8/10/2010. (jel, )
    111 8/16/2010 NOTICE of Appearance by Martin P. Russo on behalf of Timothy M. McGinn, David L. Smith (Russo, Martin)
    112 8/16/2010 NOTICE of Appearance by Alison B. Cohen on behalf of Timothy M. McGinn, David L. Smith (Cohen, Alison)
    113 8/16/2010 STIPULATION Stipulation and Proposed Order to Extend Time to Answer or Otherwise Respond to the Amended Complaint by Timothy M. McGinn, David L. Smith submitted to Judge Homer. (Cohen, Alison)
    114 8/16/2010 STIPULATION and Proposed Order to Extend Time to Answer or Otherwise Respond to Amended Complaint by Lynn A. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
    115 8/16/2010 STIPULATION AND ORDER extending defendants Timothy M. McGinn's and David L Smith's time to answer or otherwise respond to the Amended Complaint until 8/30/2010. Answer due date updated for : Timothy M. McGinn answer due 8/30/2010; David L. Smith answer due 8/30/2010. Signed by Magistrate Judge David R. Homer on 8/13/2010. (sg )
    116 8/16/2010 STIPULATION AND ORDER extending relief defendant/defendant Lynn A. Smith's time to answer or otherwise respond in her capacity as a named Relief Defendant and Defendant to the Amended Complaint until 8/30/2010. Answer due date updated for Lynn A. Smith: answer due 8/30/2010. Signed by Magistrate Judge David R. Homer on 8/13/2010. (sg )
        8/16/2010 COURT TEXT NOTICE re the Rule 16 conference set for 9/2/2010 at 9:00 AM was previously scheduled before Magistrate Judge Treece in error. The Rule 16 conference will be held with Magistrate Judge David R. Homer on that same date and time. The Civil Case Management Plan shall be e-filed on or before 8/26/2010. Attorneys who are located out-of-town may participate by telephone. Please call chambers at 518-257-1850 with a contact telephone number for the conference. (lah, ) (Entered: 08/16/2010)
    117 8/16/2010 NOTICE by Securities and Exchange Commission re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Filing of Exhibit 14 (Stoelting, David)
        8/17/2010 [Text Only]  Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Status Conference was held on-the-record on 8/16/2010 with all counsel. A schedule was set for submissions regarding plaintiff's motion for reconsideration [103]. Plaintiff was directed to e-file Exhibit 14 to the Stoelting Declaration. A further conference will be set upon submission of the parties' papers. A written order will be entered. (lah)
    118 8/17/2010 ORDER re conference held on 8/16/2010. ORDERED that Plaintiff Securities and Exchange Commission shall file Exhibit 14 to the Stoelting Declaration. Plaintiff's motion for reconsideration of this Court's decision unsealing the assets of the defendant Trust shall proceed according to the following schedule: The Trust and any other defendants, relief defendants and intervenors shall file and serve any papers in opposition to plaintiff's motion on or before 8/30/2010; Plaintiff may file and serve any reply papers thereto on or before 9/9/2010; a further conference will be scheduled following the filing of these papers to determine a schedule for completion of the litigation regarding this motion. Signed by Magistrate Judge David R. Homer on 8/16/2010. (mab)
    119 8/25/2010 NOTICE of Appearance by Jill A. Dunn on behalf of Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski
    120 8/25/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting modification of current motion briefing schedule submitted to Judge Homer. Attachment: # (1) Proposed Order/Judgment Modifying current motion briefing schedule
        8/26/2010 [Text Only] Set/Reset Deadlines as to [103] motion for reconsideration: Response to Motion by The Trust and any other defendants, relief defendants and intervenors due by 9/3/2010; Plaintiff's Reply to Response to Motion due by 9/14/2010.
    121 8/26/2010 ORDER granting [120] Letter Request for modification of the Court's [118] Order as to plaintiff's [103] motion for reconsideration as follows: (a) the Trust and any other defendants, relief defendants and intervenors shall file and serve any papers in opposition to plaintiff's motion on or before 9/3/2010; (b) plaintiff may file and serve any reply papers thereto on or before 9/14/2010; and (c) a further conference will be scheduled following the filing of these papers to determine a schedule for completion of the litigation regarding the [103] motion. Signed by Magistrate Judge David R. Homer on 8/25/2010.
    122 8/26/2010 STIPULATION and Proposed Order Extending Time to Respond to Amended Complaint to September 30, 2010 by Lynn A. Smith submitted to Judge David R. Homer.
    123 8/26/2010 SUMMONS Returned Executed by Securities and Exchange Commission. Nancy McGinn served on 8/14/2010, answer due 9/7/2010.
    124 8/26/2010 STIPULATION AND ORDER extending the time for Lynn A. Smith, David M. Wojeski, Geoffrey R. Smith, Lauren T. Smith, David L. Smith and Timothy M. McGinn to answer or otherwise respond to the Amended Complaint. Answer due 9/30/2010. Signed by Magistrate Judge David R. Homer on 8/26/2010.
    125 8/26/2010 MOTION for Limited Admission Pro Hac Vice of Francisco Silva of Shoma Group Filing fee $30, receipt number 0206-1651263. filed by The Shoma Group. Attachments: # (1) Verified Petition of Francisco Silva, # (2) Affidavit of Sponsor Craig H. Norman) Motions referred to David R. Homer.
    126 8/27/2010 CIVIL CASE MANAGEMENT PLAN by Securities and Exchange Commission
    127 8/31/2010 WAIVER OF SERVICE Returned Executed by William J Brown.
    128 9/1/2010 NOTICE OF APPEAL by Lynn A. Smith. Filing fee $ 455, receipt number 0206-1654925
    129 9/1/2010 ORDER granting [125] Motion for Limited Admission Pro Hac Vice for Francisco Silva. Signed by Magistrate Judge David R. Homer on 9/1/2010
    130 9/2/2010 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [128] Notice of Appeal.
    131 9/8/2010 Letter Motion from David Stoelting requesting a court conference under Local Rule 7.1(b)(2) for Securities and Exchange Commission requesting Court conference under Local Rule 7.1(b)(2) for leave to file a motion to amend the PI Order to prohibit credit card usage and to require monthly reporting of expenses, payments and sources of funds submitted to Judge Homer.
    132 9/8/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith submitted to Judge David R. Homer.
    133 9/8/2010 AFFIDAVIT in Opposition re 106 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] filed by Lynn A. Smith.
    134 9/8/2010 AFFIDAVIT in Opposition re 103 Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief, 106 MOTION for Temporary Restraining Order Declaration of David Stoelting [modifying para. 51 in Declaration filed Aug. 3, 2010] filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # 1 Exhibit(s) A: Expert Opinion of David Evans, # 2 Exhibit(s) B: Letters dated July 27 and 29, 2010)(Dunn, Jill)
    135 9/8/2010 MEMORANDUM OF LAW re 133 Affidavit in Opposition to Motion, 134 Affidavit in Opposition to Motion, filed by Lauren T. Smith, Geoffrey R. Smith, Davd M. Wojeski, David M. Wojeski.
    136 9/8/2010 UNIFORM PRETRIAL SCHEDULING ORDER: Anticipated length of trial: 15 Days. Joinder of Parties due by 11/1/2010. Amended Pleadings due by 11/1/2010. Initial written discovery demands must be served by 9/17/2010. Discovery due by 7/1/2011. Motions to be filed by 9/15/2011. Trial Ready Deadline is 9/15/2011 if no dispositive motions are filed. Signed by Magistrate Judge David R. Homer on 9/7/2010. (mab)
    137 9/8/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on August 16, 2010 before Judge Homer.. (Stoelting, David)
    138 9/8/2010 Letter Motion from David L. Smith and Timothy M. McGinn for Timothy M. McGinn, David L. Smith requesting Permission to make cross-motion submitted to Judge Homer.
    139 9/8/2010 ANSWER to Amended Complaint by Nancy McGinn.
    140 9/9/2010 ORDER as directed during the conference on 9/8/2010 and pursuant to N.D.N.Y.L.R. 7.1(b)(2), leave is hereby granted to the SEC and to defendants Timothy McGinn, David Smith and Lynn Smith to file motions regarding the asset freeze. Signed by Magistrate Judge David R. Homer on 9/9/2010.
      141 9/14/2010 TRANSCRIPT of Proceedings: Digitally Recorded Motion held on 8/16/10 before Judge Homer, Court Reporter/Transcriber: Eileen McDonough, Telephone number: 315-234-8546. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In orde r to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within 5 business days of this date. The policy governing the redaction of personal inform ation is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today's date. 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 10/4/2010. Redacted Transcript Deadline set for 10/14/2010. Release of Transcript Restriction set for 12/13/2010. Notice of Intent to Redact due by 9/20/2010
    142 9/15/2010 REPLY to Response to Motion re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Lara Shalov Mehraban, # (2) Exhibit(s) A-C)(McGrath, Kevin)
    143 9/20/2010 MOTION to Amend/Correct [96] Order Motion Hearing set for 10/21/2010 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 10/4/2010 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in support of Motion to Amend Preliminary Injunction Order, # (2) Declaration of Lara Shalov Mehraban, # (3) Exhibit(s) 1, # (4) Exhibit(s) 2 to 4, # (5) Exhibit(s) 5 to 8, # (6) Proposed Order/Judgment) Motions referred to David R. Homer.
    144 9/27/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting permission to file surreply and motion hearing schedule submitted to Judge Homer
        9/27/2010 TEXT ORDER re Letter Motion from Jill Dunn, counsel to defendant Wojeski. Defendant is granted leave to file a Reply to the pending motion for reconsideration on or before OCTOBER 6, 2010. Signed by Magistrate Judge David R. Homer on 09/27/2010
        9/27/2010 TEXT ORDER re [144]. The deadline to file an answer or otherwise move with respect to the Amended Complaint [100] is hereby extended to NOVEMBER 15, 2010. Signed by Magistrate Judge David R. Homer on 09/27/2010
        9/27/2010 TEXT NOTICE to establish that the motion schedule for plaintiff's Motion to Amend the Preliminary Injunction Order [143] is as set forth in the docket at [143], that is, the Motion return date is set for 10/21/2010 and any responses shall be filed on or before 10/4/2010. The motion will be heard on submission of the papers.
    145 10/5/2010 RESPONSE in Opposition re [143] MOTION to Amend/Correct [96] Order MOTION to Amend/Correct [96] Order MOTION to Amend/Correct [96] Order Opposition to Plaintiff's Motion to Amend the Preliminary Injunction Order filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s))
    146 10/5/2010 Cross MOTION for Release of Funds and Motion in Opposition to Plaintiff's Motion to Amend the Preliminary Injunction Order filed by Lynn A. Smith. (Attachments: # (1) Memorandum of Law, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s)) Motions referred to David R. Homer.
    147 10/6/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
    148 10/6/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
    149 10/6/2010 MEMORANDUM OF LAW re [103] Motion for TRO, [147] Affidavit in Opposition to Motion, [148] Affidavit in Opposition to Motion filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # (1) Court of Appeals Decision SEC v. Rajaratnam (2d Cir. 9/29/10)
    150 10/6/2010 It is hereby ORDERED that an evidentiary hearing will be held on 11/4/2010 at 10:00 am and continuing to conclusion to hear testimony and evidence regarding the issues discussed in this Order. Signed by Magistrate Judge David R. Homer on 10/7/2010
        10/6/2010 Set Hearing: Evidentiary Hearing set for 11/4/2010 10:00 AM in Albany before Magistrate Judge David R. Homer.
    151 10/11/2010 RESPONSE in Opposition re [146] Cross MOTION for Release of Funds and Motion in Opposition to Plaintiff's Motion to Amend the Preliminary Injunction Order filed by Securities and Exchange Commission.
    152 10/12/2010 Non-Party Letter from John and Eleanor Delaney
    153 10/15/2010 Letter Motion from Martin P. Russo for Timothy M. McGinn, David L. Smith requesting a conference pursuant to Local Rule 7.1(b)(2) submitted to Judge Homer.
    154 10/19/2010 Non-Party Letter from Carol Benderson-Lighter.
        10/19/2010 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 10/15/2010 with David Stoelting, counsel for plaintiff, and Jill Dunn, counsel for the Trust. Dunn requested an adjournment of the 11/4/2010 evidentiary hearing before Judge Homer. That request was granted. The hearing will be held on 11/16/2010 at 9:15 a.m. A written order will enter.
    155 10/19/2010 MOTION for Joinder Joinder of Receiver to Plaintiff's Motion to Amend the Preliminary Injunction Order filed by William J Brown. Motions referred to David R. Homer.
    156 10/19/2010 ORDER granting request for an adjournment of the 11/4/2010 hearing. ORDERED that the evidentiary hearing is hereby adjourned to 11/16/2010 at 9:15 am. On or before November 12, 2010, plaintiff and the Trust shall file a list of the witnesses whom that party intends to call to testify at the hearing and a list of any exhibits which the party intends to offer in evidence during the hearing. Signed by Magistrate Judge David R. Homer on 10/19/2010.
    157 10/21/2010 Non-Party Letter from Dorothy H. Puglisi.
        10/21/2010 TEXT NOTICE re [153] Letter Motion from Martin P. Russo seeking leave to file a motion compelling plaintiff to cease and desist using documents obtained from the execution of a search warrant. A Telephone Pre-Motion Conference will be held on 10/26/2010 at 9:00 AM with Magistrate Judge David R. Homer. Attorney Martin Russo will provide a dial-in number. Any counsel wishing to participate in person may do so.
    158 10/22/2010 LETTER BRIEF by Securities and Exchange Commission. (Stoelting, David)
    159 10/25/2010 LETTER BRIEF by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
    160 10/26/2010 Letter Motion from Alison B. Cohen for Timothy M. McGinn, David L. Smith requesting the addition of a discovery related issue to the agenda for the October 26, 2010 pre-motion conference submitted to Judge Homer.
    161 10/26/2010 ORDER granting [153] and [160]. It is ORDERED that 1) All defendants are granted leave to file motions under Rajaratnam; 2) Defendants Timothy M. McGinn and David L. Smith are granted leave to file a motion seeking to compel plaintiff to respond to certain interrogatories and document demands; and 3) Any such motions shall be filed on or before 11/15/2010. Signed by Magistrate Judge David R. Homer on 10/26/2010.
    162 10/26/2010 TRANSCRIPT REQUEST for a seven day expedited transcript by Timothy M. McGinn, David L. Smith for proceedings held on October 26, 2010 before Judge Homer.
    163 10/29/2010 Non-Party Letter from Stanley C. Rosenzweig
      164 11/1/2010 TRANSCRIPT of Proceedings: digitally recorded pre-motion conference held on 10/26/2010 before Judge David R. Homer, Court Reporter/Transcriber: Bonnie Buckley, Telephone number: 518-257-1898. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today's date. 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 11/19/2010. Redacted Transcript Deadline set for 11/29/2010. Release of Transcript Restriction set for 1/27/2011. Notice of Intent to Redact due by 11/3/2010
    165 11/1/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting Extension of time to respond to Amended Complaint. (Attachments: # (1) Proposed Order/Judgment extending time to respond to Amended Complaint)
    166 11/1/2010 ORDER granting [165] Letter Request for extension of time to answer or otherwise move with respect to the Amended Complaint. Answer due 12/15/2010. Signed by Magistrate Judge David R. Homer on 11/1/2010.
    167 11/1/2010 Non-Party Letter from Robert L. Gilbert.
        11/2/2010 USCA Case Number is 10-3576-cv for [128] Appeal filed by Lynn A. Smith.
    168 11/3/2010 Emergency MOTION for Preliminary Injunction Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law, # (2) Declaration of Paul Zindell, # (3) Exhibit(s) Zindell Ex. 1, # (4) Exhibit(s) Zindell Ex. 2, # (5) Exhibit(s) Zindell Ex. 3, # (6) Exhibit(s) Zindell Ex. 4, # (7) Declaration of David Stoelting, # (8) Exhibit(s) Stoelting Ex. 1, # (9) Exhibit(s) Stoelting Ex. 2, # (10) Exhibit(s) Stoelting Ex. 3, # (11) Exhibit(s) Stoelting Ex. 4, # (12) Exhibit(s) Stoelting Ex. 5, # (13) Exhibit(s) Stoelting Ex. 6, # (14) Exhibit(s) Stoelting Ex. 7, # (15) Exhibit(s) Stoelting Ex. 8, # (16) Exhibit(s) Stoelting Ex. 9, # (17) Exhibit(s) Stoelting Ex. 10, # (18) Exhibit(s) Stoelting Ex. 11, # (19) Exhibit(s) Stoelting Ex. 12, # (20) Exhibit(s) Stoelting Ex. 13, # (21) Exhibit(s) Stoelting Ex. 14)(Stoelting, David)
    1 Memorandum of Law 8 Exhibit(s) Stoelting Ex. 1 15 Exhibit(s) Stoelting Ex. 8
    2 Declaration of Paul Zindell 9 Exhibit(s) Stoelting Ex. 2 16 Exhibit(s) Stoelting Ex. 9
    3 Exhibit(s) Zindell Ex. 1 10 Exhibit(s) Stoelting Ex. 3 17 Exhibit(s) Stoelting Ex. 10
    4 Exhibit(s) Zindell Ex. 2 11 Exhibit(s) Stoelting Ex. 4 18 Exhibit(s) Stoelting Ex. 11
    5 Exhibit(s) Zindell Ex. 3 12 Exhibit(s) Stoelting Ex. 5 19 Exhibit(s) Stoelting Ex. 12
    6 Exhibit(s) Zindell Ex. 4 13 Exhibit(s) Stoelting Ex. 6 20 Exhibit(s) Stoelting Ex. 13
    7 Declaration of David Stoelting 14 Exhibit(s) Stoelting Ex. 7 21 Exhibit(s) Stoelting Ex. 14
        11/3/2010 TEXT NOTICE re [168] Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order. A Telephone Conference will be held with Magistrate Judge David R. Homer on NOVEMBER 4, 2010 at 3:30 PM. A dial-in number will be provided to the parties by Gusrai, Kaplan Law Firm
        11/3/2010 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A pre-motion conference was held by telephone on 10/26/2010 with counsel for all parties. Defendants McGinn and David Smith requested leave to file certain nondispostiive motions. The request was granted and motions are to be filed on or before 11/15/2010. A written order was entered.
    169 11/5/2010 MOTION to Intervene and Lift of Temporary Restraining Order Motion Hearing set for 12/16/2010 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 11/29/2010 filed by CIT Lending Services Corporation. (Attachments: # (1) Affidavit Benjamin W. Hill, Esq., # (2) Exhibit(s) A through F, # (3) Memorandum of Law) Motions referred to David R. Homer. (Hill, Benjamin)
    1 Affidavit Benjamin W. Hill, Esq.
    2 Exhibit(s) A through F
    3 Memorandum of Law) Motions referred to David R. Homer
    170 11/5/2010 CERTIFICATE OF SERVICE by CIT Lending Services Corporation re [169] MOTION to Intervene and Lift of Temporary Restraining Order (Hill, Benjamin)
    171 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
    172 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
        11/8/2010
    Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Telephone Conference was held on 10/26/2010 with counsel for all parties re defendants' requests for leave to file nondispositive motions [153, 160]. A written order was entered [161].
    173 11/8/2010 ORDER TO SHOW CAUSE Why Defendants Timothy M. McGinn and David L. Smith Should Not Be Held In Contempt. IT IS ORDERED that Defendants McGinn and Smith show cause, if there be any, on 11/17/2010 at 2:30 PM in Albany before Magistrate Judge David R. Homer why this Court should not enter an Order pursuant to Rules 54 and 65 of the FRCP, Section 20 of the Securities Act and Section 21 of the Exchange Act. IT IS FURTHER ORDERED that any opposition briefs are due by 11/12/2010 and any reply briefs are due 11/15/2010. Signed by Magistrate Judge David R. Homer on 11/4/2010
    174 11/9/2010 NOTICE of Appearance by Robert H. Iseman on behalf of David M. Wojeski
    175 11/9/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [174] Notice of Appearance
    176 11/9/2010 MOTION Release of Certain Assets from the Preliminary Injunction Order Motion Hearing set for 12/9/2010 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/22/2010 filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s), # (13) Exhibit(s), # (14) Exhibit(s), # (15) Exhibit(s), # (16) Exhibit(s), # (17) Exhibit(s), # (18) Exhibit(s), # (19) Exhibit(s)) Motions referred to David R. Homer.
    177 11/12/2010 STIPULATION re [150] Order, by Securities and Exchange Commission submitted to Judge Homer
    178 11/12/2010 Non-Party Letter from Thomas P. Wagner
    179 11/13/2010 Exhibit List by David M. Wojeski
      180 11/13/2010  
    181 11/13/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [179] Exhibit List, [180] Witness List
    182 11/13/2010 NOTICE of Appearance by Lara S. Mehraban on behalf of Securities and Exchange Commission
    183 11/13/2010 NOTICE by Securities and Exchange Commission of Appearance of Jack Kaufman
    184 11/13/2010 Exhibit List in connection with Evidentiary Hearing by Securities and Exchange Commission
    185 11/13/2010 RESPONSE TO ORDER TO SHOW CAUSE filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s)
        11/15/2010 TEXT NOTICE : With respect to the Evidentiary Hearing scheduled for 11/16/2010 before Magistrate Judge David R. Homer: the parties are directed to pre-mark any exhibits that will be offered at the hearing.
    186 11/15/2010 Letter Motion from Alison B. Cohen for Timothy M. McGinn, David L. Smith requesting Leave to File Motion to Compel in Redacted Form/Under Seal submitted to Judge Homer.
    187 11/16/2010 REPLY to Response to Motion re [168] Emergency MOTION for Preliminary Injunction Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt for Violation of the Preliminary Injunction Order Reply Memorandum of Law in Further Support of Plaintiff's Application for an Order to Show Cause Why Defendants Timothy McGinn and David Smith Should Not Be Held in Contempt filed by Securities and Exchange Commission.
    188 11/16/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Correcting Document 134 - Dunn Declaration filed by David M. Wojeski, David M. Wojeski. (Attachments: # (1) Exhibit(s) A)(Dunn, Jill)
    189 11/16/2010 MOTION to Compel Plaintiff to Answer Defendants' Interrogatories Motion Hearing set for 12/16/2010 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/29/2010 filed by Timothy M. McGinn, David L. Smith. Motions referred to David R. Homer. (Russo, Martin)

    Attachments:
    1 Memorandum of Law 18 Exhibit(s) 35 Exhibit(s)
    2 Declaration 19 Exhibit(s) 36 Exhibit(s)
    3 Exhibit(s) 20 Exhibit(s) 37 Exhibit(s)
    4 Exhibit(s) 21 Exhibit(s) 38 Exhibit(s)
    5 Exhibit(s) 22 Exhibit(s) 39 Exhibit(s)
    6 Exhibit(s) 23 Exhibit(s) 40 Exhibit(s)
    7 Exhibit(s) 24 Exhibit(s) 41 Exhibit(s)
    8 Exhibit(s) 25 Exhibit(s) 42 Exhibit(s)
    9 Exhibit(s) 26 Exhibit(s) 43 Exhibit(s)
    10 Exhibit(s) 27 Exhibit(s) 44 Exhibit(s)
    11 Exhibit(s) 28 Exhibit(s) 45 Exhibit(s)
    12 Exhibit(s) 29 Exhibit(s) 46 Exhibit(s)
    13 Exhibit(s) 30 Exhibit(s) 47 Exhibit(s)
    14 Exhibit(s) 31 Exhibit(s) 48 Exhibit(s)
    15 Exhibit(s) 32 Exhibit(s) 49 Exhibit(s)
    16 Exhibit(s) 33 Exhibit(s) 50 Exhibit(s)
    17 Exhibit(s) 34 Exhibit(s)      
    190 11/16/2010 MOTION to Compel Plaintiff to Cease and Desist From Using Search Warrant Material Motion Hearing set for 12/16/2010 09:00 AM before Magistrate Judge David R. Homer Response to Motion due by 11/29/2010 filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Exhibit(s) A, # (4) Exhibit(s) B, # (5) Exhibit(s) C) Motions referred to David R. Homer.
        11/16/2010 Text Minute Entry for Evidentiary Hearing held 11/16/2010 before Magistrate Judge David R. Homer in Albany, NY: Appearances: For Plaintiff: David Stoelting, Esq., Lara S. Mehraban, Esq., Kevin P. McGrath, Esq. and Jack Kaufman, Esq.; for Intervenor David M. Wojeski, Trustee of David L. and Lynn A. Smith Irrevocable Trust U/A 8/4/04: Robert H. Iseman, Esq., Jill Dunn, Esq., and James Lagios, Esq. Also entering an appearance: William J. Brown, Esq. for defendants McGinn, Smith & Co. Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, and Third Albany Income Notes, LLC. SEC calls witnesses David Stoelting, Kevin McGrath and Jill Dunn. Plaintiff's Attorney Mehraban conducts direct examination of witnesses. SEC Exhibits 1, 8, 10, 16, 21 and 22 are offered and received during witness testimony. Intervenor Attorney Iseman conducts cross-examination of witnesses. Intervenor Exhibits 3, 7, 8, 9 and 12 are offered and received during witness testimony. Court reserves decision. (Court Reporter: Theresa Casal, CRD S. Gunter) (sg ) Modified on 11/18/2010 (sg ).
        11/17/2010 TEXT ORDER granting [186] Letter Request. Exhibits A [189-3] and P [189-18] are considered filed in their redacted form. Unredacted copies of those exhibits have been provided to the Court and will be filed under seal. Signed by Magistrate Judge David R. Homer on 11/17/2010.
    191 11/17/2010 AFFIDAVIT in Opposition re [103] Emergency MOTION for Temporary Restraining Order Order to Show Cause and Emergency Relief Clarifying Wojeski Declaration Dated October 6, 2010 filed by David M. Wojeski, David M. Wojeski. (Attachments: # (1) Exhibit(s) A)(Dunn, Jill).
    192 11/18/2010 MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees. (Attachments: # (1) Memorandum of Law, # (2) Exhibit 1 to Memorandum, # (3) Exhibit 2 to Memorandum, # (4) Exhibit 3 to Memorandum, # (5) Exhibit 4 to Memorandum, # (6) Exhibit 5 to Memorandum, # (7) Exhibit 6 to Memorandum, # (8) Exhibit 7 to Memorandum, # (9) Exhibit 8 to Memorandum, # (10) Proposed Order/Judgment) Motions referred to David R. Homer
        11/18/2010 TEXT NOTICE re [171] MOTION to Quash filed by non-party Ronald L. Simons shall be returnable on 12/23/2010. Any opposition shall be filed on or before 12/6/2010. No oral argument will be heard. The motion will be decided on the submissions.
        11/18/2010 TEXT NOTICE re [192] MOTION to Quash Subpoenas filed by non-party FINRA and FINRA employees will be returnable on 12/23/2010 before Magistrate Judge Homer. Any opposition shall be filed on or before 12/6/2010. No oral argument will be heard. The motion will be decided on the submissions.
      193 11/18/2010 ***SEALED DOCUMENT re [189] maintained in the Clerk's Office.
        11/19/2010 TEXT Minute Entry (FTR Recorded) for proceedings held before Magistrate Judge David R. Homer: Show Cause Hearing held on 11/17/2010 on [168] Motion for Preliminary Injunction filed by Securities and Exchange Commission. Appearances: David Stoelting, Esq. for plaintiff; Martin Russo, Esq. and Alison Cohen, Esq. for defendants Timothy M. McGinn and David L. Smith; William J. Brown for defendants McGinn, Smith & Co. Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC and Third Albany Income Notes, LLC. Court hears oral argument by attorney for plaintiff Securities and Exchange Commission and by attorneys for defendants Timothy M. McGinn and David L. Smith. Court reserves decision. Court addresses unrelated [186] Letter Request/Motion filed by attorneys for Timothy M. McGinn and David L. Smith re: the Motion to Compel filed at Dkt. [189] requesting permission from the court to file a redacted Memorandum of Law in support of the said motion, a redacted Exhibit "A" and a sealed Exhibit "P". Court grants the request and directs that a complete and unredacted copy of the motion papers be filed with the Clerk's Office under seal. (CRD: S. Gunter) (sg )
    194 11/22/2010 ORDER granting [103] Motion for TRO and Reconsideration. IT IS HEREBY ORDERED that: 1) The SEC's motion for reconsideration of that portion of this Court's decision filed 7/7/2010 which denied the SEC's motion for a preliminary injunction as to the Trust is GRANTED; 2) That portion of this Court's decision filed 7/7/2010 which denied the SEC's motion for a preliminary injunction as to the Trust and granted the Trust's motion to lift the TRO as to the Trust is VACATED; 3) The SEC's motion for a preliminary injunction as to the Trust is GRANTED; 4) The Trust's motion to vacate the TRO as to the Trust is DENIED; and 5) The SEC is granted leave to move for sanctions against the Trust, Wojeski, Urbelis, Dunn, Lynn Smith and Lynn Smith's counsel for the conduct described herein without the necessity of the pre-motion conference required by N.D.N.Y.L.R. 7.1(b)(2), and any such motion shall be filed on or before 1/31/2011. Signed by Magistrate Judge David R. Homer on 11/22/2010.
        11/22/2010 The SEC is to file motion for sanctions by 1/31/2011 pursuant to the Memorandum-Decision and Order
    195 11/22/2010 Non-Party Letter from Mary Ann O'Brien.
    196 11/22/2010 Joint Letter Motion from Alison B. Cohen and Richard Harper for FINRA and the FINRA Employees, Timothy M. McGinn, David L. Smith requesting A joint request for the right to file reply and surreply papers, and a request for oral argument. submitted to Judge Homer.
    197 11/23/2010 RESPONSE in Opposition re [176] MOTION Release of Certain Assets from the Preliminary Injunction Order Memorandum of Law in Opposition to Request to Release Certain Assets filed by Securities and Exchange Commission. (Attachments: # (1) Declaration)(Mehraban, Lara)
    198 11/23/2010 ORDER granting [196] Letter Request for a briefing schedule and Oral Argument re [192] MOTION to Quash: Motion Hearing set for 12/23/2010 before Magistrate Judge David R. Homer. Response to Motion due on or before 12/1/2010. Reply to Response to Motion due on or before 12/6/2010. Sur-Reply, if any, due on or before 12/9/2010. Signed by Magistrate Judge David R. Homer on 11/22/2010.
        11/23/2010
    TEXT NOTICE. Oral Argument on the Motion to Quash Subpoena [192] filed by FINRA will be held on 12/23/2010 at 10:00 AM before Hon. David R. Homer, USMJ, James Foley U.S. Courthouse 445 Broadway, Room 443, Albany, New York. (lah)
    199 11/23/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on 11.16.2010 before Judge Homer
    200 11/23/2010 Non-Party Letter from Aquatic Development Group, Inc.
    201 11/24/2010 MOTION for Attorney Fees Motion Hearing set for 12/28/2010 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 12/13/2010 Reply to Response to Motion due by 12/17/2010. filed by William J Brown. (Attachments: # (1) Application for Allowance of Compensation, # (2) Application Ex A, # (3) Application Ex B, # (4) Proposed Order/Judgment) (Brown, William)
    202 11/29/2010 RESPONSE to Motion re [169] MOTION to Intervene and Lift of Temporary Restraining Order Receiver's Response to CIT Lending Services Corporation Motion to Intervene and Vacate Stay (74 State Street Property) filed by William J Brown.
    203 11/29/2010 CERTIFICATE OF SERVICE by William J Brown re [201] MOTION for Attorney Fees (Brown, William)
    204 11/30/2010 RESPONSE in Opposition re [190] MOTION to Compel Plaintiff to Cease and Desist From Using Search Warrant Material filed by Securities and Exchange Commission. (McGrath, Kevin)
    205 11/30/2010 RESPONSE in Opposition re [189] MOTION to Compel Plaintiff to Answer Defendants' Interrogatories Plaintiff's Memorandum of Law in Opposition to Defendants' Motion to Compel Responses to Interrogatories 1, 2 and 3 filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Michael D. Paley)(Stoelting, David)
        11/30/2010 TEXT ONLY NOTICE of Hearing on Motion [169] MOTION to Intervene and Lift of Temporary Restraining Order : Motion Hearing set for 12/16/2010 AT 09:00 AM in Albany before Judge Gary L. Sharpe will be on SUBMIT only. No personal appearances are needed.(jel)
    206 11/30/2010 ORDER TO SHOW CAUSE: IT IS HEREBY ORDERED that a Show Cause Hearing is set for 12/15/2010 at 9:30 AM in Albany before Magistrate Judge David R. Homer. Opposition papers, if any, are to be served on all parties by ECF on or before 12/10/2010. Reply papers, if any, are to be served on all parties by ECF on or before 12/14/2010. Let service of a copy of this Order, together with the papers upon which it is based, upon the Plaintiff and the Defendants by ECF on or before 12/1/2010, be deemed good and sufficient service. Exhibit A has been withdrawn and returned to counsel. Signed by Magistrate Judge David R. Homer on 11/30/2010. (mab)
    207 12/1/2010 MEMORANDUM-DECISION AND ORDER granting in part and denying in part [168] Motion for Preliminary Injunction. IT IS HEREBY ORDERED that the motion of the SEC for an order of contempt is GRANTED as to Timothy M. McGinn: A) McGinn is found in contempt of the preliminary injuction order; B) McGinn is enjoined from proceeding with the SAC offering; C) McGinn is enjoined from having any involvement in the offering or sale of any securities without prior approval of the Court; D) The assets of SAC are hereby frozen; and E) McGinn shall return all distributions, payments or transfers made out of accounts held by SAC. IT IS FURTHER ORDERED that the motion of the SEC for an order of contempt is DENIED as to David L. Smith in all respects. Signed by Magistrate Judge David R. Homer on 12/1/2010. (mab)
        12/1/2010 TEXT NOTICE re [169] and [202] Motion to Intervene by CIT Lending Services Corp. An in-person conference will be held on DECEMBER 2, 2010 at 10:30 AM with Magistrate Judge David R. Homer at the James Foley U.S. Courthouse, 445 Broadway, Room 441, Albany, NY. The only participants required at this conference are William J. Brown, Esq., counsel for receiver; James Schultz, Esq., counsel for movant CIT Lending; and a representative from CIT Lending. The CIT Lending representative shall be available by telephone.
    208 12/1/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [206] Order, Set Deadlines/Hearings, Order to Show Cause in Support of Motion by ICRH to conclude engagement as special counsel
    209 12/1/2010 ORDER withdrawing [171] Motion to Quash. The SEC has withdrawn the subpoena in question, thereby rendering the motion as moot. Signed by Magistrate Judge David R. Homer on 12/1/2010.
    210 12/2/2010 RESPONSE in Opposition re [192] MOTION to Quash Subpoenas filed by Timothy M. McGinn, David L. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s), # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s), # (12) Exhibit(s), # (13) Exhibit(s), # (14) Exhibit(s), # (15) Exhibit(s), # (16) Exhibit(s), # (17) Exhibit(s), # (18) Exhibit(s))(Russo, Martin)
    211 12/2/2010 ORDER denying [143] Motion to Amend/Correct and [146] Cross-Motion to Lift Preliminary Injunction. For the reasons stated in this Order, IT IS HEREBY ORDERED that: 1) The motion of the SEC for an Order to amend the preliminary injunction order to prohibit Timothy McGinn, David Smith and Lynn Smith from incurring additional credit card debt and to require them to provide periodic accountings of their assets is DENIED; and 2) The cross-motion of Lynn Smith to lift the preliminary injunction order to permit her to use assets to pay certain legal and living expenses is DENIED. Signed by Magistrate Judge David R. Homer on 12/2/2010.
      212 12/3/2010 TRANSCRIPT of Proceedings: Evidentiary Hearing held on November 16, 2010 before Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In ord er to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within 5 business days of this date. The policy governing the redaction of personal infor mation is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessar y and the transcript will be made available on the web 90 days from today's date. 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 12/27/2010. Redacted Transcript Deadline set for 1/3/2011. Release of Transcript Restriction set for 3/3/2011. Notice of Intent to Redact due by 12/8/2010.
        12/3/2010
    Minute Entry for proceedings held re [169] before Magistrate Judge David R. Homer. A Settlement Conference was held on 12/2/2010 with William Brown, the Receiver, and James Schultz, counsel for non-party CIT. CIT currently has pending a motion to lift the preliminary injuction order to permit it to sell certain property. Settlement was discussed. Further discussions will be held between the attorneys. If Judge Homer has not heard from counsel by 12/7/2010 that the matter is resolved, a further telephone conference will be scheduled for 12/9 or 12/10. If the matter cannot be resolved, the motion will be decided.
    213 12/7/2010 REPLY to Response to Motion re [192] MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees
    214 12/7/2010 MOTION for Reconsideration re [194] Order on Motion for TRO,,,, Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski. (Attachments: # (1) Affirmation of Jill Dunn in Support, # (2) Exhibit(s) A - E, # (3) Memorandum of Law in support)
    215 12/7/2010 Non-Party Letter from James Prior
    216 12/8/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Entry of proposed Order modifying asset freeze to allow for sale of Vero Beach house submitted to Judge Homer.
        12/9/2010 TEXT NOTICE re [216] Letter Motion from SEC re motion to amend the Preliminary Injunction order to allow for the sale of a property located in Vero Beach, Florida. A Telephone Pre-Motion Conference will be held on DECEMBER 9, 2010 at 3:00 PM with Magistrate Judge David R. Homer. The conference will include attorneys Stoelting, Mehraban, Russo, Brown and Featherstonhaugh. Chambers will initiate the conference call.
        12/10/2010 Minute Entry for proceedings held re [216] before Magistrate Judge David R. Homer. A Telephone Pre-Motion Conference was held on 12/9/2010 with David Stoelting and Laura Mahraban for plaintiff; Martin Russo, James Featherstonhaugh and William Brown for defendants. Plaintiff requested leave to file a motion to lift the asset freeze as to certain property. Attorney Featherstonhaugh objected. The court granted plaintiff leave to file its motion. A written order will enter.
    217 12/10/2010 ORDER granting [216] SEC's Letter Request. IT IS ORDERED that the SEC is granted leave to file a motion for an Order lifting the asset freeze as to property held in the name of Defendant Lynn A. Smith. Signed by Magistrate Judge David R. Homer on 12/10/2010.
    218 12/15/2010 ORDER: Without objection and for good cause shown, IT IS HEREBY ORDERED that the motion of the law firm of Iseman, Cunningham, Riester & Hyde, LLP to withdraw as counsel to the David L. and Lynn A. Smith Irrevocable Trust is GRANTED and the Firm's representation of the Trust is hereby terminated effective immediately. Signed by Magistrate Judge David R. Homer on 12/15/2010.


    		219 12/15/2010 ANSWER to [100] Amended Complaint, Answer of Receivership Defendants to the Amended Complaint by First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, McGinn, Smith & Co, Inc., McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., Third Albany Income Notes, LLC. (Attachments: # (1) Affidavit)(Brown, William)
    220 12/16/2010 Letter Motion from Jill Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting extension of time to answer/move against amended complaint submitted to Judge Homer. (Attachments: # (1) Proposed Order/Judgment extending Trust defendants' time to answer/move)(Dunn, Jill)
    221 12/16/2010 MEMORANDUM-DECISION AND ORDER denying [176] Motion to Release Certain Assets from the Preliminary Injunction. For the reasons stated in this Order, IT IS HEREBY ORDERED that defendants' motion to lift the preliminary injunction order as to 1) Smith's 401(k) account and 2) McGinn's assets for use in maintaining the McGinn's Florida property is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 12/15/2010. (mab)
    222 12/16/2010 MOTION entry of propsoed Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law, # (2) Declaration of Kevin P. McGrath with Exhibits A-D, # (3) Declaration of William J. Brown, # (4) Declaration of Service) Motions referred to David R. Homer. (Stoelting, David)
    223 12/16/2010 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [222] MOTION entry of propsoed Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale (Stoelting, David)
    224 12/16/2010 MOTION to Dismiss Plaintiff's Amended Complaint Motion Hearing set for 1/20/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 1/3/2011 Reply to Response to Motion due by 1/10/2011. filed by Lynn A. Smith. (Attachments: # (1) Memorandum of Law) (Featherstonhaugh, James)
    225 12/16/2010 ANSWER to [100] Amended Complaint, by Timothy M. McGinn.(Russo, Martin)
    226 12/16/2010 ANSWER to [100] Amended Complaint, by David L. Smith.(Russo, Martin)
    227 12/16/2010 ORDER granting [220] Letter Request to extend the time for Defendants Lauren T. Smith, Geoffrey R. Smith and David M. Wojeski to answer or otherwise move against the Amended Complaint. Answer due 2/15/2011. Signed by Magistrate Judge David R. Homer on 12/16/2010. (mab)
    228 12/17/2010 Amended MOTION entry of Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale re [222] MOTION entry of propsoed Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale Amended Notice of Motion Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 filed by Securities and Exchange Commission. Motions referred to David R. Homer. (Stoelting, David)
    229 12/17/2010 MOTION for Attorney Fees Motion Hearing set for 1/20/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 1/3/2011 Reply to Response to Motion due by 1/10/2011. filed by Iseman, Cunningham, Riester & Hyde, LLP. (Attachments: # (1) Declaration of Robert H. Iseman with Ex. A and Ex. B, # (2) Memorandum of Law in support of motion) (Iseman, Robert)
    230 12/17/2010 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [229] MOTION for Attorney Fees (Iseman, Robert)
    231 12/21/2010 STIPULATION re [202] Response to Motion, [169] MOTION to Intervene and Lift of Temporary Restraining Order Stipulated Order Resolving Motion of CIT Lending Services Corporation to Intervene and Vacate Stay (74 State Street Property) by William J Brown submitted to Judge David R. Homer.
    232 12/21/2010 LETTER BRIEF regarding Niskayuna property by Securities and Exchange Commission. (Stoelting, David)
    233 12/22/2010 ORDER regarding [103] Emergency MOTION for Temporary Restraining Order filed by Securities and Exchange Commission and [104] Order to Show Cause. IT IS HEREBY ORDERED that the motion of the SEC for a preliminary injunction freezing the assets of defendant Nancy McGinn is GRANTED in its entirety; and IT IS FURTHER ORDERED that the asset freeze in the August 3, 2010 Order to Show Cause is extended pending a final disposition of this action, including McGinn's Niskayuna property and all ill-gotten gains (including money, real or personal property, securities, commodities or other property of any kind) of, held by, or under direct or indirect control of McGinn. Signed by Magistrate Judge David R. Homer on 12/22/2010. (mab)
    234 12/22/2010 STIPULATED ORDER RESOLVING [169] Motion of CIT Lending Services Corporation to Intervene and Vacate Stay (74 State Street Property). In order to resolve the motion, the Receiver and the Mortgagee agree to the terms set forth in this Stipulated Order. Signed by Magistrate Judge David R. Homer on 12/21/2010. (mab)
    235 12/23/2010 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to file responses to four pending motions submitted to Judge Sharpe and Judge Homer. (Attachments: # (1) Declaration of Service)(Stoelting, David)
        12/23/2010 TEXT ORDER re [235] Letter Motion from SEC. The request is GRANTED and responses to motions [229], [214], [222] and [228], returnable on 1/20/2011 before Magistrate Judge Homer, are EXTENDED to JANUARY 7, 2011. Signed by Magistrate Judge David R. Homer on 12/22/2010. (lah)
    236 12/23/2010 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting Withdrawal of Answer. (Jones, E.)
        12/23/2010 Text Minute Entry (FTR recorded 10:00 am - 11:30 am) for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 12/23/2010 re [192] MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees. Appearances: in-person: Richard Harper, Esq., Jenny Stewart, Esq., Terri Reicher, Esq.,(FINRA), David Stoelting, Esq., by telephone: Alison Cohen, Esq. and Martin Russo, Esqs, Lara Mehraban, Esq.Counsel for FINRA submits to the court a priveledged log of FINRA-SEC communications for in-camera review. Decision on motion reserved.(CRD: Cindy Mezoff) (cjm)
    237 12/23/2010 NOTICE by David L. Smith Notice of Substitution of Counsel (Russo, Martin)
    238 12/23/2010 NOTICE by Timothy M. McGinn Notice of Substitution of Counsel (Russo, Martin)
    239 12/27/2010 ORDER re [237] Notice of Substitution of Counsel filed by David L. Smith. Signed by Magistrate Judge David R. Homer on 12/23/2010. (mab)
    240 12/27/2010 ORDER re [238] Notice of Substitution of Counsel filed by Timothy M. McGinn. Signed by Magistrate Judge David R. Homer on 12/23/2010. (mab)
    241 12/27/2010 NOTICE of Appearance by William J. Dreyer on behalf of David L. Smith (Dreyer, William)
    242 12/27/2010 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting William Brown to withdraw Answer submitted to Judge Homer. (Dreyer, William)
        12/28/2010 TEXT NOTICE. A Telephone Conference will be held on 12/28/2010 at 11:30 AM regarding the Notice of Appearance on behalf of defendant David L. Smith by William Dreyer, Esq. and a potential conflict of interest with Magistrate Judge David R. Homer that this representation may pose. The conference will be held on-the-record. The attorneys required to appear are David Stoelting and William Dreyer. All others are not required to participate but may if they choose. Please contact chambers prior to 11:15 a.m. if participation is desired at 518-257-1850. (lah)
    243 12/29/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting William Brown to withdraw Answer submitted to Judge David R. Homer. (Featherstonhaugh, James)
    244 12/29/2010 LETTER BRIEF by CIT Lending Services Corporation. (Hill, Benjamin)
        12/29/2010 CLERK'S CORRECTION OF DOCKET ENTRY re [244] LETTER NOTICE: This docket entry has been corrected to reflect that this is a Notice to the Court that CIT Lending Services no longer has any continuing interest or involvement in the action and attorney Benjamin W. Hill should no longer be associated with this case. (sg)
    245 1/5/2011 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) The motion of Defendants Timothy M. McGinn and David L. Smith to compel the SEC to serve responses to three interrogatories [189] is DENIED in its entirety; and 2) The motion of non-parties Financial Industry Regulatory Authority ("FINRA") and four of its employees to quash five subpoenas served on them for materials and testimony [192] is GRANTED in its entirety. Signed by Magistrate Judge David R. Homer on 1/5/2011. (mab)
      246 1/5/2011 ***SEALED DOCUMENT - maintained in Clerk's Office. (mab)
    247 1/10/2011 RESPONSE in Opposition re [222] MOTION entry of propsoed Order modifying the asset freeze to allow for the sale of the Vero Beach property and appointing the Receiver to oversee the sale filed by Lynn A. Smith. (Attachments: # (1) Affidavit, # (2) Declaration)(Featherstonhaugh, James)
    248 1/10/2011 RESPONSE in Opposition re [229] MOTION for Attorney Fees Memorandum of Law filed by Securities and Exchange Commission. (Mehraban, Lara)
    249 1/10/2011 RESPONSE in Opposition re [224] MOTION to Dismiss Plaintiff's Amended Complaint Memorandum of Law filed by Securities and Exchange Commission. (Mehraban, Lara)
    250 1/10/2011 RESPONSE in Opposition re [214] MOTION for Reconsideration re [194] Order on Motion for TRO,,,, MOTION for Reconsideration re [194] Order on Motion for TRO,,,, filed by Securities and Exchange Commission. (McGrath, Kevin)
    251 1/11/2011 RESPONSE in Opposition re [214] MOTION for Reconsideration re [194] Order on Motion for TRO,,,, MOTION for Reconsideration re [194] Order on Motion for TRO,,,, Corrected Memorandum of Law and Cover Letter filed by Securities and Exchange Commission. (Attachments: # (1) Affidavit)(McGrath, Kevin)
    252 1/11/2011 Letter Motion from Richard A. Frankel for Iseman, Cunningham, Riester & Hyde, LLP requesting leave to file reply submitted to Judge David R. Homer. (Lagios, James)
    253 1/12/2011 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [252] Letter Motion from Richard A. Frankel for Iseman, Cunningham, Riester & Hyde, LLP requesting leave to file reply submitted to Judge David R. Homer (Lagios, James)
    254 1/12/2011 ORDER denying [214] Motion for Reconsideration. IT IS HEREBY ORDERED that the Trust's motion for reconsideration is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 1/11/2011. (mab)
    255 1/13/2011 ORDER granting [201] Motion for Attorney Fees. IT IS ORDERED that the First Application is approved such that payment for (i) legal and Receiver fees incurred between April 13 and July 31, 2010 ("First Interim Period") in the amount of $174,452.75 is allowed as an interim allowance; and (ii) costs and expenses incurred during the First Interim Period in the amount of $19,644.22 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 1/12/2011. (mab)
    256 1/18/2011 REPLY to Response to Motion re [229] MOTION for Attorney Fees by Richard A. Frankel filed by Iseman, Cunningham, Riester & Hyde, LLP. (Attachments: # (1) Lexis Cases)(Lagios, James)
    257 1/18/2011 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [256] Reply to Response to Motion (Lagios, James)
        1/18/2011 TEXT ONLY NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff's Amended Complaint : Due to a conflict in the court's calendar, the Motion Hearing has been reset for 3/11/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel)
    258 1/26/2011 Letter Motion from Jill A. Dunn for Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski requesting to be excused from attending 1/31/11 discovery conference submitted to Judge Homer. (Dunn, Jill)
    259 1/27/2011 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting Adjournment of Status Conference submitted to Judge David R. Homer. (Dreyer, William)
    260 1/27/2011 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting Adjournment of Status Conference submitted to Judge Homer. (Jones, E.)
        1/27/2011 TEXT ORDER granting [259] and [260] Letter Requests. The Mid-Discovery Status conference previously set for 1/31/2011 is RESCHEDULED to FEBRUARY 17, 2011 at 11:00 AM. Those attorneys participating by telephone are requested to contact chambers at 518-257-1850 prior to the conference with a contact telephone number. Signed by Magistrate Judge David R. Homer on 1/27/2011. (lah, )
    261 2/1/2011 MOTION for Sanctions Motion Hearing set for 3/17/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/28/2011 Reply to Response to Motion due by 3/7/2011. filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in Support of Plaintiff's Motion for Sanctions, # (2) Declaration of Lara Shalov Mehraban, # (3) Exhibit(s) A, # (4) Exhibit(s) B, # (5) Exhibit(s) C, D, E, F, # (6) Exhibit(s) G, H, I) (Stoelting, David)
    262 2/1/2011 MOTION for Sanctions Declaration of Service filed by Securities and Exchange Commission. (Stoelting, David)
    263 2/1/2011 ORDER granting [228] Motion to Amend the Preliminary Injunction. IT IS ORDERED that the SEC's motion for an Order amending the Preliminary Injunction to permit the sale of the Florida Property is GRANTED. IT IS FURTHER ORDERED that the Court-appointed Receiver is given sole authority to take all necessary steps to effectuate a sale of the Florida Property, including the retention of a nationally known real estate agent, and the preliminary injunction is hereby modified to permit the Receiver or the Smiths to enter into a contract for the purchase and sale of the Florida Property and to conduct a sale of the Florida Property subject to the conditions set forth in this Memorandum-Decision and Order. IT IS FURTHER ORDERED that the balance of any funds remaining shall be made payable to the Clerk of this Court. The Clerk shall deposit the funds in an interest bearing account with the Court's Registry Fund. These funds, together with any interest and income earned thereon, shall be held by the Registry Fund until further order of this Court. IT IS FURTHER ORDERED that, except as modified herein, the Preliminary Injunction Order entered July 22, 2010 remains in full force and effect. Signed by Magistrate Judge David R. Homer on 2/1/2011. (mab)
    264 2/1/2011 NOTICE of Appearance by Fred N. Knopf on behalf of David M. Wojeski, David M. Wojeski (Knopf, Fred)
    265 2/2/2011 NOTICE of Appearance by Benjamin Zelermyer on behalf of Jill A. Dunn (Zelermyer, Benjamin)
    266 2/2/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [265] Notice of Appearance (Zelermyer, Benjamin)
    267 2/4/2011 Letter Motion from Benjamin Zelermyer for Jill A. Dunn requesting Conference submitted to Judge Sharpe. (Zelermyer, Benjamin)
    268 2/7/2011 NOTICE of Appearance by Michael J. Murphy on behalf of Thomas J Urbelis (Murphy, Michael)
        2/7/2011
    TEXT ONLY ORDER The [267] letter requesting a conference is DENIED. The letter is otherwise referred to Judge Homer for further consideration. Issued by Judge Gary L. Sharpe on 2/7/2011. (jel, )
        2/8/2011
    TEXT ORDER re [267] Letter Request. The request for a conference of counsel for Jill A. Dunn, Esq. (Dkt. No. 267) is DENIED. The two procedural issues raised in that request may be addressed in response to the motion for sanctions of plaintiff Securities and Exchange Commission (Dkt. No. 261). Signed by Magistrate Judge David R. Homer on 2/8/2011. (lah, )
    269 2/8/2011 ORDER re Telephone Conference. ORDERED that defendant Lynn A. Smith is granted leave to file a motion for a stay pending appeal of this Court's order filed 2/1/2011 and any such motion shall be filed on or before 2/11/2011. Signed by Magistrate Judge David R. Homer on 2/8/2011. (dpk)
    270 2/8/2011 STIPULATION for Substitution of Counsel by Lauren T. Smith, Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
    271 2/9/2011 MOTION for Limited Admission Pro Hac Vice of Erin K. Higgins Filing fee $100, receipt number 0206-1779539. filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) A-Affidavit of Michael J. Murphy in Support of Motion, # (2) Exhibit(s) B-Certificate of Good Standing, # (3) Affidavit of Erin K. Higgins in support of motion, # (4) Proposed Order/Judgment to Admit Pro Hac Vice, # (5) Supplement E-Filing Registration Form) Motions referred to David R. Homer. (Murphy, Michael)
    272 2/9/2011 MOTION for Limited Admission Pro Hac Vice of Thomas E. Peisch Filing fee $100, receipt number 0206-1779561. filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) A-Affidavit of Michael J. Murphy in support of motion, # (2) Exhibit(s) B-Certificate of Good Standing, # (3) Affidavit of Thomas E. Peisch in support of motion, # (4) Proposed Order/Judgment to Admit Pro Hac Vice, # (5) Supplement E-Filing Registration Form) Motions referred to David R. Homer. (Murphy, Michael)
    273 2/9/2011 ORDER approving [270] Stipulation of Substitution of Counsel. Signed by Magistrate Judge David R. Homer on 2/8/11. (mab)
    274 2/9/2011 ORDER granting [271] Motion for Limited Admission Pro Hac Vice of Erin K. Higgins. Signed by Magistrate Judge David R. Homer on 2/9/2011. (mab)
    275 2/9/2011 ORDER granting [272] Motion for Limited Admission Pro Hac Vice of Thomas E. Peisch. Signed by Magistrate Judge David R. Homer on 2/9/2011. (mab)
        2/9/2011 TEXT NOTICE. A Pre-Motion Conference will be held on FEBRUARY 10, 2011 at 10:00 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. Conference Participants will include David Stoelting, counsel for plaintiff; William Brown, receiver, and Nancy McGinn, pro se defendant. (lah, )
        2/9/2011
    TEXT NOTICE. A Pre-Motion Conference will be held on FEBRUARY 10, 2011 at 11:00 AM with Magistrate Judge David R. Homer in chambers, Room 441, James Foley U.S. Courthouse, Albany, NY. Conference participants include Receiver, William Brown, Esq. and counsel for proposed intervenors, Craig Norman, Esq. Any counsel who wish to participate by telephone are requested to contact chambers prior to the conference at 518-257-1850. (lah, )
    276 2/11/2011 ORDER MODIFYING ASSET FREEZE TO ALLOW THE SALE OF CERTAIN PROPERTY. IT IS ORDERED that the Court-appointed Receiver is given sole authority to take all necessary steps to oversee a sale of the New York Property, including the retention of a real estate agent, and the Freeze Order is hereby modified to permit the Receiver or Nancy McGinn (with the Receiver's prior written consent) to enter into a contract for the purchase and sale of the New York Property, and to close a sale of the New York Property subject to the terms and conditions set forth in this Order. IT IS FURTHER ORDERED that, except as modified herein, the [96] Preliminary Injunction Order dated July 22, 2010, as modified by the Orders dated [194] November 22, 2010, [207] December 1, 2010 and [233] December 22, 2010 remain in full force and effect. Signed by Magistrate Judge David R. Homer on 2/11/2011. (mab)
    277 2/11/2011 MEMORANDUM-DECISION AND ORDER. IT IS HEREBY ORDERED, for the reasons set forth in this Memorandum-Decision and Order, that the [229] Motion of Iseman Cunningham to lift the asset freeze to permit payment of its legal fees and costs is DENIED. Signed by Magistrate Judge David R. Homer on 2/11/2011. (mab)
        2/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held on 2/10/2011 by telephone at the request of defendant pro se Nancy McGinn. David Stoelting and Lara Mahraban appeared for the SEC. William Brown was present as the Receiver, and Nancy McGinn, pro se. McGinn advised she wishes to sell her primary residence. At the conclusion of the conference, it was agreed that the house could be sold. The court directed Stoeling prepare a proposed order and submit to Judge Homer. (lah, )
    278 2/11/2011 MOTION to Stay re [263] Order on Motion for Miscellaneous Relief,,,,, Motion Hearing set for 3/17/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/28/2011 filed by Lynn A. Smith(Relief Defendant). (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer. (Featherstonhaugh, James)
        2/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held on 2/10/2011 with Receiver, William Brown, Craig Norman, local counsel for the Shoma Group and Fred Silva (by telephone) in-house counsel for the Shoma Group. The conference was held as the result of an application for an order by the Shoma Group. The attorneys arrived at an informal agreement. The applications for the orders to show cause were returned to Norman. (lah, )
    279 2/11/2011 NOTICE OF APPEAL as to [263] Order on Motion for Miscellaneous Relief,,,,, by Lynn A. Smith(Relief Defendant). Filing fee $ 455, receipt number 0206-1782614. (Featherstonhaugh, James)
    280 2/11/2011 STIPULATION for Consent Order Granting Substitution of Parties by Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
    281 2/14/2011 ORDER re [280] Substitution of Geoffrey R. Smith as Trustee of the David L. and Lynn Smith Irrevocable Trust U/A 8/04/04. Signed by Magistrate Judge David R. Homer on 2/14/2011. (mab)
    282 2/16/2011 NOTICE of Appearance by James D. Featherstonhaugh on behalf of Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith (Featherstonhaugh, James)
    283 2/16/2011 MOTION to Dismiss Plaintiff's Amended Complain Motion Hearing set for 3/24/2011 09:30 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 3/7/2011 Reply to Response to Motion due by 3/14/2011. filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law) (Featherstonhaugh, James)
        2/17/2011 TEXT ORDER. On February 16, 2011, defendant Lynn A. Smith telephonically requested an expedited decision on the Motion to Stay Pending Appeal [278]. A review of the Lynn Smith motion papers indicates that no opposition papers are required for a determination of the motion. Accordingly, no opposition papers need be filed and an expedited decision will be rendered. Signed by Magistrate Judge David R. Homer on 2/17/2011. (lah, )
        2/17/2011 TEXT ONLY NOTICE of Hearing on Motion [283] MOTION to Dismiss Plaintiff's Amended Complain : The motion return dated selected was not the court's next regularly scheduled return date. Therefore, the motion has been rescheduled as follows: Response to Motion due by 3/21/2011 Reply to Response to Motion due by 3/28/2011. Motion Hearing has been reset for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel, )
        2/17/2011 TEXT ONLY NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff's Amended Complaint : Due to the filing of the [283] Motion to Dismiss Plaintiff's Amended Complaint, this motion has been rescheduled as follows: Motion Hearing has been reset for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe. (jel, )
        2/17/2011 TEXT NOTICE. A Telephone Mid-Discovery Status Conference will be held on MAY 31, 2011 at 10:30 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
    284 2/17/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith re [283] MOTION to Dismiss Plaintiff's Amended Complain (Featherstonhaugh, James)
    285 2/18/2011 MEMORANDUM-DECISION and ORDER denying [278] Motion to Stay. For the reasons set forth in this Order, Lynn Smith's motion for a stay of this Court's Order filed February 1, 2011 is DENIED. Signed by Magistrate Judge David R. Homer on 2/18/2011. (mab)
    286 2/23/2011 Letter Motion from Scott J. Ely for Lynn A. Smith requesting two-week extension to file responses to Plaintiff's Motion for Sanctions submitted to Judge David R. Homer. (Featherstonhaugh, James)
    287 2/23/2011 Responsive Letter Motion from Benjamin Zelermyer for Jill A. Dunn requesting Extension of Time to Respond to Motion for Sanctions submitted to Judge David R. Homer. (Zelermyer, Benjamin)
    288 2/23/2011 Letter Request Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting two week extension to file responses to plaintiff's motion for sanctions submitted to Judge David R. Homer. (Murphy, Michael)
        2/23/2011 TEXT ORDER granting [286], [287] and [288] Letter Requests re [261] SEC's Motion for Sanctions. Response papers shall be e-filed on or before MARCH 21, 2011. No reply papers are permitted without leave of court. Motion Hearing set for 4/7/2011 before Magistrate Judge David R. Homer. No oral argument will be held -- the motion will be decided on submission of the papers. Signed by Magistrate Judge David R. Homer on 2/23/2011. (lah, )
        2/23/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Mid-Discovery Status Conference was held on 2/17/2011 with counsel for all parties and defendant pro se Nancy McGinn. The parties reported on status of discovery to date. The pretrial deadlines will be extended. A written order will enter. (lah, )
    289 2/23/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [279] Notice of Appeal. (mab)
    290 2/24/2011 ORDER regarding the mid-discovery conference held on 2/17/2011 with all parties. IT IS HEREBY ORDERED that the [136] Uniform Pretrial Scheduling Order filed September 7, 2011 is hereby amended as follows: 1) The deadline for completion of discovery is hereby extended to 12/1/2011; 2) The deadline for filing dispositive motions is hereby extended to 2/15/2012; 3) The Trial Ready date is hereby extended to 3/15/2012; and 4) The Uniform Pretrial Scheduling Order, as amended, remains in full force and effect in all other respects. IT IS FURTHER ORDERED that a further status conference will be held on 9/6/2011 at 10:00 AM in the chambers of Magistrate Judge David R. Homer to review the status of discovery in the case. Signed by Magistrate Judge David R. Homer on 2/23/2011. (mab)
    291 3/3/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extenstion of briefing schedule for motion to dismiss amended complaint filed by the Trust, Geoffrey Smith and Lauren Smith submitted to Judge Sharpe. (Stoelting, David)
    292 3/3/2011 ELECTRONIC CERTIFICATION OF NON-ELECTRONIC DOCUMENT(S) sent to US Court of Appeals. Sealed documents 193 and 246 sent to the US Court of Appeals. (mab)
    293 3/4/2011 Letter Motion from Scott J. Ely for Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith requesting consolidation of their Motions to Dismiss submitted to Judge Gary L. Sharpe. (Featherstonhaugh, James)
    294 3/4/2011 ORDER finding as moot [291] Letter Request. The Court deems the request moot. On 2/17/2011, the Court issued a Text Notice rescheduling the motion for 4/7/2011 at 9:00 AM. Response papers are due on or before 3/21/2011. Reply papers are to be filed on or before 3/28/2011. Signed by Judge Gary L. Sharpe on 3/4/2011. (mab)
    295 3/4/2011 ORDER finding as moot [293] Letter Request. The Court deems the request as moot. On 2/17/2011, the Court issued a Text Notice rescheduling both pending motions for 4/7/2011 at 9:00 AM. Signed by Judge Gary L. Sharpe on 3/4/2011. (mab)
    296 3/8/2011 NOTICE OF APPEAL as to [254] Order on Motion for Reconsideration by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. Filing fee $ 455, receipt number 0206-1801075. (Featherstonhaugh, James)
    297 3/8/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [296] Notice of Appeal. (ban)
    298 3/17/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to file brief opposing motion to dismiss submitted to Judge Sharpe. (Stoelting, David)
    299 3/18/2011 ORDER granting [298] Letter Request for an extension of the briefing schedule for [283] MOTION to Dismiss Plaintiff's Amended Complaint. Plaintiff's opposition due by 3/25/2011. Defendants' reply due by 4/1/2011. Signed by Judge Gary L. Sharpe on 3/18/2011. (mab)
    300 3/21/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, Opposition filed by Jill A. Dunn. (Attachments: # (1) Appendix Aretakis v. Durivage, # (2) Appendix B.R. v. Lake Placid, # (3) Appendix Gollomp v. Spitzer, # (4) Appendix Hoblock v. Albany County)(Zelermyer, Benjamin)
    301 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions Declaration of Benjamin Zelermyer filed by Jill A. Dunn. (Attachments: # (1) Exhibit(s) 1 Memorandum Decision & Order July 7, 2010, # (2) Exhibit(s) 2 Memorandum Decision & Order November 22, 2010, # (3) Exhibit(s) 3 Memorandum Decision & Order January 11, 2011, # (4) Exhibit(s) 4 Temporary Restraining Order April 20, 2010, # (5) Exhibit(s) 5 List of Accounts, # (6) Exhibit(s) 6 Excerpts from Transcript of Hearing November 16, 2010, # (7) Exhibit(s) 7 Order Granting Leave to Intervene May 28, 2010, # (8) Exhibit(s) 8 Consents to Jurisdiction, # (9) Exhibit(s) 9 Trust's Consent to Jurisdiction, # (10) Exhibit(s) 10 Transcript of Hearing June 9, 10, 11, 2010 (cover pages only), # (11) Exhibit(s) 11 Order Denying SEC Request to Freeze Trust July 23, 2010, # (12) Exhibit(s) 12 Excerpts from Dunn Declaration September 3, 2010, # (13) Exhibit(s) 13 Annuity Agreement August 31, 2004, # (14) Exhibit(s) 14 Excerpts from Amended Complaint August 2, 2010, # (15) Exhibit(s) 15 Excerpts from SEC Memo of Law August 3, 2010, # (16) Exhibit(s) 16 Excerpts from Transcript of Hearing June 11, 2010, # (17) Exhibit(s) 17 Order to Show Cause August 3, 2010, # (18) Exhibit(s) 18 Declaration of Service January 31, 2011, # (19) Exhibit(s) 19 Wojeski e-mail to Dunn July 21, 2010, # (20) Exhibit(s) 20 Excerpts from Transcript of Urbelis Deposition June 1, 2010, # (21) Exhibit(s) 21 Letter from David Smith to Urbelis August 4, 2004, # (22) Exhibit(s) 22 Excerpts from SEC Reply Memo of Law September 14, 2010, # (23) Exhibit(s) 23 SEC letter to Dunn July 27, 2010, # (24) Exhibit(s) 24 Dunn letter to SEC July 29, 2010, # (25) Exhibit(s) 25 Excerpts from SEC First Request for Documents September 17, 2010, # (26) Exhibit(s) 26 Dunn Declaration November 15, 2010, # (27) Exhibit(s) 27 Wojeski Indemnity Agreement July 22, 2010, # (28) Exhibit(s) 28 Urbelis Indemnity Agreement November 10, 2008, # (29) Exhibit(s) 29 SEC Exhibit List November 12, 2010, # (30) Exhibit(s) 30 Excerpts from SEC Opposition January 7, 2011, # (31) Exhibit(s) 31 Excerpts from Memorandum Decision & Order February 11, 2011)(Zelermyer, Benjamin)
    302 3/22/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [300] Memorandum of Law, [301] Affidavit in Opposition to Motion,,,,,,,, (Zelermyer, Benjamin)
    303 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, In Opposition to SEC's Motion for Sanctions Against Defendant/Relief Defendant Lynn A. Smith filed by Lynn A. Smith. (Attachments: # (1) Affidavit)(Featherstonhaugh, James)
    304 3/22/2011 NOTICE of Appearance by Scott J. Ely on behalf of James D. Featherstonhaugh (Ely, Scott)
    305 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, Opposition filed by David M. Wojeski. (Attachments: # (1) Appendix of LEXIS cases)(Knopf, Fred)
    306 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions filed by David M. Wojeski. (Knopf, Fred)
    307 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, In Opposition to SEC's Motion for an Evidentiary Hearing Relating to the Conduct of Attorney James D. Featherstonhaugh filed by James D. Featherstonhaugh. (Attachments: # (1) Affidavit)(Ely, Scott)
    308 3/22/2011 MEMORANDUM OF LAW re [261] Motion for Sanctions,, in Opposition to SEC's Motion for Sanctions filed by Thomas J Urbelis. (Higgins, Erin)
    309 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions Affidavit of Thomas J. Urbelis filed by Thomas J Urbelis. (Attachments: # (1) Exhibit(s) to Affidavit of Thomas J. Urbelis)(Higgins, Erin)
    310 3/22/2011 CERTIFICATE OF SERVICE by Thomas J Urbelis re [309] Affidavit in Opposition to Motion, [308] Memorandum of Law in Opposition to SEC's Motion for Sanctions (Higgins, Erin)
    311 3/22/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [303] Memorandum of Law in Opposition to Plaintiff's Motion for Sanctions (Featherstonhaugh, James)
    312 3/22/2011 CERTIFICATE OF SERVICE by James D. Featherstonhaugh re [307] Memorandum of Law, in Opposition to Plaintiff's Motion for an Evidentiary Hearing (Ely, Scott)
    313 3/28/2011 MEMORANDUM OF LAW of Plaintiff in Opposition to Motion to Dismiss Filed by the David L. and Lynn A. Smith Irrevocable Trust, Geoffrey R. Smith and Lauren T. Smith filed by Securities and Exchange Commission. (Stoelting, David)
    314 3/29/2011 MOTION Compensation for Services Rendered Final Application of Broussard, Poche, Lewis & Breaux, L.L.P. for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    315 3/29/2011 MOTION Compensation for Services Rendered Final Application of BDO USA LLP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    316 3/29/2011 MOTION Compensation for Services Rendered First Interim Application of David J. Boland, CPA CTP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Proposed Order/Judgment, # (4) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    317 3/29/2011 MOTION Compensation for Services Rendered First Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees and Expenses Motion Hearing set for 5/19/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 5/2/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A - Declaration, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    318 3/31/2011 REPLY to Response to Motion re [283] MOTION to Dismiss Plaintiff's Amended Complain and Plaintiff's Opposition to Motion to Dismiss [313] filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. (Featherstonhaugh, James)
        4/4/2011
    NOTICE of Hearing on Motion [224] MOTION to Dismiss Plaintiff's Amended Complaint, [283] MOTION to Dismiss Plaintiff's Amended Complain : Motion Hearing set for 4/7/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe will be on SUBMIT only. No personal appearances are needed.(jel, )
    319 5/3/2011 NOTICE of Appearance by Haimavathi V. Marlier on behalf of Securities and Exchange Commission (Marlier, Haimavathi)
    320 5/4/2011 NOTICE of Appearance by Joshua M. Newville on behalf of Securities and Exchange Commission (Newville, Joshua)
    321 5/9/2011 MEMORANDUM-DECISION and ORDER, that Lynn Smith's [224] Motion to Dismiss is DENIED. That the Trust, Geoffrey Smith, and Lauren Smith's [283] Motion to Dismiss is GRANTED in part as to the fraudulent conveyance claims against Lauren Smith and Geoffrey Smith in his individual capacity. That the Trust, Geoffrey Smith, and Lauren Smith's [283] Motion to Dismiss is DENIED in part as to the fraudulent conveyance claim against the Trust. That the SEC is GRANTED limited leave to re-amend its complaint, in full compliance with the terms of this Order, within thirty (30) days from the date of the filing of this Order, after which Geoffrey Smith and Lauren Smith shall respond to the complaint as permitted under the Federal Rules of Civil Procedure. That if the SEC fails to file an amended complaint within thirty (30) days from the date of the filing of this Order, the Clerk of the Court shall enter judgment dismissing Geoffrey Smith and Lauren Smith from this action without further order of the court. Signed by Judge Gary L. Sharpe on 5/6/2011. (jel, )
        5/9/2011 Set Deadlines/Hearings: Notice of Compliance Deadline 6/8/2011. Case Review Deadline 6/9/2011. (jel, )
        5/10/2011 USCA Case Number is 11-0916 for [296] Appeal, filed by Lauren T. Smith, Geoffrey R. Smith. [LEAD case number for all three appeals is 10-3576] (cbm )
    322 5/12/2011 ORDER denying [190] Motion to Compel. IT IS HEREBY ORDERED that Defendants' motion for an order compelling the SEC to (i) cease and desist using documents and information in its possession, custody and control which were obtained through the execution of search warrants, and (ii) return such documents and information to criminal law enforcement authorities is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
    323 5/16/2011 ORDER granting [314] Final Application of Broussard, Poche, Lewis & Breaux, L.L.P. for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
    324 5/16/2011 ORDER granting [315] Final Application of BDO USA LLP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amounts as allowed pursuant to to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
    325 5/16/2011 ORDER granting [316] Final Application of David J. Boland, CPA CTP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
    326 5/16/2011 ORDER granting [317] Final Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees and Expenses. IT IS HEREBY ORDERED that the Application is approved and that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 5/16/2011. (mab)
    327 5/16/2011 Non-Party Letter from Dorothy H. Puglisi. (mab)
    328 5/19/2011 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting a pre-motion conference for permission to file motion to compel compliance with subpoena submitted to Judge Homer. (McGrath, Kevin)
        5/19/2011 TEXT ORDER re [328] Letter Request from SEC. Pursuant to N.D.N.Y.L.R. 7.1(b)(2), the SEC is GRANTED leave to file a motion regarding the crime fraud exception to the attorney-client privilege. Signed by Magistrate Judge David R. Homer on 5/19/2011. (lah, )
    329 5/24/2011 ANSWER to [100] Amended Complaint, by Lynn A. Smith.(Featherstonhaugh, James)
    330 5/24/2011 ANSWER to [100] Amended Complaint, by Geoffrey R. Smith.(Featherstonhaugh, James)
    331 5/24/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [330] Answer to Amended Complaint on behalf of Defendant/Intervenor Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust (Featherstonhaugh, James)
    332 5/24/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [329] Answer to Amended Complaint (Featherstonhaugh, James)
    333 5/31/2011 Non-Party Letter from Monica and Peter Check. (mab)
    334 6/8/2011 AMENDED COMPLAINT Second Amended Complaint against All Defendants filed by Securities and Exchange Commission.(Stoelting, David)
    335 6/29/2011 Letter Motion from Benjamin W. Hill, Esq. for David L. Smith requesting extenstion of time to answer 2nd Amended Complaint submitted to Judge Homer. (Hill, Benjamin)
    336 6/29/2011 ORDER granting [335] Letter Request for an extension of time for Defendants David L. Smith, Timothy M. McGinn, Lynn A. Smith, Geoffrey R. Smith and Lauren T. Smith to respond to the Second Amended Complaint. Response due 7/10/2011. Signed by Magistrate Judge David R. Homer on 6/29/2011. (mab)
        6/30/2011 Pursuant to the request of defendant pro se Nancy McGinn, a telephone conference will be held regarding the sale and proceeds of certain personal property with Receivor, William Brown, Ms. McGinn, and Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
        7/1/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 7/1/2011 with Receiver William Brown and defendant Nancy McGinn. The court granted Ms. McGinn's request for leave to retain the proceeds of the sale of certain furniture. A written order will be entered. (lah, )
    337 7/1/2011 ORDER regarding the telephone conference held on 7/1/2011 with Receiver William Brown and Defendant Nancy McGinn. IT IS HEREBY ORDERED that Nancy McGinn's request for leave to retain proceeds of the sale of furniture from her residence without requiring that all or any portion thereof be paid over to the Receiver is GRANTED. Signed by Magistrate Judge David R. Homer on 7/1/2011. (mab)
    338 7/7/2011 MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP Motion Hearing set for 8/18/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 8/1/2011 filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law in Support of Motion to Compel, # (2) Declaration of David Stoelting, # (3) Exhibit(s) 1, # (4) Exhibit(s) 2, # (5) Exhibit(s) 3, # (6) Exhibit(s) 4, # (7) Exhibit(s) 5, # (8) Exhibit(s) 6, # (9) Exhibit(s) 7, # (10) Exhibit(s) 8, # (11) Exhibit(s) 9) Motions referred to David R. Homer. (Stoelting, David)
        7/7/2011 TEXT NOTICE re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. A telephone pre-motion conference will be held on JULY 7, 2011 at 2:30 PM with Magistrate Judge Homer, SEC counsel, and counsel for non-parties Lavelle & Finn, LLP and Martin Finn. Chambers will initiate the conference call. (lah, )
    339 7/7/2011 Letter Motion from Benjamin W. Hill, Esq. for Timothy M. McGinn, David L. Smith, Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith requesting Extension to Respond to 2nd Amended Complaint submitted to Judge Homer. (Hill, Benjamin)
    340 7/8/2011 ORDER granting [339] Letter Request for an extension of time for Defendants David L. Smith, Timothy M. McGinn, Lynn A. Smith, Geoffrey R. Smith and Lauren T. Smith to respond to the Second Amended Complaint. Response due 7/29/2011. Signed by Magistrate Judge David R. Homer on 7/8/2011. (mab)
        7/11/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Pre-Motion Conference was held by telephone on 7/7/2011 re [338] with counsel for plaintiff, counsel for defendants David Smith and Lynn Smith, and counsel for Lavelle & Finn, LLP. A briefing schedule was set re the motion to quash. A written order will be entered. (lah, )
    341 7/11/2011 ORDER setting schedule re [338] MOTION to Compel filed by Plaintiff Securities and Exchange Commission. IT IS HEREBY ORDERED that 1) Any opposition to the motion shall be filed on or before 8/12/2011; 2) Any reply shall be filed on or before 8/26/2011; and 3) The motion shall be returnable on 9/9/2011 at 9:30 AM, but shall be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 7/8/2011. (mab)
    342 7/20/2011 MEMORANDUM-DECISION and ORDER granting in part and denying in part [261] Plaintiff SEC's Motion for Sanctions. IT IS HEREBY ORDERED that SEC's motion for sanctions is: 1) GRANTED as to Lynn A. Smith in all respects and that on or before 9/1/2011, Ms. Smith shall disgorge to the Receiver on behalf of the Trust and pay to the SEC the total amounts set forth in this Order. If Ms. Smith fails to disgorge and pay such amounts, the SEC may have judgment against her for any amount which remains unpaid; 2) GRANTED as to Jill A. Dunn, Esq. to the extent that on or before 9/1/2011 she disgorge to the Receiver on behalf of the Trust the total amount set forth in this Order and if Ms. Dunn fails to disgorge such amount, the SEC may have judgment against her for any amount which remains unpaid. The motion is also granted to the extent that she is publicly admonished for deliberately filing a false declaration. The motion is otherwise DENIED; 3) GRANTED as to David M. Wojeski to the extent that on or before 9/1/2011 he disgorge to the Receiver on behalf of the Trust the total amount set forth in this Order and if Mr. Wojeski fails to disgorge such amount, the SEC may have judgment against him for any amount which remains unpaid. The motion is also granted to the extent that he is publicly admonished for deliberately filing a false declaration. The motion is otherwise DENIED; 4) DENIED in all respects as to Thomas J. Urbelis, Esq; and 5) DENIED in all respects as to James D. Featherstonhaugh, Esq. Signed by Magistrate Judge David R. Homer on 7/20/2011. (mab)
    343 7/27/2011 Letter Motion from William J. Brown, Receiver for William J Brown requesting Vacatur of Stay as to Certain Real Property submitted to Judge David R. Homer. (Attachments: # (1) Proposed Order/Judgment)(Brown, William)
        7/28/2011 TEXT ORDER re [343] Letter Motion from William J. Brown, Receiver, requesting Vacatur of Stay as to Certain Real Property. Any party wishing to file an OPPOSITION to the Receiver's request shall e-file any opposition on or before AUGUST 3, 2011. Signed by Magistrate Judge David R. Homer on 7/28/2011. (lah, )
    344 7/29/2011 ANSWER to [334] Amended Complaint by Lynn A. Smith.(Featherstonhaugh, James)
    345 7/29/2011 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [344] Answer to Amended Complaint (Featherstonhaugh, James)
    346 7/29/2011 ANSWER to [334] Amended Complaint by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith.(Featherstonhaugh, James)
    347 7/29/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Geoffrey R. Smith re [346] Answer to Amended Complaint (Featherstonhaugh, James)
    348 7/30/2011 ANSWER to [334] Amended Complaint by David L. Smith.(Hill, Benjamin)
    349 7/30/2011 CERTIFICATE OF SERVICE by David L. Smith of Answer to Second Amended Complaint (Hill, Benjamin)
    350 7/30/2011 ANSWER to [334] Amended Complaint by Timothy M. McGinn.(Jones, E.)
    351 8/1/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Jill A. Dunn Motion Hearing set for 9/1/2011 09:00 AM in Albany before Judge Gary L. Sharpe (Attachments: # (1) Memorandum of Law)(Zelermyer, Benjamin)
    352 8/1/2011 Emergency MOTION for Temporary Restraining Order Staying Sanctions Imposed by Memorandum-Decision and Order Filed July 20, 2011 by Jill A. Dunn. (Attachments: # (1) Declaration of Benjamin Zelermyer, Esq.)(Zelermyer, Benjamin)
    353 8/1/2011 Amended MOTION for Temporary Restraining Order Staying Sanctions Imposed by Memorandum-Decision and Order Filed July 20, 2011 by Jill A. Dunn. (Attachments: # (1) Declaration of Benjamin Zelermyer, Esq. (corrected))(Zelermyer, Benjamin)
        8/1/2011 Text Only Order - On August 1, 2011, non-party Jill Dunn, Esq., filed an application for an order to show cause seeking an Order staying the sanctions imposed on Dunn by the Memorandum-Decision and Order of United States Magistrate Judge David R. Homer filed July 20, 2011. See Dkt. Nos. 351-353. Based on Dunns application, it is hereby ORDERED, that the plaintiff is to electronically file its response to Dunns application for an order staying the sanctions by 12:00 p.m. on Wednesday, August 10, 2011. IT IS FURTHER ORDERED, that upon receipt of all papers, notice will be sent to the parties advising of the return date. IT IS FURTHER ORDERED, that the Clerk is directed to serve a copy of this text order upon all parties at the addressed listed on the docket in accordance with the courts local rules. Response to Motion due by 12:00 p.m. on 8/10/2011. Signed by Judge Gary L. Sharpe on 8/1/2011. (jel, )
    354 8/3/2011 CERTIFICATE OF SERVICE by Jill A. Dunn Notice of Objections/Appeal, Objections and Memorandum of Law in Support of Objections, Proposed Order to Show Cause and Corrected Declaration dated August 1, 2011 (Zelermyer, Benjamin)
    355 8/3/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by David M. Wojeski re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Knopf, Fred)
    356 8/4/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Featherstonhaugh, James)
    357 8/4/2011 APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, Motion Hearing set for 9/15/2011 09:00 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 8/29/2011 (Attachments: # (1) Memorandum of Law)(Featherstonhaugh, James)
    358 8/4/2011 CONSENT ORDER Vacating Stay as to Certain Real Property. The Court hereby Orders that the stay applicable to the property is hereby vacated without the necessity of further action by the County of Albany. Signed by Magistrate Judge David R. Homer on 8/4/2011. (mab)
    359 8/4/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [356] APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Lynn A. Smith re [342] Order on Motion for Sanctions,,,,,, (Featherstonhaugh, James)
    360 8/4/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [357] APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, APPEAL OF MAGISTRATE JUDGE DECISION to District Court by Geoffrey R. Smith re [342] Order on Motion for Sanctions,,,,,, (Featherstonhaugh, James)
    361 8/4/2011 LETTER BRIEF Regarding Florida Property by William J Brown. (Brown, William)
    362 8/10/2011 RESPONSE TO ORDER TO SHOW CAUSE filed by Securities and Exchange Commission. (Stoelting, David)
    363 8/11/2011 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting Setting August 29, 2011 as Plaintiff's date to Respond to Jill Dunn's Notice of Objections/Appeal submitted to Judge Gary L. Sharpe. (McGrath, Kevin)
        8/12/2011 Text Only Order - On August 1, 2011, non-party Jill Dunn, Esq., filed an application for an order to show cause seeking an Order staying the sanctions imposed by the Memorandum-Decision and Order of United States Magistrate Judge David R. Homer filed July 20, 2011. See Dkt. Nos. 351-353. On August 10, 2011, the SEC filed an opposition to attorney Jill Dunns request for a stay of sanctions. The court concurs with the rationale stated by the SEC concerning the courts lack of jurisdiction. Accordingly, for the reasons articulated in the SECs opposition (Dkt. 362), any appeal should be directed to the Court of Appeals. Issued by Judge Gary L. Sharpe on 8/11/2011. (jel, )
    364 8/12/2011 ORDER granting [363] Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting Setting August 29, 2011 as Plaintiff's date to Respond to Jill Dunn's Notice of Objections/Appeal. Motion Hearing set for 9/15/2011 at 09:00 AM in Albany before Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. Response to Motion due by 8/29/2011. Signed by Judge Gary L. Sharpe on 8/12/2011. (jel, )
    365 8/17/2011 MOTION Approval of a Settlement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. filed by William J Brown. (Attachments: # (1) Exhibit(s) A&B) Motions referred to David R. Homer. (Brown, William)
        8/17/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. Conferences were held on-the-record on 8/10 and 8/12/2011 with David Stoelting for plaintiff, counsel for non-parties, and Scott Ely for defendants David and Lynn Smith to establish procedures for the resolution of the motion to compel. [338]. A briefing schedule was set. A written order will be entered. (lah, )
    366 8/17/2011 LETTER BRIEF Letter requesting hearing date on Motion to Approve Settlement Agreement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. (Docket No. 365) by William J Brown. (Brown, William)
    367 8/17/2011 ORDER regarding [338] Plaintiff SEC's Motion to Compel. IT IS HEREBY ORDERED that: 1) On or before 8/19/2011, the non-parties and Defendants David and Lynn Smith shall serve uopn Plaintiff a privilege log; 2) On or before 8/31/2011, non-parties Martin Finn and LaVelle & Finn shall submit to Chambers for ex parte in camera review the documents which are responsive to the subpoenas as issue on this motion; 3) On or before 8/31/2011, David and Lynn Smith shall file any opposition or presentation as set forth in this Order; 4) On or before 9/9/2011, Plaintiff may file reply papers to the publicly filed papers of either Defendant; and 5) The motion will be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 8/16/2011. (mab)
        8/17/2011 Set Deadline: Pursuant to the [367] Order, non-parties Martin Finn and LaVelle & Finn are to submit to Chambers documents for ex parte in camera review on or before 8/31/2011. (mab)
    368 8/17/2011 ORDER Setting Hearing on [365] MOTION Approval of a Settlement on behalf of McGinn Smith Firstline Funding, LLC with Security Systems, Inc. Motion Hearing set for 8/30/2011 at 9:30 AM in Albany, NY before Magistrate Judge David R. Homer. Signed by Magistrate Judge David R. Homer on 8/17/2011. (mab)
      369 8/17/2011 ***SEALED DOCUMENT Non-Party Letter - contains confidential financial information. (mab)
    370 8/19/2011 Letter Motion from Kevin McGrath for Securities and Exchange Commission requesting Clarification of Court's August 11 Order Regarding Lack of Jurisdiction to Hear Objections/Appeals from July 20 MDO submitted to Judge Sharpe. (McGrath, Kevin)
        8/22/2011 Text Only Order - The plaintiffs request (Dkt. No. 370) is granted. The Appeals of Magistrate Judge Decision (Dkt. Nos. 351, 355-357) are DENIED for this court lacks jurisdiction to consider any of the Notices of Objections/Appeal from Judge Homers July 20 Memorandum-Decision and Order for the reasons set forth in its August 11 Order and direct that any appeal from the July 20 Memorandum-Decision and order are to be filed with the Court of Appeals. IT IS SO ORDERED. Issued by Judge Gary L. Sharpe on 8/22/2011. (jel, )
    371 8/24/2011 RESPONSE TO LETTER BRIEF filed by Jill A. Dunn as to [370] Letter Request/Motion filed by Securities and Exchange Commission. (Zelermyer, Benjamin)
        8/30/2011 TEXT NOTICE. Any party wishing to appear by telephone for the Discovery Status Conference set for September 6, 2011 at 10:00 AM with Magistrate Judge Homer may do so. Please use the dial-in teleconferencing number provided to you by email from plaintiff SEC. Please contact chambers if you have any questions.(lah, )
    372 8/30/2011 ORDER re [365] Motion of William J. Brown, as Receiver, for an Order Approving Settlement with Security Systems, Inc. IT IS HEREBY ORDERED that the motion is approved. Signed by Magistrate Judge David R. Homer on 8/30/2011. (mab)
    373 9/1/2011 MEMORANDUM OF LAW re [338] Motion to Compel,, In Opposition filed by Lynn A. Smith(Relief Defendant). (Featherstonhaugh, James)
    374 9/1/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [373] Memorandum of Law in Opposition to SEC's Motion to Compel (Featherstonhaugh, James)
    375 9/12/2011 REPLY to Response to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP filed by Securities and Exchange Commission. (Stoelting, David)
    376 9/13/2011 MOTION to Stay Motion Hearing set for 10/20/2011 09:30 AM in Albany before Judge Gary L. Sharpe Response to Motion due by 10/3/2011 filed by Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer. (Featherstonhaugh, James)
    377 9/13/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [376] MOTION to Stay (Featherstonhaugh, James)
        9/13/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A status conference was held on 9/6/2011 with counsel for all parties. The attorneys reported on the progress of discovery to date. A further telephone conference will be held on 10/4/2011 at 10:30 AM to discuss whether a settlement conference would be useful. (lah, )
        9/13/2011 TEXT NOTICE: A Telephone Conference regarding the usefulness of a settlement conference will be held on OCTOBER 4, 2011 at 10:30 AM with Magistrate Judge David R. Homer. The teleconference will be held with SEC counsel, William Dreyer on behalf of all defendants except Lynn Smith, and Scott Ely or James Featherstonhaugh on behalf of defendant Lynn Smith. Chambers will initiate the conference call.(lah, )
    378 9/14/2011 MANDATE of USCA, issued 8/29/11, as to [128] and [279] appeals filed by Lynn Smith, and [296] Appeal filed by Lauren and Geoffrey Smith: affirming judgment of the district court in accordance w/attached slip opinion. (cbm )
    379 9/14/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by Lynn A. Smith. Filing fee $ 455, receipt number 0206-1968768. (Featherstonhaugh, James)
    380 9/14/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith. Filing fee $ 455, receipt number 0206-1968784. (Featherstonhaugh, James)
    381 9/15/2011 NOTICE OF APPEAL by Jill A. Dunn. Filing fee $ 455, receipt number 0206-1970271. (Zelermyer, Benjamin)
    382 9/15/2011 CERTIFICATE OF SERVICE by Jill A. Dunn of Notice of Appeal (Zelermyer, Benjamin)
    383 9/16/2011 NOTICE OF APPEAL as to [342] Order on Motion for Sanctions,,,,,, by David M. Wojeski. Filing fee $ 455, receipt number 0206-1970622. (Knopf, Fred)
    384 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [379] Notice of Appeal. (mab)
    385 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [380] Notice of Appeal. (mab)
    386 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [381] Notice of Appeal. (mab)
    387 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [383] Notice of Appeal. (mab)
    388 9/26/2011 Letter Motion from Benjamin Zelermyer, Esq. for Jill A. Dunn requesting clarification of prior text only orders entered August 11 and 22, 2011 submitted to Judge Sharpe. (Zelermyer, Benjamin)
    389 9/27/2011 Non-Party Letter from Vincent R. Gentile. (mab)
    390 9/28/2011 Letter Motion from David Stoelting enclosing proposed Judgment and proposed Order re defendant-relief defendant Lynn Smith's payment obligations arising from Memorandum-Decision and Order dated July 20, 2011 for Securities and Exchange Commission requesting entry of proposed Order and proposed Judgment submitted to Judge Homer. (Attachments: # (1) Proposed Order/Judgment, # (2) Proposed Order/Judgment)(Stoelting, David)
    391 9/30/2011 RESPONSE TO LETTER BRIEF filed by Securities and Exchange Commission as to [389] Letter regarding SIPA coverage. (Stoelting, David)
    392 10/3/2011 RESPONSE to Motion re [390] Letter Motion from David Stoelting enclosing proposed Judgment and proposed Order re defendant-relief defendant Lynn Smith's payment obligations arising from Memorandum-Decision and Order dated July 20, 2011 for Securities and Exchange Commission r filed by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith, Lynn A. Smith. (Featherstonhaugh, James)
    393 10/4/2011 MEMORANDUM OF LAW re [376] Motion to Stay, in Opposition to Trust's Motion for Stay filed by Securities and Exchange Commission. (McGrath, Kevin)
    394 10/4/2011 LETTER BRIEF Statement of Receiver With Respect to Partial Satisfaction of Disgorgement Obligations by William J Brown. (Brown, William)
    395 10/4/2011 Non-Party Letter from Timothy J. O'Connor, Esq. (mab)
        10/5/2011 TEXT ORDER re [395] Non-Party Letter Brief. The relief sought in counsel's letter for the scheduling of a conference to initiate SIPC proceedings is DENIED. Counsel and his clients are non-parties to this action. Signed by Magistrate Judge David R. Homer on 10/5/2011. (lah, )
        10/6/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Conference was held on 10/4/2011 with David Stoelting and Kevin McGrath appearing for plaintiff by telephone, and William Dreyer and Scott Ely, appearing for defendants in person. The attorneys advised that the SEC had requested certain documents in furtherance of settlement discussions which documents have been provided. The SEC requested additional time to review the documents. A further telephone conference will be held on 10/25/2011 to determine with usefulness of a settlement conference. (lah, )
        10/6/2011 TEXT NOTICE. A Telephone Conference regarding the usefulness of a settlement conference will be held on OCTOBER 25, 2011 at 09:00 AM with Magistrate Judge David R. Homer. Chambers will initiate the conference call. (lah, )
    396 10/6/2011 ORDER regarding the motion of Plaintiff SEC for an order compelling Defendants to produce records of the LaValle & Finn law firm. IT IS HEREBY ORDERED that 1) The LaValle & Finn law firm shall respond to written requests of Defendants for clarification no later than 10/7/2011; and 2) Defendants are granted until 10/14/2011 to file any supplemental pleadings which they deem necessary in light of the response they receive from the LaValle & Finn law firm. Signed by Magistrate Judge David R. Homer on 10/5/2011. (mab)
    397 10/7/2011 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) Jill A. Dunn's [352] motion for a stay pending appeal is DENIED; 2) The Trust's [376] motion for a stay pending appeal is DENIED; 3) The SEC's [390] motion for entry of an order and judgment as to Lynn Smith is GRANTED and Lynn Smith's request [392] to withhold entry of such order and judgment is DENIED. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
    398 10/7/2011 ORDER DIRECTING PAYMENT OF MONEY TO RECEIVER. IT IS HEREBY ORDERED, ADJUDGED and DECREED that L. Smith is liable for disgorgement of the amount set forth in this Order and shall satisfy this obligation by paying this amount to the Receiver, William Brown, together with a cover letter identifying L. Smith as a defendant/relief defendant in this action. 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 Order and for all other purposes. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
    399 10/7/2011 JUDGMENT. IT IS HEREBY ORDERED, ADJUDGED and DECREED that L. Smith is liable for attorney's fees and costs in the amount of $51,232.00. L. Smith shall satisfy the obligation in this Judgment by paying $51,232.00 by certified check, bank cashier's check or US postal money order payable to the Securities and Exchange Commission. The claims against L. Smith in the Amended Complaint as a defendant/relief defendant are not resolved by this Judgment. 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 Judgment and for all other purposes. Signed by Magistrate Judge David R. Homer on 10/6/2011. (mab)
    400 10/7/2011 NOTICE OF APPEAL as to [397] Order on Motion to Stay, by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Lauren T. Smith. Filing fee $ 455, receipt number 0206-1989291. (Featherstonhaugh, James)
      401 10/12/2011 ***SEALED DOCUMENT Status Report re [396] Order. (mab)
    402 10/12/2011 Letter Request/ Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting discovery conference pursuant to Local Rule 7.1(d)(3) submitted to Judge Sharpe. (Murphy, Michael)
    403 10/12/2011 Letter Request/ Letter Motion from Michael J. Murphy for Thomas J Urbelis requesting discovery conference pursuant to Local Rule 7.1(d)(3) submitted to Judge HOMER. (Murphy, Michael)
    404 10/12/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [400] Notice of Appeal. (mab)
    405 10/14/2011 ORDER. IT IS HEREBY ORDERED that 1) The deadline for Defendants David Smith, Timothy McGinn and Lynn Smith to file supplemental pleadings regarding the production of the law firm's records is extended to 10/24/2011; and 2) A conference will be held on 10/19/2011 at 9:00 AM in the courtroom of Magistrate Judge David R. Homer to address any remaining issues of consent and waiver to the production of the law firm's records. All parties except counsel for Plaintiff and Receiver William Brown shall appear in person. Counsel for Plaintiff and Receiver William Brown may appear by telephone. Signed by Magistrate Judge David R. Homer on 10/13/2011. (mab)
        10/14/2011 TEXT NOTICE: A Telephone Conference re [402] request from Michael Murphy, Esq. opposing SEC's request to redepose non-party Urbelis. A telephone conference will be held with on 10/28/2011 at 9:00 AM with Magistrate Judge David R. Homer. Only counsel for the SEC and Urbelis need participate. Chambers will initiate the conference call. (lah, )
    406 10/19/2011 ORDER regarding the hearing that was ordered [405] to be held on 10/19/2011 at 9:00 AM. IT IS HEREBY ORDERED that 1) The hearing is adjourned to 10/21/2011 at 9:00 AM; 2) Counsel for LaValle & Finn, William Keniry, Esq., shall appear in person for the hearing; and 3) A copy of this order shall be served upon counsel for LaValle & Finn by electronic mail at the address listed for Mr. Keniry in his attorney registration information, by telefax to the number listed in Mr. Keniry's attorney registration information and by regular mail. Signed by Magistrate Judge David R. Homer on 10/19/2011. (mab)
        10/19/2011 Minute Entry for proceedings held re [338] before Magistrate Judge David R. Homer Discovery Hearing was held on 10/19/2011 with David Stoelting for plaintiff; William Brown, Receiver; and Scott Ely on behalf of defendants. Counsel for LaValle & Finn did not appear for the conference and is a necessary party to the issue of the motion to compel. The conference was rescheduled to 10/21/2011 at 9:00 a.m. A written order was entered. (lah, )
    407 10/24/2011 AFFIDAVIT of Service re copy of the file produced pursuant to Order of the Court pertaining to McGinn Smith & Company, Inc. upon William J. Brown on 10/20/2011. (mab)
    408 10/25/2011 ORDER regarding the conference held on 10/21/2011. IT IS HEREBY ORDERED that 1) LaValle & Finn shall provide copies of its "corporate file" as it relates to the subpoena from Plaintiff to the Receiver as well as to Defendants David Smith and Lynn Smith with such copies to be provided forthwith; and 2) The deadline for Defendants David Smith and Lynn Smith to serve any supplemental privilege logs or pleadings regarding Plaitniff's subpoena to LaValle & Finn is hereby extended to 10/26/2011. Signed by Magistrate Judge David R. Homer on 10/25/2011. (mab)
    409 10/25/2011 Non-Party Letter from Elinor and Russell Laustrup. (mab)
      410 10/26/2011 ***SEALED DOCUMENT - Letter from Receiver William J. Brown. (mab)
      411 10/27/2011 SEALED RESPONSE to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
      412 10/27/2011 SEALED RESPONSE to Motion re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
        10/28/2011 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Kevin McGrath, Esq., Michael Murphy, Esq. and Thomas Peisch, Esq. participate in a Telephonic Discovery Hearing held on the record on 10/28/2011; Request by Michael Murphy, Esq. to quash subpoena of Mr. Urbelis is DENIED; Deposition shall go forward in Boston, MA and will not exceed 4 hours. (FTR/CRD Robin Hinman) (rzh, )
        10/28/2011 USCA Case Number is 11-3843 (LEAD) for [379] Appeal filed by Lynn A. Smith. (cbm )
        10/28/2011 USCA Case Number is 11-4238 (Member) for [380] Appeal filed by Lauren T. Smith, Geoffrey R. Smith. (cbm )
        10/28/2011 USCA Case Number is 11-3851 (Member) for [381] Appeal filed by Jill A. Dunn. (cbm )
        10/28/2011 USCA Case Number is 11-3848 (Member) for [383] Appeal filed by David M. Wojeski. (cbm )
        10/28/2011 USCA Case Number 11-4238 for [400] Notice of Appeal filed by Lauren T. Smith, Geoffrey R. Smith. (cbm )
    413 10/28/2011 Non-Party Letter from Lesley Levy. (mab)
    414 10/31/2011 ORDER re [402] Letter Request by non-party witness Thomas J. Urbelis. A telephone conference was held on 10/28/2011 with counsel for the SEC and for Urbelis. IT IS HEREBY ORDERED that deeming Urbelis' letter as a motion to quash or modify the subpoena served upon him by the SEC, that motion is DENIED in all respects except that the deposition shall be limited in length to four hours and the production of documents shall be limited to those not previously produced to the SEC by Urbelis. Signed by Magistrate Judge David R. Homer on 10/28/2011. (mab)
      415 11/3/2011 SEALED EX PARTE LETTER BRIEF of Lynn Smith re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
      416 11/3/2011 SEALED EX PARTE LETTER BRIEF of David Smith re [338] MOTION to Compel Compliance with Nonparty Subpoenas Served on Martin Finn and Lavelle & Finn, LLP. (mab)
    417 11/9/2011 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of discovery cut-off from December 1, 2011 to December 16, 2011 submitted to Judge Homer. (Stoelting, David)
    418 11/10/2011 ORDER granting [417] Letter Request for an extension of the discovery deadline. Discovery is hereby extended to 12/16/2011. Signed by Magistrate Judge David R. Homer on 11/9/2011. (mab)
    419 11/14/2011 Second MOTION for Attorney Fees Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 Reply to Response to Motion due by 12/5/2011. filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) B, # (3) Exhibit(s) B (cont'd), # (4) Exhibit(s) B (cont'd), # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
    420 11/14/2011 Second MOTION Compensation for Services Rendered Notice and Motion of Second Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s), # (3) Declaration in Support, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    421 11/14/2011 Second MOTION Compensation for Services Rendered Notice of Second Interim Application of David J. Boland, CPA CTP for Approval of Fees and Expenses Regarding White Glove Cruises, LLC, TDM Cable Funding LLC and TDMM Cable Funding LLC Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    422 11/14/2011 Second MOTION for Attorney Fees AMENDED Second Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 12/15/2011 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 11/28/2011 Reply to Response to Motion due by 12/5/2011. filed by William J Brown. (Attachments: # (1) Application, # (2) Exhibit(s) A-Declaration, # (3) Exhibit(s) B, # (4) Exhibit(s) B (cont'd), # (5) Exhibit(s) B (cont'd), # (6) Proposed Order/Judgment, # (7) Certificate of Service) (Brown, William)
    423 11/15/2011 Non-Party Letters from Monica and Peter Check. (mab)
    424 11/16/2011 MEMORANDUM-DECISION and ORDER re [338] Plaintiff SEC's Motion to Compel non-parties Martin S. Finn and the law firm of Lavelle & Finn, LLP to comply with the subpoenas seeking production of the records of Defendants David L. Smith and Lynn A. Smith. IT IS HEREBY ORDERED that the SEC's motion to compel is: 1) GRANTED as to Documents 7-11, 13, 16, 17, 18-21, 25, 27, 29, 57 (with redactions) and 83 (with redactions), and Lavelle & Finn shall produce copies of such documents to the SEC on or before 11/30/2011 unless otherwise ordered; 2) DENIED as to all other documents at issue; 3) GRANTED as to the deposition subpoena ad testificandum to Martin S. Finn with the scope of his testimony limited consistent with this opinion and the documents ordered disclosed; and 4) Counsel for Lavelle & Finn shall contact Chambers to arrange for the return of the documents submitted ex parte, in camera review and counsel for Lavelle & Finn shall maintain such documents pending completion of the litigation of this action or an order of any court of comptetent jurisdiction. Signed by Magistrate Judge David R. Homer on 11/15/2011. (mab)
    425 11/16/2011 STATUS REPORT Second Written Report of the Receiver by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B)(Brown, William)
    426 11/22/2011 NOTICE by William J Brown re [337] Order, [276] Order,,, Notice of Closing of Sale of McGinn Residence (Brown, William)
    427 12/9/2011 NOTICE by William J Brown Notice of Receiver's Intent to Abandon and Destroy Certain Records (Attachments: # (1) Schedules 1 and 2, # (2) Certificate of Service)(Brown, William)
    428 12/22/2011 STATUS REPORT by Securities and Exchange Commission. (Stoelting, David)
    429 12/27/2011 ORDER approving [422] Application for Attorney Fees by Phillips Lytle LLP. IT IS THEREFORE ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between August 1, 2010 and December 31, 2010 in the amount of $121,456.64 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle LLP during the Second Interim Period in the amount of $9,324.23 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
    430 12/27/2011 ORDER approving [421] Application for Compensation of Services Rendered by David J. Boland, CPA CTP. IT IS THEREFORE ORDERED that the Application is approved such that compensation for services rendered (i) through August 29, 2011 with regard to White Glove Cruises, LLC in the amount of $1,725.00 and (ii) through October 5, 2011 with regard to TDM Cable Funding LLC and TDMM Cable Funding LLC in the amount of $10,100.00 in fees and $789.99 in expenses, for a grand total of $12,614.99 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
    431 12/27/2011 ORDER approving [420] Application for Compensation for Services Rendered by Travis Besaw & Kershner LLP. IT IS THEREFORE ORDERED that the Application is approved such that compensation for services rendered between February 27, 2011 and September 24, 2011 in the amount of $29,885.37 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 12/23/2011. (mab)
    432 1/11/2012 Non-Party Letter from Vincent R. and Diana S. Gentile. (mab)
    433 1/17/2012 Letter Motion from Scott J. Ely, Featherstonhaugh, Wiley & Clyne, LLP for Lauren T. Smith, Geoffrey R. Smith requesting pre-motion conference to seek permission to file a motion submitted to Judge David R. Homer . (Featherstonhaugh, James)
    434 1/18/2012 Letter Motion from David Stoelting for Securities and Exchange Commission requesting conference and advising Court of certain parties' intent to file summary judgment motions submitted to Judge Sharpe . (Stoelting, David)
        1/20/2012 TEXT NOTICE re [433] letter dated 1/17/2012 re Trust seeking leave to file a motion to amend Court's preliminary injunction. A telephone pre-motion conference will be held on Feb. 3, 2012 at 9:00 AM with Magistrate Judge David R. Homer. Please use the court's DIAL IN # 1-888-684-8852, ACCESS CODE 4750370 SECURITY CODE 1234. (lah, )
    435 1/26/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
    436 1/26/2012 Non-Party Letter from Michael Favish. (mab)
    437 2/3/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
        2/6/2012 Minute Entry for proceedings held re [433] and [434] with Magistrate Judge David R. Homer. A Telephone Conference was held on-the-record on 2/3/2012 with David Stoelting, Kevin McGrath and Lara Mehraban for plaintiff SEC; William Brown, the Receiver; and Willian Dreyer, Scott Ely, and E. Stewart Jones for the defendants. Defendants David Smith and Timothy McGinn requested leave to file motions to (1)release assets for the payment of counsel fees in a related criminal case, and(2) to stay this action pending the criminal action; William Brown requested leave to file a motion to distribute the proceeds of certain assets to investors; and the SEC requested a briefing schedule for dispositive motions. A written order will enter with briefing schedules. (lah, )
    438 2/7/2012 Non-Party Letter from Lesley Levy. (mab)
    439 2/21/2012 MOTION Modify Preliminary Order of 7/22/10 filed by Timothy M. McGinn. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Jones, E.)
    440 2/21/2012 First MOTION for Release of Funds Motion Hearing set for 3/15/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/27/2012 Reply to Response to Motion due by 3/5/2012. filed by David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Dreyer, William)
    441 2/21/2012 MOTION to Amend/Correct [194] Order on Motion for TRO,,,, Motion Hearing set for 3/22/2012 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 3/5/2012 filed by Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Featherstonhaugh, James)
    442 2/21/2012 ORDER regarding [433] Letter Request of the David L. and Lynn Smith Irrevocable Trust for leave to file a motion to release certain assets and [434] SEC's Letter Request to establish a briefing schedule for dispositive motions. IT IS HEREBY ORDERED that 1) the request of the Trust for leave to file a motion to unfreeze assets is GRANTED and such motion shall be filed according to the schedule set forth in this Order; 2) Dispositive motions shall be filed according to the following schedule: a) Any dispositive motion shall be filed on or before 4/2/2012; b) Any response shall be filed on or before 5/1/2012; c) Any reply papers shall be filed on or before 5/15/2012; and (d) Unless otherwise ordered by the District Court, any such motion shall be taken on submission without oral argument; 3) The request of Defendants David Smith and Timothy McGinn to file motions to unfreeze certain assets is GRANTED and any such motions shall be filed according to the schedule set forth in this Order; 4) The request of Defendants David Smith and Timothy McGinn for leave to move for a stay of this case pending completion of the related criminal case is GRANTED and any such motion may be filed whenever deemed appropriate by either Defendants; and 5) Receiver, William Brown, is granted leave to move for a distribution of certain assets presently held by the Receiver under the asset freeze order and any such motion may be filed whenever deemed appropriate by the Receiver. Signed by Magistrate Judge David R. Homer on 2/6/2012. (mab)
    443 2/21/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
    444 2/21/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
    445 2/21/2012 Non-Party Letter from Lynn A. Bove. (mab)
    446 2/23/2012 Non-Party Letter from Diane S. and Vincent R. Gentile. (mab)
    447 2/27/2012 RESPONSE in Opposition re [441] MOTION to Amend/Correct [194] Order on Motion for TRO,,,, filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Joshua Newville with Exhibits 1-17)(Stoelting, David)
    448 2/27/2012 RESPONSE in Opposition re [440] First MOTION for Release of Funds , [439] MOTION Modify Preliminary Order of 7/22/10 filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of David Stoelting and Exhibits A-B, # (2) Declaration of Kerri Palen and Exhibits 1-4)(Mehraban, Lara)
    449 2/27/2012 Non-Party Letter from Robert L. Gilbert. (mab)
    450 2/28/2012 Non-Party Letter from Joel M. Spiro M.D. (mab)
    451 2/28/2012 Non-Party Letter from Judith and Jerry Lapham. (mab)
    452 2/28/2012 Non-Party Letter from Nancy and David Hargrave. (mab)
    453 3/1/2012 MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts and Related Assets Owned by Certain Receivership Entities Including the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, and (III) the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests filed by William J Brown. (Attachments: # (1) Exhibit(s) A) Motions referred to David R. Homer. (Brown, William)
    454 3/1/2012 MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests, and Resolution of the Claims of Shoma Corporation filed by William J Brown. (Attachments: # (1) Exhibit(s) A) Motions referred to David R. Homer. (Brown, William)
    455 3/1/2012 LETTER BRIEF - Letter requesting hearing date on Motions to Approve (i) Sale of Alarm Service Contracts to Alarm Services, LLC and (ii) Sale and Related Relief Relating to Florida Cable, Internet and Phone Service Rights and Assets to HControl Holdings LLC or its nominee (Docket Nos. 453 and 454) by William J Brown. (Brown, William)
    456 3/2/2012 REPLY to Response to Motion re [440] First MOTION for Release of Funds filed by David L. Smith. (Attachments: # (1) Declaration, # (2) Declaration)(Dreyer, William)
    457 3/2/2012 Non-Party Letter from Barbara and George Forgea. (mab)
    458 3/2/2012 ORDER re [455] LETTER BRIEF filed by William J Brown requesting a hearing on the Sale Motions [453] and [454] filed in this matter. The request is granted and a hearing will be held on 3/19/2012 at 10:00 AM at the United States Courthouse, 445 Broadway, Albany, NY 12207. Signed by Magistrate Judge David R. Homer on 3/2/2012. (mab)
        3/2/2012 Set Hearing as to [454] MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and and [453] MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts and Related Assets Owned by Certain Receivership Entities Including the Assignment of Certain Agreements Related Thereto, (II) Time. Hearing set for 3/19/2012 at 10:00 AM in Albany, NY before Magistrate Judge David R. Homer. (mab)
    459 3/2/2012 REPLY to Response to Motion re [441] MOTION to Amend/Correct [194] Order on Motion for TRO,,,, filed by Lauren T. Smith, Geoffrey R. Smith. (Featherstonhaugh, James)
    460 3/3/2012 Non-Party Letter from Lesley Levy. (mab)
    461 3/3/2012 REPLY to Response to Motion re [439] MOTION Modify Preliminary Order of 7/22/10 filed by Timothy M. McGinn. (Attachments: # (1) Declaration, # (2) Declaration)(Jones, E.)
    462 3/6/2012 Letter Motion for U.S. Attorney's Office for ND/NY requesting Conference submitted to Judge David R. Homer . (Coombe, Elizabeth)
    463 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [456] Reply to Response to Motion (Dreyer, William)
    464 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [440] First MOTION for Release of Funds (Dreyer, William)
        3/7/2012 TEXT NOTICE re [462] letter from non-party seeking leave to file a motion to intervene. A Telephone Pre-Motion Conference will be held on MARCH 15, 2012 at 9:00 AM with Magistrate Judge David R. Homer. Please use the court's DIAL IN # 1-888-684-8852 ACCESS CODE 4750370 security code 1234. (lah, )
    465 3/8/2012 LETTER BRIEF Receiver's Statement Concerning Motions of David L. Smith and Timothy M. McGinn to Use Assets to Pay Attorneys' Fees and Costs and Joinder in SEC's Opposition by William J Brown. (Brown, William)
    466 3/9/2012 MOTION Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A - Form of Order, # (2) Exhibit(s) B - Form of Schedule of Claims, # (3) Exhibit(s) C - Form of Notice, # (4) Exhibit(s) D - Form of Claim Form) Motions referred to David R. Homer. (Brown, William)
    467 3/9/2012 LETTER BRIEF Letter requesting hearing date on Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof by William J Brown. (Brown, William)
    468 3/13/2012 ORDER regarding the Letter Request of William J. Brown requesting the Court to set a hearing date for the [466] MOTION for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof. The hearing on the Motion shall be heard on 3/27/2012 at 10:00 AM before Magistrate Judge David R. Homer at the United States Courthouse, 445 Broadway, Albany, New York 12207. Signed by Magistrate Judge David R. Homer on 3/12/2012. (mab)
        3/13/2012 Set Hearing Date as to [466] MOTION for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof. Motion Hearing set for 3/27/2012 at 10:00 AM in Albany, NY before Magistrate Judge David R. Homer. (mab)
    469 3/15/2012 Letter Motion from United States for U.S. Attorney's Office for ND/NY requesting Proposed Stay Order submitted to Judge David R. Homer . (Coombe, Elizabeth)
        3/16/2012 Minute Entry for proceedings held re [462] before Magistrate Judge David R. Homer. A telephone Pre-Motion Conference was held on-the-record on 3/15/2012. Appearances: David Stoelting, William Brown, William Dreyer, E. Stewart Jones, Scott Ely, AUSA Elizabeth Coombe. Defendant pro se Nancy McGinn did not appear. The request of the USA to intervene is granted. Decision on the USA's proposed order regarding the stay of this action pending the criminal action is reserved for a period of 10 days to allow any party to file any objection. A written order will be entered. [FTR/CRD Cindy Mezoff/Court Steno Theresa Casal] (lah, )
    470 3/19/2012 ORDER regarding [462] Letter Request by the United States seeking leave to file motions to intervene in this action and to stay this action pending completion of a related federal criminal proceeding. IT IS HEREBY ORDERED that: 1) The request of the United States to intervene in this action to file a motion for a stay of proceedings pending completion of a related criminal proceeding is GRANTED; and 2) The United States shall file a proposed order regarding its request for stay and decision on that proposed order will be reserved for a period of ten days from the date of the filing to permit any party to file any objections to the proposed order. Signed by Magistrate Judge David R. Homer on 3/16/2012. (mab)
        3/19/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 3/19/2012 re [454] motion Approving Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights. Appearances: William Brown, Receiver. Motion is unopposed by any party. Court grants motion and directs Mr. Brown to submit a proposed order. Brown advises court of bidding on property re pending motion [453] and requests adjournment of hearing date to Mar. 27, 2012 to be heard with [466]. Request granted and the HEARING on Dkt. No. 453 is ADJOURNED to March 27, 2012 at 10:00 AM. (Court Reporter Theresa Casal/FTR CRD Lynda Hennessy) (lah, )
    471 3/20/2012 ORDER re [454] Motion for an Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests, and Resolution of the Claims of Shoma Corporation filed by William J Brown. IT IS HEREBY ORDERED that the Motion is APPROVED. IT IS FURTHER ORDERED that the Receiver's interest in the Assets shall be sold and assigned to the Buyer without recourse, representation or warranty and free and clear of all liens, claims, encumbrances and other interests, with such liens and claims, if any, attaching to the net proceeds of the sale. IT IS FURTHER ORDERED that the Receiver is authorized to deliver and exchange the Releases and resolve the Shoma Group's interests as provided for in the Motion including the surrender by transfer of the Shoma Group's interest to the Receiver or his nominee. Signed by Magistrate Judge David R. Homer on 3/19/2012. (mab)
    472 3/22/2012 Non-Party Letter from Stanley C. Rosenzweig MD. (mab)
    473 3/26/2012 Letter Motion from United States for U.S. Attorney's Office for ND/NY requesting Proposed Stay Order submitted to Judge David R. Homer . (Coombe, Elizabeth)
    474 3/27/2012 ORDER regarding Government's Motion to Stay Dispositive Motions and Trial. IT IS HEREBY ORDERED that the motion to stay dispositive motions and the trial pending completion of the related criminal proceeding, 12-cr-28, is GRANTED. IT IS FURTHER ORDERED that the stay does not affect any of the activities and responsibilities of the Receiver pursuant to the Orders of this Court including, without limitation, the [96] Preliminary Injunction Order. Signed by Magistrate Judge David R. Homer on 3/26/2012. (mab)
        3/27/2012 Minute Entry for proceedings held re [453] and [466] before Magistrate Judge David R. Homer. [FTR recorded 10:00 a.m.-10:39 a.m.] Appearances: William Brown, Receiver. Brown requested a further adjournment to April 4, 2012 of Dkt. No. 453. Motion granted. Brown then proceeded to outline his proposed procedure for filing claims re Dkt. No. 466. The court approved the plan and directed that Brown submit a proposed order. It was also agreed that Brown will submit a separate motion regarding equity interest holders. That motion will be submitted within three weeks. Next hearing date scheduled is 4/4/2012 at 10:00 a.m. re [453].(Court Reporter Bonnie Buckley/FTR CRD Lynda Hennessy) (lah, )
    475 3/27/2012 ORDER regarding [466] Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of the Notice Thereof. IT IS HEREBY ORDERED taht the Motion is GRANTED. IT IS FURTHER ORDERED that all claims against the MS Entities shall be asserted in accordance with the Claims Procedure. IT IS FURTHER ORDERED that the claims against the MS Entities shall be filed in writing with Phillips Lytle LLP. IT IS FURTHER ORDERED that the last day for Creditors and Investors to file a claim against the MS Entities is fixed as 5/28/2012. IT IS FURTHER ORDERED that the right of the Receiver to file appropriate proceedings in this Court to object to claims and/or establish a procedure for resolution of claims disputes is reserved. Signed by Magistrate Judge David R. Homer on 3/27/2012. (mab)
    476 4/3/2012 NOTICE by William J Brown Notice of Filing of Asset Purchase Agreement of Prevailing Bidder for Alarm System Accounts Managed by McGinn Smith Alarm Trading, LLC (Attachments: # (1) Certificate of Service)(Brown, William)
    477 4/4/2012 Non-Party Letter from Patricia E. and William L. Seigford. (mab)
        4/4/2012 TRANSCRIPT REQUEST by William J Brown for motion hearing held on 3/27/2012 before Judge David R. Homer. (bjb, )
        4/4/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 4/4/2012 re [453] MOTION Approving Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts, etc. Appearance: William Brown, Receiver. Brown reported on the auction and sale of the property. The court approved the sale and a proposed order submitted by Brown will be entered. (Court Reporter Lisa Tennyson/FTR CRD Lynda Hennessy) (lah, )
    478 4/4/2012 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that Timothy McGinn's motion for the release of assets from the preliminary injunction to pay attorney's fees and costs in the parallel criminal action [439] is GRANTED in part and DENIED in part as set forth in this Order; 2) David Smith's motion for the release of assets from the preliminary injunction to pay attorney's fees and costs in the parallel criminal action [440] is GRANTED in part and DENIED in part as set forth in this Order; and 3) The Trust's motion for the release of assets from the preliminary injunction to pay past and future expenses, to reimburse David Smith and his wife for Trust expenses they paid, and for payment of attorney's fees and costs in this action [441] is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 4/4/2012. (mab)
    479 4/4/2012 ORDER regarding [453] the motion of William J. Brown, as Receiver, for an Order Approving the Sale and Bidding Procedures with Respect to the Sale of Certain Alarm System Monitoring Accounts. IT IS HEREBY ORDERED that the Motion is APPROVED. IT IS FURTHER ORDERED that the Receiver's interests in the Accounts and assets on the Rider to the APA shall be sold and assigned to the Purchaser without recourse, representation or warranty and free and clear of all liens, claims, encumbrances and other interests, with such liens and claims, if any, attaching to the net proceeds of sale. IT IS FURTHER ORDERED that the Receiver is authorized to pay the break-up fee of $60,000.00 to the stalking horse bidder, Alarm Services, LLC. Signed by Magistrate Judge David R. Homer on 4/4/2012. (mab)
    480 4/16/2012 MOTION Amendment to Claims Procedure Order (Docket No. 475) re [475] Order on Motion for Miscellaneous Relief,,, Motion of William J. Brown, as Receiver, for an Amendment to Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B, # (3) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
    481 4/17/2012 AMENDED ORDER regarding [466] Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of the Notice Thereof. IT IS HEREBY ORDERED that [480] the Amendment Motion is granted. IT IS FURTHER ORDERED that the Claims Procedure Order is amended hereby. IT IS FURTHER ORDERED that all claims against the MS Entities shall be asserted in accordance with the Claims Procedure as modified in the Amendment Motion. IT IS FURTHER ORDERED that the claims against the MS Entities shall be filed in writing with Phillips Lytle LLP. IT IS FURTHER ORDERED that the last day for Creditors and Investors to file a claim against the MS Entities is fixed as 6/19/2012. IT IS FURTHER ORDERED that the right of the Receiver to file appropriate proceedings in this Court to object to claims, establish a procedure for resolution of claims disputes, and/or modify or reduce any claim or distribution or commence avoidance actions is reserved. Signed by Magistrate Judge David R. Homer on 4/16/2012. (mab)
    482 4/17/2012 TRANSCRIPT REQUEST by William J Brown for proceedings held on April 4, 2012 before Judge David R. Homer.. (Brown, William)
        4/18/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 4/17/2012 with counsel for all parties. Defendant Smith requested permission to move to release certain asset from the freeze. The matter will be briefed. A written order will be entered with the motion schedule. (lah, )
    483 4/18/2012 ORDER regarding the conference held on 4/17/2012 in which Defendant David Smith requested permission to move for the realease of the asset freeze on a life insurance trust. IT IS HEREBY ORDERED that David Smith is granted leave to move to release the life insurance trust from the asset freeze and such motion shall proceed according to the following schedule: 1) Smith shall file and serve his motion and supporting papers on or before 4/27/2012; 2) The SEC and any other party may file papers in opposition to such motion on or before 5/9/2012; 3) Smith may file any reply papers on or before 5/16/2012; and 4) The motion will be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 4/18/2012. (mab)
    484 4/27/2012 Second MOTION for Release of Funds Motion Hearing set for 5/17/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 4/30/2012 Reply to Response to Motion due by 5/7/2012. filed by David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Dreyer, William)
    485 4/27/2012 CERTIFICATE OF SERVICE by David L. Smith re [484] Second MOTION for Release of Funds (Dreyer, William)
      486 5/2/2012 TRANSCRIPT of Proceedings: motion hearing held on 3/27/2012 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today's date. 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 5/23/2012. Redacted Transcript Deadline set for 6/4/2012. Release of Transcript Restriction set for 7/31/2012. Notice of Intent to Redact due by 5/7/2012 (bjb, )
    487 5/10/2012 RESPONSE in Opposition re [484] Second MOTION for Release of Funds filed by Securities and Exchange Commission. (Attachments: # (1) Declaration)(Stoelting, David)
    488 5/10/2012 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [487] Response in Opposition to Motion (Stoelting, David)
    489 5/16/2012 REPLY to Response to Motion re [484] Second MOTION for Release of Funds filed by David L. Smith. (Dreyer, William)
    490 5/16/2012 CERTIFICATE OF SERVICE by David L. Smith re [489] Reply to Response to Motion (Dreyer, William)

  4. Contact Information

    Please direct questions to:

    William J. Brown, Esq.
    Receiver
    3400 HSBC Center
    Buffalo, NY 14203