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-CFH

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.

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April 19, 2016: E-MAILS TO INVESTORS FROM IRA SERVICES

The Receiver is aware of recent e-mails to McGinn Smith investors who have McGinn Smith investments held by IRA Services. The Receiver was not consulted before the IRA Services e-mail about the estimated value of expected distributions was sent by IRA Services.

The Receiver’s Plan of Distribution which is available under the December 30, 2015 announcement estimates the value of distributions if the Plan is approved by the Court at between approximately 13.5% and 21.7%. The Receiver encourages you to discuss any actions regarding your IRA with your legal or tax professional before taking any action.


April 18, 2016: SECOND CIRCUIT UPHOLDS SEC JUDGMENTS ON APPEAL

On April 18, 2016, the Second Circuit in a concise five-page decision affirmed the SEC’s judgments against David Smith, Lynn Smith, the Smith Trust, Geoffrey Smith and Lauren Smith. A copy of the Summary Order can be viewed by clicking here.

April 5, 2016: SECOND CIRCUIT HEARING ON SMITH PARTIES APPEALS

Oral argument was held yesterday of the appeals by David and Lynn Smith, Geoffrey Smith, and Lauren Smith of the judgment obtained by the SEC in June 2015. The Second Circuit Court of Appeals will issue its decision in due course.


December 30, 2015: PLAN OF DISTRIBUTION HAS BEEN FILED

A Motion was filed with the Court today (December 30, 2015) to approve a Plan of Distribution for the benefit of investors with allowed claims. A copy of the Memorandum of Law (which contains the Plan) and Declaration of the Receiver can be obtained by clicking here.

The Plan, which is subject to Court approval, provides for the pro-rata distribution to investors with allowed claims of monies recovered and to be recovered by the Receiver. The hearing date will be posted once it is available.

Investors should monitor this site regularly for updates and further descriptions of the Plan process.

January 6, 2016: UPDATE

In response to the Receiver’s December 30, 2015 letter to the Court in connection with the filing of the Plan, the Court has scheduled a status conference on January 14, 2016 for the SOLE purpose of setting up a briefing schedule for the Motion to approve the Plan. It is not a hearing on the Motion or on any substantive issues related to the Plan. Once the Court issues the briefing schedule, it will be posted to this website.

January 19, 2016: UPDATE

The Court has set February 16, 2016 as the date by which Responses, if any, are due to the Receiver’s Motion for an Order (i) approving Plan of Distribution of Estate Assets and (ii) Authorizing Distributions, and February 29, 2016 as the date for any Reply to any Responses. The Motion hearing date is set for March 17, 2016 but will be taken on submission (no appearances) unless the Court notifies otherwise.

March 9, 2016: UPDATE

The Receiver has filed an Omnibus Reply to four legal objections which were filed to the Plan of Distribution. Two of the objections opposed the Receiver’s Collateral Recovery Rule; another objection sought to have a disputed claim resolved immediately; and the final objection sought more information which was already in the Plan. The Collateral Recovery Rule is a rule typically used by receivers and the S.E.C. to offset against receiver distributions any amounts received by an investor from a third party. Doing so equalizes the distributions to all investors so that all investors receive the same proportionate recovery.

The Receiver’s Omnibus Reply can be seen at Docket No. 883 below. The S.E.C. filed a Reply supporting the Plan of Distribution and opposing the objections.

The Receiver will post an announcement when there are further developments or a decision by the Court.


December 18, 2015: CURRENT UPDATE

A. Amounts on Hand for Distribution
As of December 11, 2015, the following amounts are in the Receiver’s accounts:

General Funds $16,811,960
Lynn Smith & Smith Trust $ 5,031,369
TOTAL $21,843,329

B. Plan of Distribution for Investors
The Receiver regrets the delay in the filing of the Plan documents, and he expects that the Motion will be filed next week based on current facts.


October 15, 2015: CURRENT UPDATE

A. Amounts on Hand for Distribution
As of October 9, 2015, the following amounts are in the Receiver’s accounts:

General Funds $16,821,567
Lynn Smith & Smith Trust $ 5,028,875
TOTAL $21,850,442

B. Plan of Distribution for Investors
The Plan documents have been drafted and are being reviewed for filing with the Court very soon.


August 12, 2015: CURRENT UPDATE

This announcement updates several important topics for McGinn Smith investors, as follows:

A. Amounts on Hand for Distribution
As of August 7, 2015, the following amounts are in the Receiver’s accounts:

General Funds $16,817,191
Lynn Smith & Smith Trust $ 5,026,385
TOTAL $21,843,576

B. SEC Brokers Trial
This is an update to the February 25, 2015 report below. The February 25, 2015 Initial Decision has become final (no longer appealable) as to brokers Anthony, Feldman and Rogers. The remaining brokers (Chiappone, Guzetti, Lex, Livingston, Mayer and Rabinovitch) have filed a joint brief and individual briefs (click here) for their appeal. The SEC’s opposition brief is due on September 24, 2015. Reply briefs from the six appealing brokers are due on October 22, 2015. At that point, it is up to the Commission to issue a decision as to Judge Murray’s Initial Decision.

C. Smith Appeal of SEC Judgment
David Smith, Lynn Smith, the Smith Trust and the Smith children have filed Notices of Appeal from the District Court decision granting the SEC judgment in the action which began this case. Those Notices of Appeal are at Docket Nos. 822, 824 and 827 below. The appeal will not likely be fully briefed until late 2015 or early 2016 and will thereafter be heard by the United States Court of Appeals for the Second Circuit.

D. Plan of Distribution for Investors
The Receiver’s tax professionals have worked through the details of the IRS letter dealing with the hundreds of tax returns filed by the Receiver relating to this case. The purpose of doing so was to make sure that distributions would be done in a way most favorable to investors while complying with various tax laws. As a result of the final judgment in the SEC action, the IRS letter, and the research by the Receiver’s tax professionals, it now appears that the Receiver will be in a position to file a Plan of Distribution by late Summer so that initial distributions can be made sometime this Fall, subject to Court approval.

The Receiver understands that the Smiths intend to oppose any distribution under that Plan of Smith property while the Smith appeals are pending to the Second Circuit as described in Section C above.


June 25, 2015: DISTRICT COURT GRANTS SEC MOTION FOR ENTRY OF JUDGMENTS

On June 25, 2015, the District Court granted the SEC’s Motion to enter final judgment in its civil lawsuit against Defendants David Smith, Timothy McGinn, Lynn Smith, Geoffrey Smith, Lauren Smith and Nancy McGinn. See Docket No. 834 below. The Court also denied Lynn Smith’s request for a hearing to challenge certain aspects of the SEC judgments. The Court’s reasoning was based on the proposed judgments being consistent with the Court’s prior decisions at Docket Nos. 807 and 816. Accordingly, the Clerk will enter the judgments in the record of the Court. The Smith Defendants have already indicated their intention to appeal these judgments to the Second Circuit Court of Appeals.


May 26, 2015: SECOND CIRCUIT UPHOLDS CRIMINAL CONVICTION OF DAVID SMITH AND TIMOTHY MCGINN

On May 22, 2015, the Second Circuit Court of Appeals upheld the criminal convictions of Messrs. McGinn and Smith. The Court corrected a ruling regarding the restitution order to make clear that funds should be credited against the restitution orders only when they are distributed to victims and not merely when collected by the Receiver. A copy of the Decision can be read by clicking here. The defendants will remain incarcerated per their August 7, 2013 sentencings as originally reported below. The appeal of the SEC’s civil case by the defendants is expected to continue.


May 26, 2015: UPDATE REGARDING IRS LETTER

The IRS has issued a letter to the Receiver setting forth its position. The Receiver’s tax professionals are reviewing the letter and confirming that it will allow distributions without risk of potential disgorgement attempts by the IRS against victims or the Receiver.


March 30, 2015: DISTRICT COURT ENTERS DECISION IN FAVOR OF SEC FOR BALANCE OF SEC ACTION

Judge Sharpe today signed and entered a 55-page Decision granting the balance of the SEC’s Motion for Summary Judgment, including granting a disgorgement of profits for $87,433,218 plus pre-judgment interest of $11,668,132 to be returned to defrauded investors, and that the assets of the Smith stock account, the Smith Vero Beach home, the Smith checking account, and the Smith Trust are to be used to satisfy, in part, the disgorgement order. The opposition of Lynn Smith, Geoffrey Smith, and the Smith Trust and their respective motions for judgment in their favor were denied. A copy of the Decision is available at docket entry 816 below, or by clicking here.

This Decision results in a complete victory for the SEC’s position supported by a detailed analysis of McGinn, Smith & Co. records by the Receiver.


March 6, 2015: IRS - STATUS OF REVIEW OF MCGINN SMITH TAX RETURNS

The Receiver has been notified by the Department of Justice, Tax Division, that they expect to be able to inform the Receiver by the end of March 2015 that their review of the McGinn Smith and related tax returns is complete. Assuming such a satisfactory communication is received, the distribution plan to investors could then go forward. For further background information, see the January 23, 2015 and the October 22, July 9 and January 6, 2014 Updates below.


February 25, 2015: CURRENT UPDATE

SEC VICTORY IN BROKER TRIAL

A decision was issued this afternoon prohibiting for varying periods seven former McGinn Smith brokers from acting in the securities industry and ordering disgorgement and civil money penalties. The decision can be read by clicking here.

This Administrative and Cease-and-Desist proceeding commenced by the SEC pursuant to various securities laws was brought against 10 brokers formerly employed by McGinn Smith: Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers.

An initial announcement by the Receiver of the commencement of this proceeding is described in the September 24, 2013 update listed below, which also includes a copy of the SEC press release and the SEC’s public order detailing the charges at the outset of the proceeding.

The February 25, 2015 Initial Decision permanently bars Messrs. Anthony, Lex and Livingston from the securities industry and suspends Messrs. Chiappone, Guzzetti, Mayer, Rabinovich and Rogers for 12 months from the securities industry. The claims against Mr. Gamello were dismissed for lack of evidence. Additionally, a disgorgement of commissions was ordered in the following amounts plus interest: Donald J. Anthony - $18,904; Frank H. Chiappone - $103,800; William F. Lex - $335,066; Thomas E. Livingston - $1,120; Brian T. Mayer - $34,962; Philip S. Rabinovich - $158,542; and Ryan C. Rogers - $137,942.

Additionally, each of Donald J. Anthony, Frank H. Chiappone, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers were ordered to pay a civil money penalty in the amount of $130,000. These monies are to be paid to the SEC’s Fair Fund for the benefit of investors harmed by the violations. The decision was reached after 18 days of public hearing including testimony by the Receiver on two occasions. The hearings concluded on February 24, 2014.


February 17, 2015: CURRENT UPDATE

District Court grants partial summary judgment to SEC in Civil Lawsuit

Judge Sharpe issued a 57-page Decision today granting in large measure summary judgment in favor of the Securities and Exchange Commission against McGinn,. Smith & Co. Inc. and related entities, David Smith and Timothy McGinn. The decision largely substantiates the SEC’s lawsuit which commenced the Receivership proceeding. The Court has directed the SEC to file further evidence with the Court as to the amount the SEC claims for disgorgement. A copy of the decision can be obtained by clicking here.

The Court expressly reserved decision as to assets presently frozen involving the Smith Trust, Lynn Smith and Nancy McGinn. The Receiver holds over $5 million in such assets, which the Receiver believes should be distributed to defrauded investors. There is no specific timeline when the Court will issue that portion of its decision.

Distributions in the estate are still being held up awaiting clearance from the IRS so that the $21.8 million held by the Receiver can be distributed to defrauded investors.

March 4, 2015CURRENT UPDATE AS TO DISGORGEMENT CALCULATION

The SEC has now filed its Memorandum of Law supported by the Receiver’s Declaration so as to provide to the Court the calculations necessary to support the Court entering a judgment of disgorgement against Messrs. McGinn and Smith for investor losses.  The SEC and the Receiver believe the appropriate amount is $87,433,218.  These pleadings can be found at Docket No. 809 on the case docket below.  David Smith has seven days to respond, and a decision will eventually be made by the Court.  The Court has also promised to issue a further ruling on whether the Smith and Smith Trust monies (currently totaling more than $5 million) are available for distribution to the investors by the Receiver or will be returned to the Smiths or the Smith Trust.


January 23, 2015: CURRENT UPDATES

  1. IRS and Investor Distributions
    Unfortunately, according to the Tax Division of the Department of Justice, the Internal Revenue Service has not yet completed its review of the several hundred McGinn Smith tax returns which have been filed by the Receiver.  While a December 2014 completion date was expected based upon a communication from the Department of Justice, the review is still not complete.  The Receiver is unable at this time to press the issue further in court because the Department of Justice has stated that it will assert its defense of the Government to immunity should the Receiver pursue further litigation beyond the Motion filed last December 2013 at Docket No. 658.

  2. Criminal Trial
    The Government has sought to modify the Restitution Orders imposed against Messrs. McGinn and Smith.  In connection therewith, the Receiver sent a letter to Judge Hurd, a copy of which can be viewed by clicking here.

  3. Amounts on Hand for Distribution
    As of January 16, 2015, the following amounts are in the Receiver’s accounts subject to adjustment for Smith and Smith Trust expenses and taxes which have been paid:

    General Funds     $ 16,812,114
    Lynn Smith & Smith Trust $ 5,016,315
    TOTAL $ 21,828,429

  4. SEC Trial versus McGinn Smith Brokers
    A decision is now expected by February 25, 2015.


October 22, 2014: CURRENT UPDATES

  1. IRS and Investor Distributions
    At the August 7, 2014 Court conference, the Justice Department informed the Court that the IRS’ tax return review might be complete by October 2014.  The Receiver has asked the Justice Department for an update, and the Receiver is still waiting for a definitive response despite making several follow-up inquiries.  The delay is frustrating, but the law is clear -- no distributions can be made until the IRS’ review is complete.

  2. SEC Lawsuit vs. Smith’s and Smith Trust
    The summary judgment motions described in the July 9, 2014 Update below are complete and a decision by the Court is awaited.

  3. SEC Trial vs. McGinn Smith Brokers
    This updates the September 24, 2013 Update below.  The trial in the SEC’s administrative proceeding against ten former McGinn Smith brokers was held January through March 2014 in New York City.  The post-trial issues are fully briefed, and a decision is expected by January 26, 2015.  One broker, Richard Feldmann, has settled and has been barred from the securities industry and ordered to pay to the SEC disgorgement of $299,000, pre-judgment interest of $55,384.87, and a civil penalty of $130,000.  David Smith and Timothy McGinn have also been barred from the securities industry by order of the SEC.

  4. SIPC Legislation
    This updates the September 8 and July 21, 2014 and the November 13 Updates below.  The Receiver has discussed the status of Senator Schumer’s bill with a number of the Senator’s staff and expressed the Receiver’s interest in seeing corrective legislation to protect McGinn Smith victims passed by Congress.  A similar bill in the House of Representatives is still under consideration in the House, but it has not come to the floor of the House for a vote and is not likely to do so before this Fall’s elections.

  5. Amounts on Hand for Distribution
    As of October 10, 2014, the following amounts are in the Receiver’s accounts subject to adjustment for Smith and Smith Trust expenses and taxes which have been paid:

    General Funds     $ 15,909,450
    Lynn Smith $ 2,328,323
    Smith Trust $ 2,711,796
    TOTAL $ 20,949,569

The Receiver has recently reached agreement for the full repayment of $973,169.99 from an overdue loan due to Third Albany Income Notes, LLC and has also resolved two Guaranty claims for up to $35,000 plus interest.


October 15, 2014: NOTICE TO INVESTORS CONCERNING VARIOUS CLASS ACTION SETTLEMENTS AND POSSIBLE NEED TO FILE INVESTOR CLAIMS

The Receiver has recently received a number of notices in class actions regarding settlements which could involve McGinn Smith investors. These claim notices should have also been mailed directly to any investor who owns any of these investments. The Receiver’s records currently do not reveal if any McGinn Smith investors/customers are potentially affected. The Receiver will take no further action respecting these settlements. For that reason, those class actions are summarized below along with the information necessary to obtain information and any known relevant dates. Each investor should deal with this information as they deem appropriate with the respective Noticing Agent. Further, information can be obtained from the relevant party by clicking here.


September 8, 2014: SIPC UPDATE (Revised)

The SEC on September 5, 2014 announced that it has decided not to further appeal the Appellate Court decision described below in the Stanford case. While not surprising, this concludes any judicial effort to broaden SIPC coverage to situations like Stanford and McGinn Smith.

July 21, 2014: SIPC UPDATE

A federal appeals court in the Stanford Ponzi scheme case has affirmed the lower court ruling rejecting the SEC’s efforts to have the Securities Investor Protection Corp. (SIPC) compensate victims.  If the Court had adopted the SEC’s position, it might have resulted in SIPC compensation for McGinn Smith victims.  A copy of the decision can be viewed by clicking here.

The appeals court read the statute as not requiring SIPC coverage when the victims are not “customers” of the brokerage but rather are customers of a related entity.  The McGinn Smith facts are similar.  Consequently, there is likely no SIPC compensation for McGinn Smith victims based on the existing law.

For further background on this issue, see the following updates below:  November 19, 2013, October 17, 2013, September 19, 2011 at Announcement 14, May 23, 2012 at Announcement 24, and September 25, 2012 at Announcement 27.

July 9, 2014: CURRENT UPDATES

A. SEC Lawsuit vs. McGinn, Smith & Co., Inc., et al. - On July 8, 2014, the SEC filed its motion with the Court seeking summary judgment against David L. Smith, Timothy M. McGinn, Lynn A. Smith, Geoffrey R. Smith, Lauren Smith and Nancy McGinn based on the allegations in the SEC lawsuit commenced on April 20, 2010. The SEC’s Memorandum of Law which explains the SEC’s lengthy submissions to the Court is at Docket No. 708 below.

This development is important to investors because a decision in the SEC’s favor would result in approximately $2,328,323 as to Lynn Smith and $2,706,829 as to the Smith Trust which the Receiver has collected from various sources including Lynn Smith and Smith Trust investments and sales of the Vero Beach and Sacandaga Lake properties becoming available for distribution to investors and creditors.

The defendants (Lynn Smith (Docket No. 696), Geoffrey Smith, Lauren Smith, and the Smith Trust (Docket No. 704) have filed their own summary judgment motions seeking dismissal of the SEC’s claims against them.

The parties have the right to file reply pleadings. A decision is not likely before Fall 2014 at the earliest.

B. IRS and Investor Distributions - This updates the January 6, 2014, February 3, 2014 and March 20, 2014 Updates in the next information box concerning the IRS and the Department of Justice and a Plan of Distribution.

A conference was held with the Court on July 2, 2014. The IRS asked for more time to review the tax returns and gave the Receiver a list of questions to answer. The Court set August 7, 2014 for a further status conference.  Until the IRS completes its review and provides satisfactory distribution clearance to the Receiver, no investor distributions can be made.

C. Amounts on Hand for Distribution - As of June 27, 2014, the following amounts are in the Receiver’s accounts:

General Funds $ 15,847,500
Lynn Smith $ 2,328,323
Smith Trust $ 2,706,829
TOTAL $ 20,882,652

D. Sacandaga Lake Property Sale - A closing of the sale occurred on May 16, 2014.  See Docket No. 693 below.  Net proceeds of $546,204.16 have been deposited into a Receivership account pending further Court Order.


January 6, 2014: NOTICE TO ALL INVESTORS AND CREDITORS REGARDING PLAN OF DISTRIBUTION - The filing of a Plan of Distribution has been delayed because the Receiver cannot determine if any tax liability remains.  The Internal Revenue Service no longer issues “Closing Memoranda” to Receivers which was one way that Receivers would know they could distribute recovered monies to defrauded investors without risk of personal liability to the Receiver for non-payment of taxes.

The Receiver independently and with the cooperation of the SEC attempted to address this issue with the IRS and the Department of Justice without success.  Accordingly, the Receiver filed a Motion at Docket No. 658 below in an attempt to establish a process to compel Governmental Units to file claims or alternatively establish the priority of victim payments over any IRS claims in accordance with IRS policy.  The Court has set a conference with the Receiver and Governmental Units for January 22, 2014 to address the Motion.

The Receiver currently has on hand $18,607,827 as of January 3, 2013, which consists of $15,021,126 recovered by the Receiver plus $3,586,650 claimed by the Smith interests as still belonging to them but which has been frozen by the Court and is under the Receiver’s control.  As to the $3,586,650, the SEC’s trial to determine ownership should begin sometime this year.  The Receiver expects additional recoveries in the range of $4 million to $7 million in 2014.  Thus, the recovery pool could reach $22 million to $26 million.  Total investor claims are expected to be in the $100 million to $120 million range.

The Receiver will file a Plan of Distribution for Court approval prior to the resolution of the IRS and Governmental Unit claims making any distribution to investors subject to resolution of the tax issues.

UPDATE: February 3, 2014: The Court held the scheduled conference with the attorneys involved. The Department of Justice, Tax Division, lawyers requested time to ascertain if a solution could be achieved. The Court set a further conference for early March 2014. As of January 31, 2014, the Department of Justice reported to the Receiver that they were still pursuing a potential solution.

UPDATE: March 20, 2014: On February 16, 2014, the Department of Justice requested multiple copies in a designated format of all two hundred plus federal tax returns filed previously with the IRS by the Receiver. The returns were organized in the requested manner and copied onto CD’s by the Receiver’s tax accountants and delivered to the Department of Justice on February 28, 2014.

The Department of Justice informed the Receiver and the Court at a court conference on March 6, 2014 that the IRS would review the returns and estimated it would take 90 days to do so. The Court scheduled another conference for July 2, 2014.

Further updates will be posted as warranted.


January 6, 2014UPDATE ON SMITH SACANDAGA LAKE PROPERTY - Following decisions by the United States Court of Appeals and the District Court (Docket No. 592), the Receiver filed a Report in response to the Court’s five requested topics (Docket No. 604).  Based on that Report, the Court authorized the Receiver to proceed with the sale of the Smith’s Sacandaga Lake Property (Docket No. 647).  The Receiver has initiated the sale process.

Update: February 18, 2014: The Smith Sacandaga Lake Property has been listed for sale.  An offer has been received and will be the basis on which higher and better offers will be solicited.  All competing offers are to be received along with a deposit by March 7, 2014 at 4:00 p.m. Eastern Time.  If a higher and better offer is received, the Receiver will conduct an auction on March 12, 2014 at 10:00 a.m. Eastern Time.  The procedures are set forth in the attached Notice which can be viewed by clicking here.

UPDATE: March 20, 2014: The Receiver has accepted an offer for the sale of the Smith Sacandaga Lake Property. The offer is subject to a mortgage contingency on one of the three parcels. Further details are contained in the Receiver’s Report filed with the Court at Docket No. 687 below. A closing should take place by June 2014.

November 19, 2013: SIPC LEGISLATION - Senator Charles Schumer has introduced a bill which could aid McGinn Smith fraud victims by easing the requirements for SIPC coverage if the bill were enacted into law. A copy of a news article reporting on this development can be viewed by clicking here.

November 19, 2013: BENCHMARK COMMUNICATIONS, LLC SALE HEARING AND AUCTION - A motion (Docket No. 628) has been filed to sell the estate’s interest in Benchmark Communications, LLC, a triple play (Internet, phone and cable) business in the Gulf southeast portion of the United States, free and clear of all liens, claims and encumbrances. Notice of an auction for competing bids has been served and filed. The sale is for approximately $470,000 subject to cash on hand at closing. The approval hearing in on November 22, 2013 at 10:30 a.m. 

Update: January 6, 2014:  The sale has closed, and the net proceeds were deposited to  a Receiver account.

October 17, 2013 - SIPC UPDATE - On October 15, 2013, the appeal by the SEC of the Court decision in the Stanford fraud case denying the SEC’s request to compel SIPC coverage was argued in the United States Court of Appeals for the D.C. Circuit.  As described in Item 27 below, the primary issues continue to be whether the defrauded Stanford investors were “customers” of a SIPC member in order to be eligible for SIPC coverage and whether SIPC had a duty to protect the defrauded investors in the Stanford case.  The Court will make a decision at a later date.

September 24, 2013:  SEC CHARGES TEN MCGINN SMITH BROKERS - The SEC yesterday announced charges against 10 former McGinn Smith brokers for ignoring red flags that should have led them to conduct more due diligence into the securities they were recommending to their customers.  A copy of the SEC’s press release summarizing the charges can be read by clicking here.  A copy of the SEC’s public order detailing the charges can be read by clicking here.

September 20, 2013VERIFIER CAPITAL HOLDINGS LLC REDEMPTION MOTION AND NOTICE OF AUCTION - A motion has been filed which will result in a $4 million payment to the estate for the benefit of investors.  McGinn Smith entities made investments described in the Motion (Docket No. 590) in Verifier.  Verifier has agreed to repurchase the securities subject to higher and better offers and court approval.  An auction is scheduled for September 30, 2013 at 9:00 a.m., as described in the Notice (Docket No. 597).  The approval hearing is on October 2, 2013 at 9:00 a.m.  Any party interested in making a competing offer and bidding should contact the Receiver.

Update: November 19, 2013:  The Motion was approved. The redemption closed, and $4 million has been paid to the estates and deposited into the Receiver’s account for the benefit of investors.

September 20, 2013UPDATE ON RECOVERIES FOR INVESTORS - As of September 13, 2013, the Receiver’s accounts contain $15,031,086 in cash including $3,581,805 in which the Smiths and the Smith Trust claim an interest.

AUGUST 7, 2013: DAVID SMITH SENTENCED TO 10 YEARS IN PRISON AND IS NOW IN THE CUSTODY OF THE U.S. MARSHALL'S.


AUGUST 7, 2013: TIMOTHY MCGINN SENTENCED TO 15 YEARS IN PRISON AND IS NOW IN THE CUSTODY OF THE U.S. MARSHALL'S.


CRIMINAL SENTENCING OF DAVID L. SMITH & TIMOTHY M. MCGINN:
The United States District Court for the Northern District of New York will hold sentencing hearings for David L. Smith and Timothy M. McGinn on Wednesday, August 7, 2013 in Utica, New York.  The Court’s sentencing decisions will be posted here promptly after the hearings.

The United States Government has filed with the Court its Sentencing Memorandum, and a Response to the Defendants’ Sentencing Memoranda filed by Messrs. McGinn and Smith.  These documents can be viewed by clicking here.

The Receiver has also filed two letters with the Court in connection with the sentencings which can be viewed by clicking here.

The Sentencing Memorandum filed by David L. Smith can be viewed by clicking here.

The Sentencing Memorandum filed by Timothy M. McGinn can be viewed by clicking here.

CRIMINAL TRIAL UPDATE:  The Government’s criminal trial against David L. Smith and Timothy M. McGinn began on Monday, January 7, 2013.  A jury has been selected, and opening legal arguments took place on Tuesday, January 8, 2013.  The Government’s first witnesses were called to testify on Tuesday afternoon.  Testimony is continuing, and the trial is expected to last three to four weeks.  The results of the trial will be posted here as soon as they are available.

UPDATE:  JANUARY 24, 2013The Government concluded its part of the trial yesterday afternoon at 2:25 p.m.  The defendants requested the Court to grant them a verdict in their favor prior to their putting on any evidence.  That motion was denied.  Consequently, the defendants have begun to call witnesses in their defense.  Further updates will be posted as soon as they are available.

UPDATE: FEBRUARY 1, 2013The lawyers’ closing arguments in the criminal trial took place all day yesterday, and the Court gave the jury its instructions this morning. The jury is now deliberating. Further updates will be posted as soon as they are available.

JURY VERDICT: The jury in the McGinn Smith criminal trial has returned a guilty verdict against the defendants, David L. Smith and Timothy M. McGinn.  Further details regarding the verdict and sentencing will be posted here in the near future.

JURY VERDICT UPDATEFEBRUARY 7, 2013Both Timothy McGinn and David Smith were convicted yesterday of conspiracy to commit mail and wire fraud, wire fraud, mail fraud, securities fraud, and filing false tax returns. The jury convicted Timothy McGinn of 27 of 29 counts of the Superseding Indictment. You can view the jury’s Verdict Form for Timothy McGinn by clicking here. The jury convicted David Smith of 15 of 29 counts of the Superseding Indictment. You can view the jury’s Verdict Form for David Smith by clicking here. You can also view the statement from the U.S. Attorney’s Office respecting the convictions by clicking here.

UPDATE TO IRA INVESTORS:  See announcement 7 below.

NOTICE TO ALL PARTIES HOLDING ANY FORM OF EQUITY INTEREST IN THE McGINN, SMITH & CO. INC., ET AL. RECEIVERSHIP ENTITIES OF PROCEDURE AND BAR DATE FOR FILING OF PRE-RECEIVERSHIP INTEREST CLAIMS:

UPDATED: October 17 and November 7, 2012

On October 2, 2012, the Receiver filed a Motion (see Docket No. 531 below) to establish a procedure for the filing of all asserted equity interest claims in the MS Entities (as defined in the Motion). The Court has approved the Motion and set December 17, 2012 as the Bar Date or last day to file equity interest claims. By November 7, 2012, the Receiver will mail to each Equity Holder (i) a password, (ii) written instructions regarding how the Equity Holder may access the Equity Claims Site, and (iii) a notice describing the Equity Claims Procedure and the Equity Claims Bar Date. Further details will also be posted to this website by November 7, 2012.

On November 7, 2012, a letter from the Receiver (“Equity Claims Site Access Notice”) generally describing the equity interest claims process was mailed to all known Equity Holders of the MS Entities (defined below). The letter also included a (i) Notice of Equity Claims Bar Date and Procedure (“Equity Claims Notice”) and (ii) Equity Claim Form. Copies of the Equity Claims Site Access Notice (without password), the Equity Claims Notice, and the Equity Claim Form are also available for viewing and download by clicking here.

Equity Holders should carefully read and follow the Equity Claims Notice for the Court approved procedure.

CLAIMS WEBSITE: The Equity Claims Website containing the Equity Schedules can be accessed by clicking here using the confidential password in the Equity Claims Site Access Notice. The Equity Claims Website is for the confidential use of Equity Holders only. Equity Holders should access the Equity Claims Website using the confidential password contained in the Equity Claims Site Access Letter so as to review the Equity Schedules and determine if a written Claim needs to be filed prior to the Bar Date.

BAR DATE FOR CLAIMS: The bar date or last day to file pre-Receivership Equity Claims is December 17, 2012 if you have an equity claim against any of the entities listed on the Schedule of Receivership Entities attached to the Equity Claims Notice (collectively, “MS Entities”).

WHO DOES NOT NEED TO FILE A CLAIM: If an Equity Holder agrees with the address, the description for their Equity Claim(s), the amount(s) as listed on the Equity Schedules on the Equity  Claims Website, and the claim(s) is/are not listed as disputed, contingent or unliquidated, the Equity Holder does not need to take any further actions. The claims in that event will be treated in the amount set forth on the Equity 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 Equity Holder.

WHO MUST FILE A CLAIM: Equity Holders are required to timely file a written claim in the manner described in the Equity Claims Notice using the Equity Claim Form if:

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

The Equity Claims Notice and Equity Claim Form are self-explanatory, but if any Equity Holder has a question as to the equity claims procedure (not the calculation of a claim), they may contact Karen M. Ludlow, Phillips Lytle LLP, at (716) 218-4404 or kludlow@phillipslytle.com.

To the extent of any inconsistency, the Equity Claims Site Notice shall govern.

The Receiver believes that Equity Claims against the MS Entities will primarily, but not exclusively, consist of claims based upon shareholder (including all classes of stock such as common stock and preferred stock), partnership, or membership interests in the following MS Entities: Health Enterprises Management, McGinn, Smith & Co., Inc., FGF Partners, GPV Associates, IP Investors, Portfolio Partners, Seton Hall Associates Limited Partners, 74 State Capital LLP, TNA Associates, Upstate Imaging Associates, M&S Partners, McGinn, Smith Holdings LLC, McGinn, Smith Firstline Funding LLC, Mr. Cranberry LLC, MSFC Security Holdings LLC, TDM Cable Funding LLC, TDMM Cable Funding LLC and White Glove Cruises LLC.

THIS EQUITY INTERSET CLAIM PROCEDURE DOES NOT INVOLVE CREDITORS OR INVESTORS WHO HOLD NON-EQUITY CLAIMS (SUCH AS MONEY CLAIMS) AGAINST THE MS ENTITIES SINCE THOSE CLAIMS WERE PART OF THE PROCESS WHICH HAD A JUNE 19, 2012 BAR DATE.


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

See Announcement 28 below for an update.

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 Alarm Contracts - SOLD; Triple Play Contracts - SOLD; Travel Agency SOLD. (Updated as of March 12, 21, 26 and 28, April 5, May 7, June 8, and September 25, 2012):  The sales have closed, and the purchase price deposited into the Receiver’s accounts for each of the alarm contract, triple play, and travel agency sales.


SETON HALL ASSOCIATES (Updated as of November 29, 2012):  A Motion has been filed to transfer the underlying asset as described in Announcement 32 below. The lease termination and sale closed on November 29, 2012. The proceeds have been deposited into the Receiver's Seton Hall bank account.

  1. Information for Interested Parties / New Information (“Announcements”)

    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 Docket No. 194 below.

    6. December 22, 2010 (Updated as of November 8, 2012): 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.

      On November 5, 2012, a foreclosure auction was held following multiple prior adjournments. Ittleson Trust (as successor to CIT) as mortgagee with a claim exceeding $11 million bid in its mortgage for $5 million at the public foreclosure auction. Ittleson was the only bidder as expected. Efforts to find a buyer for the hotel property prior to the foreclosure sale were unsuccessful. The foreclosure has the effect of extinguishing the subordinate lien held by TAIN. Consequently, and as expected, the $50,000 paid to the Receiver in 2010 is the only consideration the estate is likely to receive from the real property.

      74 State Street Hospitality, LLC (UDATE: February 7, 2014) - 74 STATE STREET HOTEL PROPERTY SOLD - It has been reported in the Albany Times Union that the 74 State Street Hotel and underlying property have finally been sold to a new owner following the foreclosure of the property by the senior lender, CIT, more than a year ago after a very long foreclosure process. The reported sale price was $3.8 million. More than $11 million was originally borrowed or invested from other sources. The McGinn Smith estates held a subordinate interest which was foreclosed by the senior lender, CIT, but the Receiver had been paid $50,000 as part of the foreclosure process, which was placed in a Receiver account for eventual distribution to investors. If the Receiver had not negotiated that payment, the McGinn Smith estates would not have received anything in connection with the property. Two articles about this event can be viewed by clicking here.

    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.

      UPDATE:  JANUARY 24, 2013The Receiver has received inquiries from investors who placed their McGinn Smith investments into IRA’s.  In an effort to provide more public dissemination of the information the Receiver has shared with those investors who have made inquiries, the Receiver is posting this message.  This message is not intended, however, to constitute tax advice to any investor or any other person.  Rather, it is to provide a common sense answer to the current situation and expectations of the Receiver.  The following is based on the assumption that SIPC coverage will not be available for reasons discussed elsewhere on the Receiver’s website, the fact that the criminal trial is still underway, and the SEC’s civil case has not yet been brought to trial and will not go to trial until after the conclusion of the criminal case.

      It presently appears to the Receiver that the value of investments, in general, will likely be materially less than 40% of the original investment value and, in most cases, likely less than that.  Final valuations will not be possible until after the claims objection process is complete, the criminal and civil trials are concluded, and available assets and expenses are tallied. 

    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.

      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 and May 23, 2012): 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 purchased from the licensed broker dealer, McGinn, Smith & Co. Inc. UPDATE:  The latest SEC letter to the Court on this subject is described in Announcement 24 below.

      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. For a further update, see Announcement 26 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. UPDATE: September 25, 2012: The SEC’s lawsuit has been stayed pending the outcome of the Government’s criminal trial against Messrs. McGinn and Smith. See Announcement 22 below.

    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. UPDATE: September 25, 2012: The criminal trial is scheduled to commence on November 13, 2012 in Utica, New York. UPDATE: October 12, 2012: See Announcement 31 below regarding superseding indictment.

    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.

    24. May 23, 2012: SEC LETTER REGARDING SIPC COVERAGE - The SEC has sent an update letter to Judge Homer regarding potential SIPC coverage.  The letter is available at Docket No. 491 below.  In summary, the SEC is advising the Court and investors that a pending decision by another federal court in an action commenced by the SEC against SIPC involving the Stanford Group Company (“SGC”) will be relevant to the McGinn Smith case.  The SEC anticipates that the Commission will consider “whether to request that SIPC initiate a liquidation proceeding for the benefit of McGinn Smith investors, or to seek any relief under SIPA, after the [other federal] court renders a decision in the SGC matter.” UPDATE: See Announcement 27 below.

    25. September 25, 2012: MESSAGE TO MCGINN SMITH INVESTORS REGARDING ASSETS COLLECTED - As of the close of business on September 21, 2012, the Receiver’s accounts have a balance of $12,088,156.56. Of this amount, approximately $2,020,630.46 represents proceeds held from property in the name of Lynn Smith or the Smith Trust. The latter monies are being held pending a final Order of the Court regarding their disposition as a result of prior Court decisions.

    26. September 25, 2012: MCGINN, SMITH & CO. INC. CFO PLEADS GUILTY - Brian Shea, the former chief financial officer and controller of McGinn, Smith & Co. Inc. has pled guilty to one count of interfering with the administration of the internal revenue laws (26 U.S.C. § 7212(a)). 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.

    27. September 25, 2012: SIPC COVERAGE UPDATE - The United States District Court for the District of Columbia denied the SEC’s request for a court order compelling SIPC to commence a liquidating proceeding to provide defrauded investors with SIPA coverage in the Stanford Group Company case. The Court’s decision was based on the fact that the investors were not “customers” of the SIPC member (the broker-dealer) because they paid their money to a non-SIPC member; i.e. a non-broker dealer.

      The SEC appealed that decision on August 31, 2012. The appeal is pending.

      Similar to the Stanford case, the evidence reviewed to date by the Receiver and the SEC in the McGinn Smith case indicates that investors paid their money to the promoted investment and not to McGinn, Smith & Co. Inc., the broker-dealer.  On that basis and consistent with the decision of the District of Columbia Court pending the outcome of the SEC’s appeal of that decision, the SEC faces the same problem in this case as in Stanford in pursuing SIPA coverage for defrauded investors under existing law.

    28. September 25, 2012: CLAIMS PROCESS UPDATE – The resolution of any disputed, contingent or unliquidated claims will likely be deferred until after the conclusion of the Government’s criminal indictment of Messrs. McGinn and Smith and the SEC’s civil action since many of the legal and factual issues will be identical.

    29. September 25, 2012: INTERIM DISTRIBUTION STATUS –The Receiver expects to file a Motion with the Court shortly requesting approval to make a limited interim distribution to allowed claims.  Further details will be posted to this website.

    30. October 2, 2012: MARK CASOLO INDICTMENT – Mr. Casolo is a former McGinn, Smith & Co. Inc. broker who has been criminally indicted by the Albany County District Attorney. It appears that the alleged criminal acts for which Mr. Casolo has been indicted took place after Mr. Casolo left McGinn Smith.

    31. October 12, 2012 (Updated as of October 19 and 25 and November 14, 2012): SUPERSEDING INDICTMENT OF DAVID L. SMITH AND TIMOTHY M. MCGINN AND STATUS OF CRIMINAL TRIAL – The United States Attorney late yesterday announced a superseding criminal indictment of Messrs. Smith and McGinn (See Announcement 21 above regarding the original January 26, 2012 criminal indictment). The superseding indictment alleges additional criminal counts including for mail and wire fraud, securities fraud and filing a false income tax returns. A copy of the press release from the Department of Justice can be read by clicking here. A copy of the Superseding Indictment can be read by clicking here.

      On October 15, 2012, the defendants filed a motion seeking a continuance of the criminal trial. The United States has until October 22, 2012 to respond, and the Court will hold a status conference on October 25, 2012.

      At the pre-trial conference on October 25, 2012, the Court set a final pre-trial conference, jury selection and trial for November 19, 2012 commencing at 9:30 a.m.

      On November 14, 2012, the District Court issued an Order directing the criminal trial to begin on January 7, 2013 due to the extensive witness and exhibit lists which had been filed with the Court which would make it unlikely that the trial would be completed prior to the upcoming holidays.  The Court stated it will not entertain any further motions for a continuance or adjournment of the trial.

      The criminal trial commenced on January 7, 2013.  See announcement at top of website for further details.

    32. November 5, 2012 (Updated November 19 and 29, 2012): SETON HALL ASSOCIATES MOTION TO APPROVE SETTLEMENT WITH SETON HEALTH SYSTEM, INC. WITH RESPECT TO A CERTAIN GROUND LEASE – On November 2, 2012, the Receiver filed a Motion (see Docket No. 544 below) to approve a settlement with Seton Health System, Inc. (formerly St. Mary’s Hospital of Troy) providing for the surrender of a ground lease dated January 27, 1982 in exchange for a payment of $70,000, relieving the estate of real property taxes and charges exceeding $372,000, and releasing the estates from all obligations under the ground lease and related obligations. Full details are contained in the Motion. The Motion will be heard by the Court on November 16, 2012 at 11 a.m.

      The Court approved the Motion, and a closing is scheduled prior to the end of November 2012. The lease termination and sale closed on November 29, 2012. The proceeds have been deposited into the Receiver's Seton Hall bank account.


  2. Claims Process

    1. 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:

    Go To:
    2015 | 2014 | 2013 | 2012 | 2011 | 2010

    pdf_icon 893 03/18/2016 ORDER granting [890] MOTION to Withdraw 862 Response in Opposition to Motion, Motion of Certain McGinn Smith Investors, Ronald Broast and Linda Broast, to Withdraw from the Objection to the Receiver's Motion and Plan of Distribution (Doc #862). Signed by Senior Judge Gary L. Sharpe on 3/18/2016. (jel, )
    pdf_icon 892 03/18/2016 Letter Motion for Eva Rabinovich, Stan Rabinovich submitted to Judge Sharpe . (Attachments: # (1) Exhibit(s) Certificate of Service)(Glavin, James)
      891 03/18/2016 TEXT ONLY ORDER - The Investors' requests for leave to file a sur-reply in opposition to the receivers motion, (Dkt. Nos. 888-889), is DENIED. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 3/17/2016. (jel, )
    pdf_icon 890 03/17/2016 MOTION to Withdraw [862] Response in Opposition to Motion, Motion of Certain McGinn Smith Investors, Ronald Broast and Linda Broast, to Withdraw from the Objection to the Receiver's Motion and Plan of Distribution (Doc #862) filed by Certain McGinn Smith Investors. (Attachments: # (1) Proposed Order, # (2) Certificate of Service) Motions referred to Christian F. Hummel. (Park, Andrew)
    pdf_icon 889 03/15/2016 Letter Motion from Andrew Park, Esq. to Join Stephen Fowler's Motion to File a Sur Reply [Doc 888] for Certain McGinn Smith Investors requesting to seek leave to file a sur-reply in opposition to the Receiver's Motion to Approve the Plan of Distribution submitted to Judge Gary L. Sharpe . (Attachments: # (1) Certificate of Service)(Park, Andrew)
    pdf_icon 888 03/15/2016 MOTION for Leave to File Sur-Reply filed by Stephen Fowler. (Attachments: # (1) Certificate of Service) Motions referred to Christian F. Hummel. (Westhoff, Bryan)
    pdf_icon 887 03/14/2016 CERTIFICATE OF SERVICE by William J. Brown re [885] Order on Motion for Miscellaneous Relief, [886] Sealed Document (Brown, William)
        03/14/2016 TEXT ONLY NOTICE of Hearing on Motion [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions : Motion Hearing set for 3/17/2016 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe will be on SUBMIT only. No personal appearances are needed. (jel, )
      886 03/14/2016 ***SEALED DOCUMENT by William J. Brown. (jel, )
    pdf_icon 885 03/14/2016 ORDER granting [882] Motion MOTION File Confidential Information Under Seal re 847 MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions Receiver's Motion to File Declaration Containing Confidential Information Under Seal. Signed by Senior Judge Gary L. Sharpe on 3/10/2016. (jel, )
    pdf_icon 884 03/09/2016 REPLY to Response to Motion re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Service)(Stoelting, David)
    pdf_icon 883 03/09/2016 REPLY to Response to Motion re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions Receiver's Omnibus Reply to Objections to Motion for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions (linking to docket items 847, 856, 862, 865, 868, 878) filed by William J. Brown. (Attachments: # (1) Appendix Certificate of Service)(Brown, William)
    pdf_icon 882 03/09/2016 MOTION to File Confidential Information Under Seal re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions Receiver's Motion to File Declaration Containing Confidential Information Under Seal filed by William J. Brown. (Attachments: # (1) Proposed Order/Judgment, # (2) Appendix Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 881 02/23/2016 LETTER dated February 22, 2016 by David Stoelting, Esq., for the SEC and ORDER Setting Hearing on Motion [876] Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to respond to objections to the Receiver's Plan of Distribution, to March 9, 2016 submitted to Judge Sharpe: (Reply to Response to Motion due by 3/9/2016. Signed by Senior Judge Gary L. Sharpe on 2/23/2016. (jel, )
    pdf_icon 880 02/23/2016 LETTER dated February 20, 2016 by William J. Brown, Esq., and ORDER Setting Hearing on Motion [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions: Reply to Response to Motion due by 3/9/2016. Signed by Senior Judge Gary L. Sharpe on 2/23/2016. (jel, )
      879 02/23/2016 Text Only Order - Pending before the court is Certain McGinn Smith Investors request, (Dkt. No. 861), for an extension fo time to serve objections to the receiver's motion to approve the distribution plan. The court GRANTS Certain McGinn Smith Investors request to the extent that the objection and declaration(s) shall be served on all parties in compliance with the courts order issued on February 23, 2016, (Dkt. No. 877), on or before February 24, 2016. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 2/23/2016. (jel, )
      878 02/23/2016 ***SEALED DOCUMENT by Certain McGinn Smith Investors. (jel, )
    pdf_icon 877 02/23/2016 ORDER - That the application to file under seal is granted. That the Third Party Recovery Investors shall serve unredacted versions of the Declaration of Bruce P. Coffin; the Supplemental Declaration of Bonnie R. Golub; and related documentation on all parties, to supplement the filed Objection to the Receiver's Motion to approve the proposed plan of distribution (Dkt. No. 862). That the parties shall maintain the confidentiality of the information and documents filed under seal. Signed by Senior Judge Gary L. Sharpe on 2/23/2016. (jel, )
    pdf_icon 876 02/22/2016 Letter Motion from David Stoelting for Securities and Exchange Commission requesting extension of time to respond to objections to the Receiver's Plan of Distribution, to March 9, 2016 submitted to Judge Sharpe . (Attachments: # (1) Declaration of Service)(Stoelting, David)
    pdf_icon 875 02/22/2016 ORDER granting [870] Motion for Limited Admission Pro Hac Vice fpr Andrew Park Esq. as to Certain McGinn Smith Investors (interested parties). Signed by Magistrate Judge Christian F. Hummel on 2/22/16. (tab)
    pdf_icon 874 02/22/2016 ORDER granting [869] Motion for Limited Admission Pro Hac Vice for Walter Weir, Jr., Esq. as to Certain McGinn Smith Investors (interested parties). Signed by Magistrate Judge Christian F. Hummel on 2/22/16. (tab)
    pdf_icon 873 02/20/2016 Letter Motion from William J. Brown, Receiver for William J. Brown requesting Extension of Time submitted to Judge Gary L. Sharpe . (Brown, William)
    pdf_icon 872 02/18/2016 NOTICE by Certain McGinn Smith Investors re [862] Response in Opposition to Motion, [861] Letter Motion from Bonnie R. Golub for Certain McGinn Smith Investors joining in the request of Stephen Fowler counsel for Sheldon L. Solow for Certain McGinn Smith Investors requesting Extension of Time to File and Serve Objection and Decla (Golub, Bonnie)
    pdf_icon 871 02/17/2016 AFFIDAVIT of Service for Unredacted Copies of (i) Stephen Fowler's Objection to the Receiver's Motion for an Order Approving Plan of Distribution of Estate Assets; and (ii) Declaration of Stephen Fowler in Support of Objection to the Receiver's Motion for an Order Approving Plan of Distribution of Estate Assets on 02/16/2016, filed by Stephen Fowler. (Solow, Sheldon)
    pdf_icon 870 02/17/2016 MOTION for Limited Admission Pro Hac Vice of Andrew Park, Esquire Filing fee $100, receipt number 0206-3575468. filed by Certain McGinn Smith Investors. Motions referred to Christian F. Hummel. (Golub, Bonnie)
    pdf_icon 869 02/17/2016 MOTION for Limited Admission Pro Hac Vice of Walter Weir, Jr., Esquire Filing fee $100, receipt number 0206-3575444. filed by Certain McGinn Smith Investors. Motions referred to Christian F. Hummel. (Golub, Bonnie)  
    pdf_icon 868 02/17/2016 RESPONSE to Motion re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by Eva Rabinovich, Stan Rabinovich. (Attachments: # (1) Affidavit In Support of Response, # (2) Certificate of Service)(Glavin, James)
      867 02/17/2016 Text Only Order - Pending before the court is Stephen Fowler's request, (Dkt. No. 858), for an extension fo time to serve objections to the receiver's motion to approve the distribution plan. The court GRANTS Fowler's request to the extent that his objection and declaration order issued on February 16, 2016, (Dkt. No. 866), shall be served on all parties in compliance with the courts on or before February 18, 2016. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 2/16/2016. (jel, )
    pdf_icon 866 02/17/2016 ORDER - That the motion to file under seal is granted. That Mr. Fowler shall serve an unredacted version of the Objection and Declaration on all parties. That the recipients of the Objection and Declaration must keep the information contained therein confidential and may use such information solely in connection with this case. Signed by Senior Judge Gary L. Sharpe on 2/16/2016. (jel, )
      865 02/17/2016 ***SEALED DOCUMENT by Stephen Fowler. (jel, )
      864 02/17/2016 ***SEALED DOCUMENT by Stephen Fowler. (jel, )
    pdf_icon 863 02/16/2016 RESPONSE to Motion re [861] Letter Motion from Bonnie R. Golub for Certain McGinn Smith Investors joining in the request of Stephen Fowler counsel for Sheldon L. Solow for Certain McGinn Smith Investors requesting Extension of Time to File and Serve Objection and Decla Response of Receiver to Motion of Stephen Fowler to File Under Seal filed by William J. Brown. (Attachments: # (1) Certificate of Service)(Brown, William)
    pdf_icon 862 02/16/2016 RESPONSE in Opposition re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by Certain McGinn Smith Investors. (Attachments: # (1) Exhibit(s) A, # (2) Memorandum of Law, # (3) Declaration, # (4) Certificate of Service)(Golub, Bonnie)
    pdf_icon 861 02/16/2016 Letter Motion from Bonnie R. Golub for Certain McGinn Smith Investors joining in the request of Stephen Fowler counsel for Sheldon L. Solow for Certain McGinn Smith Investors requesting Extension of Time to File and Serve Objection and Declaration submitted to Judge Gary L. Sharpe . (Golub, Bonnie)
    pdf_icon 860 02/16/2016 NOTICE of Appearance by Bonnie R. Golub on behalf of Certain McGinn Smith Investors (Golub, Bonnie)
    pdf_icon 859 02/16/2016 NOTICE of Appearance by James H. Glavin, IV on behalf of Stan Rabinovich, Eva Rabinovich (Glavin, James)
    pdf_icon 858 02/12/2016 Letter Motion from Sheldon L. Solow for Stephen Fowler requesting An Extension of Time to Serve (i) Mr. Fowler's Objection to the Receiver's Motion to Approve the Distribution Plan [Dkt. No. 847] and (ii) the Supporting Declaration submitted to Judge Gary L. Sharpe . (Solow, Sheldon)
    pdf_icon 857 02/11/2016 NOTICE of Appearance by Kevin Laurilliard on behalf of Joseph Allegretta, Suzanne Allegretta, JAT Construction Co., Inc. Defined Benefit Pension Plan (Laurilliard, Kevin)
    pdf_icon 856 01/29/2016 RESPONSE in Opposition re [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by JAT Construction Co., Inc. Defined Benefit Pension Plan, Joseph Allegretta, Suzanne Allegretta. (Laurilliard, Kevin)
    pdf_icon 855 01/27/2016 ORDER granting [853] Motion for Limited Admission Pro Hac Vice of Bryan M. Westhoff, Esq. on behalf of Stephen Fowler. Signed by Magistrate Judge Christian F. Hummel on 1/26/16. (tab)
    pdf_icon 854 01/27/2016 ORDER granting [852] Motion for Limited Admission Pro Hac Vice of Sheldon L. Solow, Esq. on behalf of Stephen Fowler. Signed by Magistrate Judge Christian F. Hummel on 1/26/16. (tab)
    pdf_icon 853 01/15/2016 MOTION for Limited Admission Pro Hac Vice of Bryan M. Westhoff Filing fee $100, receipt number 0206-3542130. filed by Stephen Fowler. Motions referred to Christian F. Hummel. (Rothman, Alan)
    pdf_icon 852 01/15/2016 MOTION for Limited Admission Pro Hac Vice of Sheldon L. Solow Filing fee $100, receipt number 0206-3542069. filed by Stephen Fowler. Motions referred to Christian F. Hummel. (Rothman, Alan)
      851 01/14/2016 TEXT Minute Entry for proceedings held before Magistrate Judge Christian F. Hummel: Scheduling Conference held on 1/14/2016, Set Deadlines/Briefing Schedule as to [847] MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions : Response to Motion due by 2/16/2016, Reply to Response to Motion due by 2/29/2016. Motion Hearing set for 3/17/2016 before Senior Judge Gary L. Sharpe. This motion will be taken on Submit unless otherwise notified. Receiver William Brown, Esq. appeared in person and a number of interested parties and counsel participated by phone. All appearances were made on the record. (Court Reporter FTR RECORDED) (tab)
      850 01/05/2016 TEXT ORDER granting [848] Letter Request for a conference to be scheduled. A Scheduling Conference has been set for Thursday, 1/14/2016 @ 11:00 AM in Albany before Magistrate Judge Christian F. Hummel. Any party wishing to appear via telephone for this conference can join the conference by dialing in at 1-888-684-8852, enter access code 9772719 and security code 1234. Authorized by Magistrate Judge Christian F. Hummel on 1/5/16. (Please note that this conference is not a Motion Hearing Date, but a scheduling conference in order to set a briefing schedule for [847] MOTION of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by William J. Brown.) (tab)
    pdf_icon 849 01/05/2016 ORDER APPROVING FIFTH INTERIM APPLICATION OF CHIAMPOU TRAVIS BESAW & KERSHNER LLP FOR APPROVAL OF FEES: It is ORDERED that the # 846 Application is approved such that compensation for services rendered between June 30, 2013 and April 18, 2015 in the amount of $109,947.90 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 Christian F. Hummel on 1/4/2016. (mc) Modified on 1/4/2016 copy sent to pro se defendant Nancy McGinn via regular mail. (mc) (Entered: 01/04/2016)
    pdf_icon 848 12/30/2015 Letter Motion for William J. Brown requesting Hearing Date for Approval of Plan of Distribution submitted to Judge Christian F. Hummel . (Brown, William)
    pdf_icon 847 12/30/2015 MOTION Motion of William J. Brown, as Receiver, for an Order (I) Approving Plan of Distribution of Estate Assets and (II) Authorizing Interim Distributions filed by William J. Brown. (Attachments: # (1) Notice of Motion, # (2) Declaration of William J. Brown, # (3) Memorandum of Law, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 846 11/03/2015

    Note: pdf file size 18 MB
    Fifth MOTION COMPENSATION FOR SERVICES RENDERED Fifth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 12/17/2015 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 11/30/2015 filed by William J. Brown. (Attachments: # (1) Declaration, # (2) Exhibit(s) B-1, # (3) Exhibit(s) B-2, # (4) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 845 09/01/2015 Letter dated August 27, 2015 from Richard L. Bove. (jel, )
    pdf_icon 844 09/01/2015 Letter dated August 28, 2015 from Earl B. Seguine, Jr. (jel, )
    pdf_icon 843 08/21/2015 LETTER BRIEF Receiver Letter in Response to Investor Letter (Docket No. 842) by William J. Brown. (Brown, William)
    pdf_icon 842 08/20/2015 Letter dated August 12, 2015 from Richard L. Bove to the court. (jel, )
      841 07/10/2015 Mail Returned as Undeliverable regarding the # [835] Final Judgment as to David L. Smith, # [836] Final Judgment as to Defendant Timothy McGinn and # [837] Final Judgment as to Defendants Lynn A. Smith, Lauren T. Smith, Geoffrey R Smith and Nancy McGinn mailed to Nancy McGinn via regular mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the judgments will be resent via regular mail.(mc)
    pdf_icon 840 07/08/2015 AMENDED FINAL JUDGMENT AS TO DEFENDANT TIMOTHY M. MCGINN: Amending the # [836] Judgment in favor of Securities and Exchange Commission against Timothy M. McGinn. Judgment amended to fix a monetary amount on page 6 previously listed as $11,668.132 and now updated to reflect the correct amount of $11,668,132. [Copy sent to pro se defendant Nancy McGinn via regular mail.] (mc)
      839 07/08/2015 Mail Returned as Undeliverable regarding the # [834] Text Order mailed to Nancy McGinn via regular mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the will be resent via regular mail. (mc)
      838 07/08/2015 Mail Returned as Undeliverable regarding the # [837] Judgment mailed to Nancy McGinn via certified mail at the address of 426-8th Ave. Troy, NY 12182. Envelope marked "Forward Time Expired - Return to Sender." The Clerk notes that there is a forwarding address listed on the envelope of 335 6th Ave. Troy, NY 12182-3201 where the Judgment will be resent via certified mail. (mc)
    pdf_icon 837 06/26/2015 FINAL JUDGMENT AS TO LYNN A. SMITH, LAUREN T. SMITH, GEOFFREY R. SMITH AND NANCY MCGINN: in favor of Securities and Exchange Commission against Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith and Nancy McGinn. The Court, on March 30, 2015, having issued a Memorandum-Decision and Order (Dkt. 816) granting plaintiff Securities and Exchange Commission's motion for summary judgment on the Eighth Claim for Relief as alleged in the Second Amended Complaint (Dkt. 334). The transfers noted in Section 1 of this Order were made in violation of § 276 of the New York Debtor and Creditor Law, are declared void and are hereby set aside. It is ORDERED that L. Smith, as one of the transferors of the fraudulent transfers listed in Section I(2) through I(8) in this Order, shall be jointly and severally liable, together with D. Smith, for the return all such fraudulently transferred assets, or their equivalent value, to the Receiver, subject to the offset in Section III. It is ORDERED that the transferees identified in Section I in the Order shall be jointly and severally liable with D. Smith and L. Smith for the return of all assets fraudulently conveyed to them, or their equivalent value, to the Receiver, William J. Brown, Esq. as noted herein. It is ORDERED that the Receiver shall apply all proceeds of all payments and transfers to him pursuant to this Final Judgment, including all proceeds of the sale of the Sacandaga Lake Property, the Niskayuna Property and the Vero Beach Property, and the assets in the Smith Trust and the BOA Account, to the Distribution Fund for the benefit of the defrauded investors. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via certified and regular mail.] (mc)
    pdf_icon 836 06/26/2015 FINAL JUDGMENT AS TO DEFENDANT TIMOTHY M. MCGINN: in favor of Securities and Exchange Commission against Timothy M. McGinn. On February 17, 2015 and March 30, 2015, having issued Memorandum-Decision and Orders (Dkt. 807, 816) granting plaintiff Securities and Exchange Commission's motion for summary judgment of the First, Second, Third, Fourth, Sixth and Eighth Claims for relief. It is hereby ORDERED that Defendant Timothy M. McGinn is permanently enjoined and restrained from violating the sections of the Securities Act of 1933 noted herein, the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the of the mails, directly or indirectly as noted in the physical order. Pursuant to FRCvP 65(d)(2) directs that the following people receive personal service or otherwise, of this final judgment, (a) upon Defendant McGinn's officers, agents, servants, employees and attorneys and (b) other persons in active concert or participation with Defendant McGinn. Pursuant to Section 21(d)(2) of the Exchange Act [15 U.S.C § 78u(d)(2), Defendant McGinn is prohibited from acting as an officer or director of any issuer that has a class of securities registered or is required to file reports. It is further ORDERED that Defendant McGinn is liable for disgorgement of $87,433,218, representing profits gained as a result of the conduct alleged in the Second Amended Complaint, together with prejudgment interest thereon in the amount of $11,668,132, for a total of $99,101,350. This liability for disgorgement and prejudgment interest shall be a joint and several liability of Defendant McGinn and Defendant David L. Smith. Defendant McGinn shall satisfy this obligation by paying $99,101,350 to William J. Brown, Esq., the Receiver appointed herein, within 14 days after the entry of this Final Judgment. See Order for further instruction on the impact of this payment. It is ORDERED that the property located at 26 Port Huron Drive, Niskayuna, NY from Timothy M. McGinn to the Defendant and Relief Defendant Nancy A. McGinn in October 2009 is hereby declared to have been a fraudulent conveyance and therefore the Receiver is authorized to apply the proceeds of this sale of the Niskayuna Property to the Distribution Fund. The Receiver shall hold all payments received and should submit to the Court a proposed Plan of Distribution. The Receiver is authorized to liquidate and monetize any assets recovered and deposit the proceeds thereof in an appropriate account. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via regular mail.] (mc)
    pdf_icon 835 06/26/2015 FINAL JUDGMENT AS TO DEFENDANT DAVID L. SMITH: in favor of Securities and Exchange Commission against David L. Smith. On February 17, 2015 and March 30, 2015, having issued Memorandum-Decision and Orders (Dkt. 807, 816) granting plaintiff Securities and Exchange Commission's motion for summary judgment of the First, Second, Third, Fourth, Sixth and Eighth Claims for relief. It is hereby ORDERED that Defendant David L. Smith is permanently enjoined and restrained from violating the sections of the Securities Act of 1933 noted herein, the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the of the mails, directly or indirectly as noted in the physical order. Pursuant to FRCvP 65(d)(2) directs that the following people receive personal service or otherwise, of this final judgment, (a) upon Defendant Smith's officers, agents, servants, employees and attorneys and (b) other persons in active concert or participation with Defendant Smith. It is further ORDERED that Defendant Smith is liable for disgorgement of $87,433,218, representing profits gained as a result of the conduct alleged in the Second Amended Complaint, together with prejudgment interest thereon in the amount of $11,668,132, for a total of $99,101,350. This liability for disgorgement and prejudgment interest shall be a joint and several liability of Defendant David L. Smith and Defendant Timothy M. McGinn. Defendant Smith shall satisfy this obligation by paying $99,101,350 to William J. Brown, Esq., the Receiver appointed herein, within 14 days after the entry of this Final Judgment. See Order for further instruction on the impact of this payment. David Smith is a joint owner of a brokerage account in the name of Lynn A. Smith and is the beneficial owner of assets of David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 as such, all cash and securities, shall be treated as an asset and shall be applied to Smith's payment obligation under this Final Judgment. David L. Smith transfers to L. Smith the titles of properties noted in section 7 (C) on page 7 are hereby set aside. The Receiver shall hold all payments received and should submit to the Court a proposed Plan of Distribution. The Receiver is authorized to liquidate and monetize any assets recovered and deposit the proceeds thereof in an appropriate account. This Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. Signed by Chief Judge Gary L. Sharpe. [Copy served upon pro se defendant Nancy McGinn via regular mail.] (mc)
      834 06/25/2015 TEXT ONLY ORDER - Pending is plaintiff the Securities and Exchange Commissions (SEC) letter motion, (Dkt. No. 830), seeking entry of proposed final judgments as to defendants David Smith, (Dkt. No. 830, Attach. 1), Timothy McGinn, (Dkt. No. 830, Attach. 2), Lynn Smith, Geoffrey Smith, Lauren Smith, and Nancy McGinn, (Dkt. No. 830, Attach. 3). Also pending is Lynn Smith's letter motion seeking a hearing. (Dkt. No. 831.) Consistent with the court's February 17, 2015 Memorandum-Decision and Order, (Dkt. No. 807), and its March 30, 2015 Memorandum-Decision and Order, (Dkt. No. 816), the SEC's motion, (Dkt. No. 830), is GRANTED and the Clerk is directed to enter the proposed judgments. Lynn Smith's motion requesting a hearing, (Dkt. No. 831), is DENIED as unnecessary. IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 6/25/2015. (jel, )
    pdf_icon 833 06/17/2015 LETTER BRIEF Receiver Reply Letter to Alan Werksman (Docket No. 832) by William J. Brown. (Brown, William)
    pdf_icon 832 06/15/2015 Letter from Alan J. Werksman. (ban)
    pdf_icon 831 06/11/2015 Letter Motion from Jonathan S. McCardle for Lynn A. Smith requesting Hearing submitted to Judge Gary L. Sharpe . (McCardle, Jonathan)
    pdf_icon 830 06/10/2015 Letter Motion from David Stoelting for Securities and Exchange Commission requesting entry of Proposed Final Judgments submitted to Judge Sharpe . (Attachments: # (1) Proposed Final Judgment as to Defendant David Smith, # (2) Proposed Final Judgment as to Defendant Timothy McGinn, # (3) Proposed Final Judgment as to Lynn Smith, Geoffrey Smith, Lauren Smith and Nancy McGinn)(Stoelting, David)
    pdf_icon 829 04/30/2015 SUPPLEMENTAL ELECTRONIC NOTICE AND CERTIFICATION: sent to U.S. Court of Appeals regarding the # [822] Notice of Appeal, # [824] Notice of Appeal and # [827] Notice of Appeal. [Copy sent to pro se defendant via regular mail.](mc)
    pdf_icon 828 04/24/2015 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, Geoffrey R. Smith re [827] Notice of Appeal (Linnan, James)
    pdf_icon 827 04/24/2015 NOTICE OF APPEAL 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, Geoffrey R. Smith. Filing fee $ 505, receipt number 0206-3269084. (Linnan, James)
    pdf_icon 826 04/23/2015 ELECTRONIC NOTICE AND CERTIFICATION: sent to U.S. Court of Appeals regarding the # [822] Notice of Appeal and the # [824] Notice of Appeal. [Copy sent to pro se defendant via regular mail.] (mc)
    pdf_icon 825 04/22/2015 CERTIFICATE OF SERVICE by Lynn A. Smith re [824] Notice of Appeal (McCardle, Jonathan)
    pdf_icon 824 04/22/2015 NOTICE OF APPEAL by Lynn A. Smith(Relief Defendant). Filing fee $ 505, receipt number 0206-3266747. (McCardle, Jonathan)
    pdf_icon 823 04/22/2015 CERTIFICATE OF SERVICE by David L. Smith re [822] Notice of Appeal (Dreyer, William)
    pdf_icon 822 04/22/2015 NOTICE OF APPEAL as to [816] Order on Motion for Summary Judgment,,,,,,,,,,,,,,,,, by David L. Smith. Filing fee $ 505, receipt number 0206-3266118. (Dreyer, William)
    pdf_icon 821 04/21/2015 LETTER BRIEF Consent of Receiver to Entry of Judgment on Fifth and Sixth Causes of Action by William J. Brown. (Brown, William)
      820 04/21/2015 TEXT ONLY ORDER - In its March 30, 2015 Memorandum-Decision and Order, the court directed the receiver, William Brown, Esq., to file his consent, on behalf of the Four Funds, to entry of judgment on the Security and Exchange Commissions fifth and sixth causes of action as they relate to the Four Funds. (Dkt. No. 816 at 55.) To date, the receiver has not filed his consent. Accordingly, the receiver is directed to file his consent within seven (7) days of this text only order. The court notes that, as articulated in its March 30, 2015 Memorandum-Decision and Order, the filing of this consent will have no impact on when the court enters judgment against the receivership defendants, including the Four Funds. (Id. at 53-55.) IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 4/21/2015. (jel, )
    pdf_icon 819 04/20/2015 Letter dated April 10, 2015 from Dorothy H. Puglisi. (jel, )
    pdf_icon 818 04/08/2015 Letter dated April 2, 2015 from Ronald DeLeonardis to William Brown, Receiver. (jel, )
    pdf_icon 817 03/31/2015 NOTICE of Appearance by Jonathan S. McCardle on behalf of Lynn A. Smith(Relief Defendant) (McCardle, Jonathan)
    pdf_icon 816 03/30/2015 MEMORANDUM-DECISION and ORDER - That the remainder of the SEC's motion for summary judgment (Dkt. No. 708, Attach. 1 at 14-29, 32-40) is GRANTED. That the SEC's requests for disgorgement of profits in the amount of $87,433,218 and prejudgment interest in the amount of $11,668,132 are GRANTED. That $99,101,350 - the total amount of disgorged profits plus prejudgment interest - be returned to defrauded investors. That the following assets may be applied in order to satisfy the disgorgement order: (1) the Stock Account; (2) the Smith Vero Beach Home; (3) the Checking Account; and (4) the Smith Trust. That the Clerk defer entering judgment as against the Four Funds, MS & Co., MS Advisors, and MS Capital pending further direct from the court. That Brown, on behalf of the Four Funds, may consent to entry of judgment on the SEC's fifth and sixth causes of action, and is directed to file his consent with the court within fourteen (14) days of this Memorandum-Decsiion and Order. That Brown is further directed to inform the court, in writing, once the funds have been distributed to investors and he is ready to close the receivership, so that the court may enter judgment. That L. Smith's motion for summary judgment (Dkt. No. 696) is DENIED as moot. That the Smith Trust, L.T. Smith, and G. Smith's motion for summary judgment (Dkt. No. 704) is DENIED. Signed by Chief Judge Gary L. Sharpe on 3/30/2015. (jel, )
    pdf_icon 815 03/17/2015 MEMORANDUM OF LAW re [809] Memorandum of Law, filed by David L. Smith. (Dreyer, William)
        03/11/2015 CLERK'S CORRECTION OF DOCKET ENTRY: Upon consultation with Attorney Richard L. Reiter, the Clerk confirmed that during the filing of the # [814] Notice of Appearance docket entry he selected the option to add a new filer since the party "David M. Wojeski" was previously terminated in both the defendant and intervenor roles and therefore was unavailable for selection. The Clerk deleted the duplicate party, corrected the link to reflect the change, Attorney Fred N. Knopf has been terminated and Attorney Reiter has been added. [Copy of NEF sent to pro se defendant Nancy McGinn via regular mail.] (mc)
    pdf_icon 814 03/10/2015 NOTICE of Appearance by Richard L. Reiter on behalf of David M. Wojeski (Reiter, Richard)
    pdf_icon 813 03/10/2015 LETTER/ORDER granting [810] Letter Motion from William J. Dreyer for David L. Smith requesting extension of time to file response on or before March 16, 2015. Signed by Chief Judge Gary L. Sharpe on 3/9/2015. (jel, )
      812 03/10/2015 ***SEALED DOCUMENT. (jel, )
      811 03/10/2015 ***SEALED DOCUMENT by Securities and Exchange Commission. (jel, )
    pdf_icon 810 03/05/2015 Letter Motion from William J. Dreyer for David L. Smith requesting extension of time to file response submitted to Judge Sharpe . (Dreyer, William)
    pdf_icon 809 03/04/2015 MEMORANDUM OF LAW re [808] Order,, [807] Order,,,,,,,,,,,,, filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of William J. Brown, # (2) Brown Ex 1, # (3) Brown Ex 2, # (4) Brown Ex 3(a), # (5) Brown Ex 3(b), # (6) Brown Ex 4, # (7) Brown Ex 5(a), # (8) Brown Ex. 5(b), # (9) Declaration of Kerri L. Palen, # (10) Palen Ex 1, # (11) Declaration of Service)(Stoelting, David)
      808 02/20/2015 TEXT ONLY ORDER - To remedy an inadvertent error in the court's February 17, 2015 Memorandum-Decision and Order, (compare Dkt. No. 807 at 46, with id. at 56), the SEC's supplemental submission regarding the amount it seeks in disgorgement and the status of its remaining claims is to be filed within fourteen (14) days from the date that the Memorandum-Decision and Order was issued. Smith may file a response within seven (7) days of the SECs submission. The parties submissions are not to exceed ten (10) pages in length. IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 2/20/2015. (jel, ) (Entered: 02/20/2015)
    pdf_icon 807 02/17/2015 MEMORANDUM-DECISION and ORDER - ORDERED that the SEC's motion for summary judgment is GRANTED IN PART and DENIED IN PART as follows: GRANTED with respect to the SEC's first cause of action alleging violations of § 17(a) of the Securities Act, as against MS & Co., MS Advisors, MS Capital, McGinn, and Smith; GRANTED with respect to the SEC's second cause of action alleging violations of § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, as against MS & Co., MS Advisors, MS Capital, McGinn, and Smith; GRANTED with respect to the SEC's third cause of action alleging violations of § 15(c)(1) of the Exchange Act as against MS & Co., and aiding and abetting violations of § 15(c)(1) as against McGinn and Smith; GRANTED with respect to the SEC's fourth cause of action alleging violations of the Advisors Act as against MS & Co., MS Advisors, McGinn, and Smith; GRANTED with respect to the SEC's sixth cause of action alleging violations of §§ 5(a) and 5(c) of the Securities Act as against MS & Co., MS Capital, McGinn, and Smith; GRANTED with respect to the SEC's request for a permanent injunction barring McGinn and Smith from committing future violations of §§ 5(a), 5(c), and 17(a) of the Securities Act, § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, § 15(c)(1) of the Exchange Act, and Rule 10b-3 thereunder, and §§ 206(1), 206(2), and 206(4) of the Investment Advisers Act, and Rule 206(4)-8 thereunder; and GRANTED with respect to the SEC's request for an order barring McGinn from serving as an officer or director of a public company; and DENIED with respect to the SEC's request for civil penalties; and it is further; ORDERED that the court reserves judgment on the SEC's request for disgorgement of profits, only as to the appropriate amount. If the SEC wishes to pursue this theory, consistent with this Memorandum-Decision and Order, the SEC must provide a reasonable approximation of the profits causally connected to the violations within SEVEN (7) DAYS from the issuance of this Memorandum-Decision and Order. Smith may respond within SEVEN (7) DAYS after the SEC files its submission; and it is further; ORDERED that the court reserves judgment on the remainder of the SEC's motion; and it is further ORDERED that, within SEVEN (7) DAYS of this Memorandum-Decision and Order, the SEC inform the court whether it has abandoned and/or withdrawn its fifth cause of action and sixth cause of action insofar as it is alleged against the Four Funds, or whether it seeks a trial on those claims; and it is further ORDERED that McGinn and Smith are enjoined from committing future violations of §§ 5(a), 5(c), and 17(a) of the Securities Act, § 10(b) of the Exchange Act, and Rule 10b-5 thereunder, § 15(c)(1) of the Exchange Act, and Rule 10b-3 thereunder, and §§ 206(1), 206(2), and 206(4) of the Investment Advisers Act, and Rule 206(4)-8 thereunder; and it is further ORDERED that McGinn is permanently and unconditionally barred from acting as an officer or director of any issuer that has a class of securities registered pursuant to 15 U.S.C. § 78l or that is required to file reports pursuant to 15 U.S.C. § 78o(d). Signed by Chief Judge Gary L. Sharpe on 2/17/2015. (jel, )
    pdf_icon 806 12/12/2014 ORDER - ORDERED that Timothy McGinn and Nancy McGinn either notify the court and opposing counsel of their intention not to respond to the SEC's motion or file their response(s) within FOURTEEN (14) DAYS of this Orders filing date; and it is further ORDERED that if Timothy McGinn and/or Nancy McGinn file(s) a response, the SEC may file a reply within SEVEN (7) DAYS from the filing of the response(s). Signed by Chief Judge Gary L. Sharpe on 12/12/2014. (jel, )
    pdf_icon 805 12/02/2014 Exhibit List re Plaintiff's Statement of Material Facts by Securities and Exchange Commission. (Attachments: # (1) Letter to Judge Sharpe)(Stoelting, David)
      804 11/25/2014 Text Only Order - In support of its motion for summary judgment, (Dkt. No. 708), the Securities and Exchange Commission (SEC) uploaded over 350 exhibits, spanning over fifty docket entries, (Dkt. Nos. 712-64). Many of the exhibits, however, were not uploaded in numerical order, (see, e.g., Dkt. Nos. 715-20), and the first docket entry that contains exhibits does not even identify which attachment is which exhibit, (Dkt. No. 712). This is unduly burdensome to the court, and certainly not in compliance with General Order 22 ("All attachments must be described in sufficient detail so the Court and opposing counsel can easily identify and distinguish the filed attachments."). Nevertheless, the court recognizes the inconvenience and burden associated with re-uploading all of the exhibits. Therefore, the SEC is directed, within seven (7) days, to edit the appendix to its statement of material facts, (Dkt. No. 711, Attach. 1), and provide parallel citations to the exact docket number, and, where relevant, attachment number, that corresponds to each exhibit. IT IS SO ORDERED. Issued by Chief Judge Gary L. Sharpe on 11/24/2014. (jel, )
    pdf_icon 803 10/17/2014 ORDER: The proposed stipulation REGARDING 2013 LYNN A. SMITH TAXES on [Dkt #802] filed by Lynn A. Smith is Granted. It is so Ordered. Signed by Magistrate Judge Christian F. Hummel on 10/17/14. (cjm, )
    pdf_icon 802 10/16/2014 STIPULATION and Proposed Order Regarding 2013 Lynn A. Smith Taxes by Lynn A. Smith submitted to Judge Christian F. Hummel. (Featherstonhaugh, James)
    pdf_icon 801 8/28/2014 REPLY to Response to Motion re [696] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Plaintiff's Responses to David Smith's Statement of Additional Material Facts, # (2) Plaintiff's Responses to the Smith Trust's Statement of Additional Material Facts, # (3) Plaintiff's Responses to Lynn Smith's "Statement of Disputed Facts", # (4) Exhibit(s) A, # (5) Exhibit(s) B, # (6) Exhibit(s) C, # (7) Exhibit(s) D, # (8) Declaration of Service)(Stoelting, David)
    pdf_icon 800 8/28/2014 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, Geoffrey R. Smith re [795] Reply to Response to Motion, (Linnan, James)
    pdf_icon 799 8/28/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [796] Reply to Response to Motion for service on Pro Se Defendant, Nancy McGinn (Featherstonhaugh, James)
    pdf_icon 798 8/28/2014 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, Geoffrey R. Smith re [795] Reply to Response to Motion, (Linnan, James)
    pdf_icon 797 8/28/2014 CERTIFICATE OF SERVICE by Lynn A. Smith re [796] Reply to Response to Motion (Featherstonhaugh, James)
    pdf_icon 796 8/28/2014 REPLY to Response to Motion re [708] MOTION for Summary Judgment filed by Lynn A. Smith. (Featherstonhaugh, James)
    pdf_icon 795 8/28/2014 REPLY to Response to Motion re [704] MOTION for Summary Judgment , [708] MOTION for Summary Judgment 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, Geoffrey R. Smith. (Attachments: # (1) Exhibit(s))(Linnan, James)
    pdf_icon 794 8/22/2014 ORDER: Granting the # [793] Letter Request. Signed by Chief Judge Gary L. Sharpe on 8/21/2014. (mc)
    pdf_icon 793 8/21/2014 Letter Motion from Kevin McGrath for Securities and Exchange Commission requesting Leave to File a 25 page joint Reply Brief submitted to Judge Sharpe . (McGrath, Kevin)
    pdf_icon 792 8/20/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [783] Statement of Material Facts, for service on Pro Se Defendant, Nancy McGinn (Featherstonhaugh, James)
    pdf_icon 791 8/20/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [781] Memorandum of Law, for service on Pro Se Defendant, Nancy McGinn (Featherstonhaugh, James)
    pdf_icon 790 8/20/2014 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [788] Response in Opposition to Motion for Summary Judgment by Smith Trust and G. and L. Smith (McGrath, Kevin)
    pdf_icon 789 8/20/2014 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [787] Response in Opposition to Motion for Partial Summary Judgment by Lynn Smith (McGrath, Kevin)
    pdf_icon 788 8/20/2014 RESPONSE in Opposition re [704] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Response to Statement of Material Facts)(McGrath, Kevin)
    pdf_icon 787 8/20/2014 RESPONSE in Opposition re [696] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Statement of Material Facts, # (2) Declaration)(McGrath, Kevin)
    pdf_icon 786 8/20/2014 CERTIFICATE OF SERVICE by David L. Smith re [785] Response in Opposition to Motion,, (Dreyer, William)
    pdf_icon 785 8/20/2014 RESPONSE in Opposition re [708] MOTION for Summary Judgment filed by David L. Smith. (Attachments: # (1) Exhibit(s), # (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), # (19) Exhibit(s), # (20) Exhibit(s), # (21) Exhibit(s), # (22) Memorandum of Law)(Dreyer, William)
    pdf_icon 784 8/20/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [783] Statement of Material Facts, Statement of Disputed Facts (Featherstonhaugh, James)
    pdf_icon 783 8/20/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Relief Defendant/Defendant's Statement of Disputed Facts and Response to the Plaintiff's Statement of Material Facts filed by Lynn A. Smith. (Attachments: # (1) Exhibit(s), # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s))(Featherstonhaugh, James)
    pdf_icon 782 8/20/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [781] Memorandum of Law, (Featherstonhaugh, James)
    pdf_icon 781 8/20/2014 MEMORANDUM OF LAW re [708] Motion for Summary Judgment, In Support of Relief Defendant/Defendant Lynn A. Smith's Response to the Plaintiff's Motion for Summary Judgment filed by Lynn A. Smith(Relief Defendant). (Featherstonhaugh, James)
    pdf_icon 780 8/20/2014 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, Geoffrey R. Smith re [779] Certificate of Service, [778] Affidavit in Opposition to Motion, mailing to Nancy McGinn (Linnan, James)
    pdf_icon 779 8/20/2014 AFFIDAVIT in Opposition re [704] MOTION for Summary Judgment , [708] MOTION for Summary Judgment , [696] MOTION for Summary Judgment 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, Geoffrey R. Smith. (Attachments: # (1) Exhibit(s), # (2) Memorandum of Law, # (3) Statement of Material Facts)(Linnan, James)
    pdf_icon 778 8/20/2014 AFFIDAVIT in Opposition re [704] MOTION for Summary Judgment , [708] MOTION for Summary Judgment , [696] MOTION for Summary Judgment 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, Geoffrey R. Smith. (Attachments: # (1) Exhibit(s), # (2) Memorandum of Law, # (3) Statement of Material Facts)(Linnan, James)
      777 8/20/2014 TEXT ORDER dismissing 658 Motion without prejudice and with a right to renew. Counsel for the Department Of Justice Tax Division has also reserved their right to defend any such renewed motion on the merits as well as any jurisdictional bases. SO ORDERED. Signed by Magistrate Judge Christian F. Hummel on 8/7/14. (aaf, ) (Entered: 08/07/2014)
      776 8/20/2014 LETTER/ORDER - The request is granted. Response papers are to be filed on or before August 11, 2014. Reply papers are to be filed on or before August 27, 2014. Motion hearing is scheduled for September 18, 2014 at 9:00 a.m. on SUBMIT only. No appearances are needed unless otherwise notified by the court. Signed by Chief Judge Gary L. Sharpe on 7/31/2014. (jel, ) (Entered: 07/31/2014)
    pdf_icon 775 8/1/2014 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, Geoffrey R. Smith (Linnan, James)
    pdf_icon 774 8/1/2014 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, Geoffrey R. Smith re [773] Letter Motion from James D. Linnan joining in request for extension of time to file responsive papers for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting EXTENSION OF TIME TO FILE RESPONSIVE PAPERS submi (Linnan, James)
    pdf_icon 773 8/1/2014 Letter Motion from James D. Linnan joining in request for extension of time to file responsive papers for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting EXTENSION OF TIME TO FILE RESPONSIVE PAPERS submitted to Judge SHARPE . (Linnan, James)
    pdf_icon 772 8/1/2014 CERTIFICATE OF SERVICE by David L. Smith (Dreyer, William)
    pdf_icon 771 7/31/2014 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting extension to file response submitted to Judge Sharpe . (Dreyer, William)
    pdf_icon 770 7/16/2014 NOTICE that the response deadline is August 4, 2014 to the [696], [704] and [708] Motions for Summary Judgment (Attachments: # (1) Notification of the Consequences of failing to respond to a summary judgment motion)(jel, )
      769 7/16/2014 TEXT ONLY - Text Only Order - Pending before the court are defendants' requests that the court not consider the plaintiff's motion as untimely. (Dkt. Nos. 765, 766 and 768). The plaintiff opposes such request. (Dkt. No. 767). Based upon the plaintiff's explanation as articulated in its response, the defendants' requests are DENIED. Issued by Chief Judge Gary L. Sharpe on 7/11/2014. (jel, )
    pdf_icon 768 7/16/2014 Letter Motion from William J. Dreyer for David L. Smith requesting that the Court not consider Plaintiff's Motion for Summary Judgment submitted to Judge Sharpe . (Dreyer, William)
    pdf_icon 767 7/16/2014 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting that the Court consider the SEC's summary judgment motion submitted to Judge Sharpe . (McGrath, Kevin)
    pdf_icon 766 7/16/2014 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith requesting the Court not consider the Plaintiff's Motion for Summary Judgement due to the failure to adhere to the July 3, 2014 scheduling Order submitted to Judge Gary L. Sharpe . (Featherstonhaugh, James)
    pdf_icon 765 7/16/2014 Letter Motion from James D. Linnan requesting Court not consider the plaintiffs' motion for SJ for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting Court not consider plaintiffs' motion for summary judgment as it is untimely submitted to Judge Sharpe . (Linnan, James)
    pdf_icon 764 7/16/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 173 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 763 7/16/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 336 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 762 7/16/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 332-4 filed by Securities and Exchange Commission. (Attachments: # (1) 332-5)(McGrath, Kevin)
    pdf_icon 761 7/16/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 332-1 filed by Securities and Exchange Commission. (Attachments: # (1) 332-2, # (2) 332-3)(McGrath, Kevin)
    pdf_icon 760 7/16/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 88-1 filed by Securities and Exchange Commission. (Attachments: # (1) 88-2, # (2) 88-3, # (3) 88-4)(McGrath, Kevin)
    pdf_icon 759 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 85-1 filed by Securities and Exchange Commission. (Attachments: # (1) 85-2, # (2) 85-3, # (3) 85-4)(McGrath, Kevin)
    pdf_icon 758 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment 73-1 filed by Securities and Exchange Commission. (Attachments: # (1) 73-2, # (2) 73-3)(McGrath, Kevin)
    pdf_icon 757 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 71-1 filed by Securities and Exchange Commission. (Attachments: # (1) 71-2, # (2) 71-3)(McGrath, Kevin)
    pdf_icon 756 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 70-3 filed by Securities and Exchange Commission. (Attachments: # (1) 70-4)(McGrath, Kevin)
    pdf_icon 755 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 70-1 filed by Securities and Exchange Commission. (Attachments: # (1) 70-2)(McGrath, Kevin)
    pdf_icon 754 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 68-3 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 753 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 68-1 filed by Securities and Exchange Commission. (Attachments: # (1) 68-2)(McGrath, Kevin)
    pdf_icon 752 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 67-3 filed by Securities and Exchange Commission. (Attachments: # (1) 67-4)(McGrath, Kevin)
    pdf_icon 751 7/15/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 67-1 filed by Securities and Exchange Commission. (Attachments: # (1) 67-2)(McGrath, Kevin)
    pdf_icon 750 7/15/2014 ADDITIONAL EXHIBITS: for the # 711 Statement of Material Facts re 708 MOTION for Summary Judgment Ex. 352 filed by Securities and Exchange Commission. (McGrath, Kevin) Modified on 7/11/2014 to change the docket text to read Additional Exhibits not another Statement of Material Facts. (mc, ). (Entered: 07/08/2014)
    pdf_icon 749 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 270 filed by Securities and Exchange Commission. (Attachments: # (1) 288, # (2) 289, # (3) 322, # (4) 340)(McGrath, Kevin)
    pdf_icon 748 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 169 filed by Securities and Exchange Commission. (Attachments: # (1) 191, # (2) 195, # (3) 196, # (4) 198, # (5) 199)(McGrath, Kevin)
    pdf_icon 747 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment refiled to link with Dkt. 708 instead of Dkt. 704 filed by Securities and Exchange Commission. (Attachments: # (1) Appendix)(McGrath, Kevin)
    pdf_icon 746 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 282, # (2) 283, # (3) 284, # (4) 285, # (5) 286, # (6) 287, # (7) 290, # (8) 291, # (9) 292, # (10) 293, # (11) 294, # (12) 295, # (13) 296, # (14) 297, # (15) 298, # (16) 299)(Stoelting, David)
    pdf_icon 745 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 262, # (2) 263, # (3) 264, # (4) 265, # (5) 266, # (6) 267, # (7) 268, # (8) 269, # (9) 271, # (10) 272, # (11) 273, # (12) 274, # (13) 275, # (14) 276, # (15) 277, # (16) 278, # (17) 279, # (18) 280)(Stoelting, David)
    pdf_icon 744 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 64 filed by Securities and Exchange Commission. (Attachments: # (1) 65)(McGrath, Kevin)
    pdf_icon 743 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 53-1 filed by Securities and Exchange Commission. (Attachments: # (1) 53-2)(McGrath, Kevin)
    pdf_icon 742 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 242, # (2) 243, # (3) 244, # (4) 245, # (5) 246, # (6) 247, # (7) 248, # (8) 249, # (9) 250, # (10) 251, # (11) 252, # (12) 253, # (13) 254, # (14) 255, # (15) 256, # (16) 257, # (17) 258, # (18) 259, # (19) 260)(Stoelting, David)
    pdf_icon 741 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 353 filed by Securities and Exchange Commission. (Attachments: # (1) 354, # (2) 355, # (3) 356, # (4) 357, # (5) 359, # (6) 360, # (7) 369, # (8) 370, # (9) 371)(McGrath, Kevin)
    pdf_icon 740 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 344 filed by Securities and Exchange Commission. (Attachments: # (1) 345, # (2) 346, # (3) 347, # (4) 348, # (5) 349, # (6) 350, # (7) 351)(McGrath, Kevin)
    pdf_icon 739 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 227, # (2) 228, # (3) 229, # (4) 230, # (5) 231, # (6) 232, # (7) 233, # (8) 234, # (9) 235, # (10) 236, # (11) 237, # (12) 238, # (13) 239, # (14) 240)(Stoelting, David)
    pdf_icon 738 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 333 filed by Securities and Exchange Commission. (Attachments: # (1) 334, # (2) 335, # (3) 337, # (4) 338, # (5) 339, # (6) 341, # (7) 342, # (8) 343)(McGrath, Kevin)
    pdf_icon 737 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 213, # (2) 214, # (3) 215, # (4) 216, # (5) 217, # (6) 218, # (7) 219, # (8) 220, # (9) 221, # (10) 222, # (11) 223, # (12) 224, # (13) 225)(Stoelting, David)
    pdf_icon 736 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 324 filed by Securities and Exchange Commission. (Attachments: # (1) 325, # (2) 326, # (3) 327, # (4) 328, # (5) 329, # (6) 330, # (7) 331)(McGrath, Kevin)
    pdf_icon 735 7/14/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 314 filed by Securities and Exchange Commission. (Attachments: # (1) 315, # (2) 316, # (3) 317, # (4) 318, # (5) 319, # (6) 320, # (7) 321, # (8) 322)(McGrath, Kevin)
    pdf_icon 734 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 309 filed by Securities and Exchange Commission. (Attachments: # (1) 310, # (2) 311, # (3) 312, # (4) 313)(McGrath, Kevin)
    pdf_icon 733 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 300 filed by Securities and Exchange Commission. (Attachments: # (1) 301, # (2) 302, # (3) 303, # (4) 304, # (5) 305, # (6) 306, # (7) 307, # (8) 308)(McGrath, Kevin)
    pdf_icon 732 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) 187, # (2) 188, # (3) 189, # (4) 190, # (5) 192, # (6) 193, # (7) 194, # (8) 197, # (9) 200, # (10) 201, # (11) 202, # (12) 203, # (13) 204, # (14) 205, # (15) 206, # (16) 207, # (17) 208, # (18) 209, # (19) 210)(Stoelting, David)
    pdf_icon 731 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 142 filed by Securities and Exchange Commission. (Attachments: # (1) 143, # (2) 144, # (3) 145, # (4) 146, # (5) 147, # (6) 148, # (7) 149)(McGrath, Kevin)
    pdf_icon 730 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 140 filed by Securities and Exchange Commission. (Attachments: # (1) 141)(McGrath, Kevin)
    pdf_icon 729 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 171, # (2) Exhibit(s) 172, # (3) Exhibit(s) 174, # (4) Exhibit(s) 175, # (5) Exhibit(s) 176, # (6) Exhibit(s) 177, # (7) Exhibit(s) 178, # (8) Exhibit(s) 179, # (9) Exhibit(s) 180, # (10) Exhibit(s) 181, # (11) Exhibit(s) 182, # (12) Exhibit(s) 183, # (13) Exhibit(s) 184, # (14) Memorandum of Law 185)(Stoelting, David)
    pdf_icon 728 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 131 filed by Securities and Exchange Commission. (Attachments: # (1) 132, # (2) 133, # (3) 134, # (4) 135, # (5) 136, # (6) 137, # (7) 138, # (8) 139)(McGrath, Kevin)
    pdf_icon 727 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 121 filed by Securities and Exchange Commission. (Attachments: # (1) 122, # (2) 123, # (3) 124, # (4) 125, # (5) 126, # (6) 127, # (7) 128, # (8) 129, # (9) 130)(McGrath, Kevin)
    pdf_icon 726 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 162, # (2) Exhibit(s) 163, # (3) Exhibit(s) 164, # (4) Exhibit(s) 165, # (5) Exhibit(s) 166, # (6) Exhibit(s) 167, # (7) Exhibit(s) 168)(Stoelting, David)
    pdf_icon 725 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 107 filed by Securities and Exchange Commission. (Attachments: # (1) 108, # (2) 109, # (3) 110, # (4) 111, # (5) 112, # (6) 113, # (7) 114, # (8) 115, # (9) 116, # (10) 117, # (11) 118, # (12) 119, # (13) 120)(McGrath, Kevin)
    pdf_icon 724 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 89 filed by Securities and Exchange Commission. (Attachments: # (1) 90, # (2) 91, # (3) 92, # (4) 93, # (5) 94, # (6) 95, # (7) 96, # (8) 97, # (9) 98, # (10) 99, # (11) 100, # (12) 101, # (13) 102, # (14) 103, # (15) 104, # (16) 105, # (17) 106)(McGrath, Kevin)
    pdf_icon 723 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 87 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 722 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 86 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 721 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 81 filed by Securities and Exchange Commission. (Attachments: # (1) 82, # (2) 83, # (3) 84)(McGrath, Kevin)
    pdf_icon 720 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 75 filed by Securities and Exchange Commission. (Attachments: # (1) 76, # (2) 77, # (3) 78, # (4) 79, # (5) 80)(McGrath, Kevin)
    pdf_icon 719 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 151, # (2) Exhibit(s) 152, # (3) Exhibit(s) 153, # (4) Exhibit(s) 154, # (5) Exhibit(s) 155, # (6) Exhibit(s) 156, # (7) Exhibit(s) 157, # (8) Exhibit(s) 158, # (9) Exhibit(s) 159, # (10) Exhibit(s) 160)(Stoelting, David)
    pdf_icon 718 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 72 filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 74)(McGrath, Kevin)
    pdf_icon 717 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex 69 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 716 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 66 filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 715 7/11/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment Ex. 54 filed by Securities and Exchange Commission. (Attachments: # (1) 55, # (2) 56, # (3) 57, # (4) 58, # (5) 59, # (6) 60, # (7) 61, # (8) 62, # (9) 63)(McGrath, Kevin)
    pdf_icon 714 7/9/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 47, # (2) Exhibit(s) 48, # (3) Exhibit(s) 49, # (4) Exhibit(s) 50, # (5) Exhibit(s) 51, # (6) Exhibit(s) 52)(McGrath, Kevin)
    pdf_icon 713 7/9/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s) 27, # (2) Exhibit(s) 28, # (3) Exhibit(s) 29, # (4) Exhibit(s) 30, # (5) Exhibit(s) 31, # (6) Exhibit(s) 32, # (7) Exhibit(s) 33, # (8) Exhibit(s) 34, # (9) Exhibit(s) 35, # (10) Exhibit(s) 36, # (11) Exhibit(s) 37, # (12) Exhibit(s) 38, # (13) Exhibit(s) 39, # (14) Exhibit(s) 40, # (15) Exhibit(s) 41, # (16) Exhibit(s) 42, # (17) Exhibit(s) 43, # (18) Exhibit(s) 44, # (19) Exhibit(s) 45)(McGrath, Kevin)
    pdf_icon 712 7/9/2014 STATEMENT OF MATERIAL FACTS re [708] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit(s), # (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), # (19) Exhibit(s), # (20) Exhibit(s))(McGrath, Kevin)
    pdf_icon 711 7/9/2014 STATEMENT OF MATERIAL FACTS re [704] MOTION for Summary Judgment filed by Securities and Exchange Commission. (Attachments: # (1) Appendix)(McGrath, Kevin)
    pdf_icon 710 7/8/2014 NOTICE by Securities and Exchange Commission re [708] MOTION for Summary Judgment Notice to Pro Se Defendant Re Summary Judgment (McGrath, Kevin)
    pdf_icon 709 7/8/2014 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [708] MOTION for Summary Judgment (McGrath, Kevin)
    pdf_icon 708 7/8/2014 MOTION for Summary Judgment Motion Hearing set for 9/4/2014 09:00 AM in Albany before Chief Judge Gary L. Sharpe Response to Motion due by 8/18/2014 Reply to Response to Motion due by 8/25/2014. filed by Securities and Exchange Commission. (Attachments: # (1) Memorandum of Law) (McGrath, Kevin)
    pdf_icon 707 7/8/2014 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, Geoffrey R. Smith re [706] Certificate of Service, [704] MOTION for Summary Judgment , [705] Certificate of Service, AMENDED CERTIFICATE OF SERVICE (Linnan, James)
    pdf_icon 706 7/8/2014 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, Geoffrey R. Smith re [704] MOTION for Summary Judgment , [705] Certificate of Service, OVERNIGHT DELIVERY TO NANCY MCGINN (Linnan, James)
    pdf_icon 705 7/8/2014 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, Geoffrey R. Smith re [704] MOTION for Summary Judgment ELECTRONICALLY FILED (Linnan, James)
    pdf_icon 704 7/8/2014 MOTION for Summary Judgment Motion Hearing set for 9/4/2014 09:00 AM in Albany before Chief Judge Gary L. Sharpe Response to Motion due by 8/18/2014 Reply to Response to Motion due by 8/25/2014. 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, Geoffrey R. Smith. (Attachments: # (1) Affidavit, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Memorandum of Law, # (5) Statement of Material Facts) (Linnan, James)
    pdf_icon 703 7/8/2014 CERTIFICATE OF SERVICE by Lynn A. Smith re [701] Statement of Material Facts, [696] MOTION for Summary Judgment and Notification of Consequences of Failing to Respond to a Summary Judgement Motion to Relief Defendant/Defendant Nancy McGinn (Featherstonhaugh, James)
    pdf_icon 702 7/8/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [701] Statement of Material Facts (Featherstonhaugh, James)
    pdf_icon 701 7/8/2014 STATEMENT OF MATERIAL FACTS re [696] MOTION for Summary Judgment filed by Lynn A. Smith(Relief Defendant). (Featherstonhaugh, James)
      700 7/3/2014 Text Only Order - Based upon the oral request of the Smith Trust, all motions by any party are to be completely filed by 4:00 p.m. on July 8, 2014. No further extensions will be permitted. Issued by Chief Judge Gary L. Sharpe on 7/3/2014. (jel, )
      699 7/3/2014 TEXT ONLY ORDER - Based upon the oral request, the court will grant the plaintiff until Tuesday, July 8, 2014 as well to file a complete motion for summary judgment. Issued by Chief Judge Gary L. Sharpe on 7/3/2014. (jel, )
      698 7/3/2014 Text Only Order - On July 2, 2014, defendant Smith filed a motion for summary judgment. The clerk of the court issued notice directing defendant Smith to file a separate statement of material of facts, as well as serve a copy of the Notice of Consequences of failure to respond to a Motion for Summary Judgment upon pro se defendant Nancy McGinn as well as file a certificate of service regarding said service. The court will grant defendant Smith, based on an oral request, until Tuesday, July 8, 2014 to comply. The court reschedules the motion for summary judgment, per Judge Hummel's June 26, 2014 Text Order (Dkt. No. 695) as follows: Response papers are to be filed on or before August 4, 2014. Reply papers are to be filed on or before August 20, 2014. The motion hearing is scheduled for September 4, 2014 at 9:00 a.m. on SUBMIT only. No personal appearances are needed unless otherwise ordered by the court. Issued by Chief Judge Gary L. Sharpe on 7/3/2014. (jel, )
        7/3/2014 SCHEDULING NOTICE: Rescheduling the # [696] MOTION for Summary Judgment to a proper date before Chief Judge Sharpe. Motion Hearing set for 8/7/2014 on submit before Chief Judge Gary L. Sharpe, No appearance required. Response to Motion due by 7/21/2014, Reply to Response to Motion due by 7/28/2014. {Copy of the NEF for this event sent to pro se defendant by regular mail}(mc)
    pdf_icon 697 7/2/2014 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [696] MOTION for Summary Judgment (Featherstonhaugh, James)
    pdf_icon 696 7/2/2014 MOTION for Summary Judgment Motion Hearing set for 8/20/2014 09:00 AM in Albany before Chief Judge Gary L. Sharpe Response to Motion due by 8/4/2014 Reply to Response to Motion due by 8/11/2014. filed by Lynn A. Smith. (Attachments: # (1) Memorandum of Law, # (2) Affidavit, # (3) Exhibit(s), # (4) Exhibit(s), # (5) Exhibit(s), # (6) Exhibit(s), # (7) Exhibit(s) Affidavit of John D'Aleo, # (8) Exhibit(s), # (9) Exhibit(s), # (10) Exhibit(s), # (11) Exhibit(s)) (Featherstonhaugh, James)
        7/2/2014 TEXT NOTICE of Teleconference: The parties are directed to dial in at [REDACTED]. Telephone Conference set for 8/7/2014 9:00 AM in Albany before Magistrate Judge Christian F. Hummel. {copy of Notice of dial-In instructions for 8/7/14 conference and minutes dated 7/2/14 served by e-mail on non-cmecf counsel for DOJ Tax Division Peter Sklarew (Peter.A.Sklarew@usdoj.gov) and Karen Wozniak (Karen.E.Wozniak@usdoj.gov)(cjm, )
      695 6/26/2014 TEXT ORDER granting [Docket #694] Letter Request to Amend Order dated 1/22/14 which set a briefing schedule for dispositive motions. Dkt. 672. Motions to be filed by 7/3/2014. The date for filing a Response brief is extended until 8/4/14. Any Reply briefs are to be filed by 8/20/14. The page limit for the initial summary judgment brief is expanded from 25 to 40 pages. It is so Ordered. Authorized by Magistrate Judge Christian F. Hummel on 6/26/14. (cjm, )
    pdf_icon 694 6/25/2014 Letter Motion from Kevin McGrath for Securities and Exchange Commission requesting Two Day Extension of Briefing Schedule and additional 15 page brief limit submitted to Judge Hummel. (McGrath, Kevin)
    pdf_icon 693 5/19/2014 NOTICE by William J. Brown re [657] Order on Letter Request, [647] Order, Notice of Sale of Sacandaga Lake Property (Attachments: # (1) Certificate of Service)(Brown, William)
      692 5/19/2014 TEXT ORDER granting [Dkt #688] Letter Request of James Linnan on behalf of David L and Lynn A. Smith Irrevocable Trust and it's beneficiaries, Geoffrey R. Smith and Lauren Smith, an extension to file expert witness reports and disclosure by 5/26/14. Defendant's Reply due by 6/26/14. Authorized by Magistrate Judge Christian F. Hummel on 5/14/14. (cjm, )
    pdf_icon 691 5/13/2014 STATUS REPORT EXPERT OPINION OF DAVID L. EVANS DATED SEPTEMBER 2, 2010 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. (Linnan, James)
    pdf_icon 690 5/6/2014 STATUS REPORT Expert Report by John D'Aleo on behalf of by Lynn A. Smith. (Attachments: # (1) Appendix, # (2) Appendix)(Featherstonhaugh, James)
    pdf_icon 689 5/6/2014 NOTICE OF CHANGE OF ADDRESS: filed by Nancy McGinn. Effective Date 5/5/2014.Old Address: 26 Port Huron Drive, Schenectady, NY 12309. New Address: 426-8th Ave., Troy, NY 12182. (nmk)
    pdf_icon 688 5/6/2014 Letter Motion from attorney James D. Linnan requesting 20 day ext to file expert witness disclosure for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith requesting 20 day ext to file expert witness disclosure submitted to Judge Hummel . (Linnan, James
    pdf_icon 687 3/19/2014 STATUS REPORT Receiver's Report Regarding Sale of Smith Sacandaga Lake Property by William J Brown. (Attachments: # (1) Certificate of Service)(Brown, William)
        3/7/2014 Text Minute Entry for proceedings held before Magistrate Judge Christian F. Hummel: Telephonic Conference held on the record 3/6/2014. Appearances: William Brown, Esq., Peter Sklarew, Esq, Karen Wozniak, Esq., Kevin McGrath, Esq. IRS needs 90 days to review the tax returns. A further Telephone Conference is set for 7/2/2014 09:00 AM in Albany before Magistrate Judge Christian F. Hummel. (CRD: Cindy Mezoff/Court Reporter Theresa Casal) (cjm, )
      686 2/26/2014 TRANSCRIPT of Proceedings: Conference held on November 22, 2013 before Judge Christian F. Hummel, Court Reporter/Transcriber: Theresa J. Casal, Telephone number: 518.257.1897. 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 3/18/2014. Redacted Transcript Deadline set for 3/28/2014. Release of Transcript Restriction set for 5/27/2014. Notice of Intent to Redact due by 3/3/2014 (t jc, )
    pdf_icon 685 2/25/2014 TRANSCRIPT REQUEST by William J Brown for proceedings held on November 22, 2013 before Judge Christian F. Hummel.. (Brown, William)
    pdf_icon 684 2/22/2014 MEMORANDUM-DECISION AND ORDER denying [660] Motion to Amend Documentation. It is hereby ORDERED that the Trust's motion to amend its documentation to delete the provisions authorizing the Trust to enter into the private annuity agreement with David and Lynn Smith is DENIED. Signed by Magistrate Judge Christian F. Hummel on 2/21/2014. (dpk)
    pdf_icon 683 2/19/2014 Mail Returned as Undeliverable. Re: Service of the [671] Text Order dated 1/16/2014 and a blank change of address form which was sent to Nancy McGinn Address sent to 26 Port Huron Drive, Schenectady, NY 12309. (see)
    pdf_icon 682 2/18/2014 NOTICE by William J Brown Notice to Potential Purchasers for the Smith Sacandaga Lake Property Regarding Further Offers and Bidding Procedures (Brown, William)
    pdf_icon 681 2/10/2014 Mail Returned as Undeliverable regarding the # [672] Order sent to Nancy McGinn at the Address of 26 Port Huron Drive, Niskayuna, NY 12309. Envelope marked "Return to Sender - Not Deliverable as Addressed - Unable to Forward." (nmk)
    pdf_icon 680 2/7/2014 Mail Returned as Undeliverable regarding the # [671] Text Order sent to Nancy McGinn at the Address of 29 Port Huron Drive, Schenectady, NY 12309. Envelope marked "Return to Sender - Not Deliverable as Addressed - Unable to Forward." NOTE: The Street Number of the address is crossed off and a number 26 is handwritten on the envelope. Copy of document served upon Nancy McGinn at the corrected address of 26 Port Huron Drive, Schenectady, NY 12309. (nmk)
    pdf_icon 679 1/31/2014 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, Geoffrey R. Smith re [678] Reply to Response to Motion,, (Linnan, James)
    pdf_icon 678 1/31/2014 REPLY to Response to Motion re [660] MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract , [674] Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting File a reply to plaintiff's opposition papers submitted to Judge Hummel 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, Geoffrey R. Smith. (Linnan, James)
    pdf_icon 677 1/30/2014 Mail Returned as Undeliverable. re: [672] Order, Set Deadlinessent to Nancy McGinn Address sent to 29 Port Huron Drive, Schenectady, NY 12309. (Depurt Clerk re-mailed document to corrected address of 26 Port Huron Drive and requested a formal change of address from Nancy McGinn in order to correct the docket.) (tab)
      676 1/28/2014 TEXT ORDER granting [Dkt #674] Letter Request to file reply by 1/31/14. Signed by Magistrate Judge Christian F. Hummel on 1/28/14. (cjm, )
    pdf_icon 675 1/27/2014 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [673] Response in Opposition to Motion (McGrath, Kevin)
    pdf_icon 674 1/27/2014 Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting File a reply to plaintiff's opposition papers submitted to Judge Hummel . (Linnan, James)
    pdf_icon 673 1/27/2014 RESPONSE in Opposition re [660] MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 672 1/23/2014 ORDER that to the extent that expert reports are to be filed: (A.) Any SEC expert reports are due by March 17, 2014; (B.) The defts' expert reports are due by May 5, 2014; and (C.) Any rebuttal by the SEC shall be filed on or before June 6, 2014; The motion deadline has been extended as follows: Dispositive Motions shall be filed by 7/1/2014; Response papers shall be filed by July 31, 2014; and Reply papers shall be filed by August 18, 2014. Signed by Magistrate Judge Christian F. Hummel on 1/22/2014. (see)
      671 1/16/2014 TEXT ORDER granting [670] Letter Request. Plaintiff's time to respond to the amended Memorandum of Law recently filed by the David L. and Lynn A. Smith Irrevocable Trust (Dkt. No. [668]) is extended through Friday, January 24, 2014. Authorized by Magistrate Judge Christian F. Hummel on 1/16/14. (aaf, )
    pdf_icon 670 1/16/2014 REPLY to Response to Motion re [668] Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting to file AMENDED MEMORANDUM OF LAW submitted to Judge Sharpe filed by Securities and Exchange Commission. (McGrath, Kevin)
      669 1/16/2014 TEXT ORDER granting [668] Letter Request by the attorney for Geoffrey R. Smith and Lauren T. Smith individually and Geoffrey R. Smith as Trustee of the David L. and Lynn A. Smith Irrevocable Trust seeking leave to serve an amended memorandum of law. Authorized by Magistrate Judge Christian F. Hummel on 1/15/14. (aaf, )
    pdf_icon 668 1/15/2014 Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting to file AMENDED MEMORANDUM OF LAW submitted to Judge Sharpe . (Attachments: # (1) Memorandum of Law)(Linnan, James)
    pdf_icon 667 1/9/2014 MEMORANDUM-DECISION AND ORDER: ORDERED that, Lynn Smith's [610] motion for release of funds from the preliminary injunction to pay for living expenses and counsel fees is DENIED in all respects; Lauren and Geoffrey Smith' s [610] motion for release of assets from the preliminary injunction to unfreeze personal accounts and pay counsel fees is DENIED in all respects; David Smith's [620] motion for release of funds from the preliminary injunction to pay for criminal transcript copying costs is DENIED in all respects.Signed by Magistrate Judge Christian F. Hummel on 1/8/2014. (mgh)
    pdf_icon 666 1/9/2014 CERTIFICATE OF SERVICE by Lynn A. Smith re [662] Affidavit in Support of Motion, (Featherstonhaugh, James)
    pdf_icon 665 1/6/2014 CERTIFICATE OF SERVICE by William J Brown Notice of Telephonic Status Conference With Respect to Receiver's Motion for an Order (I) Approving a Procedure for Administration of Claims of Governmental Units, Etc. (Docket No. 658) (Brown, William)
    pdf_icon 664 1/6/2014 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, Geoffrey R. Smith re [662] Affidavit in Support of Motion, [660] MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract , [661] Certificate of Service, [663] Memorandum of Law, (Linnan, James)
    pdf_icon 663 1/6/2014 MEMORANDUM OF LAW re [660] Motion for Miscellaneous/Other Relief,, 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, Geoffrey R. Smith. (Linnan, James)
    pdf_icon 662 1/6/2014 AFFIDAVIT in Support re [660] MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract filed by Lynn A. Smith. (Attachments: # (1) Exhibit(s) Exhibit A, # (2) Exhibit(s) Exhibit B, # (3) Exhibit(s) Exhibit C, # (4) Exhibit(s) Exhibit D)(Featherstonhaugh, James)
    pdf_icon 661 1/6/2014 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, Geoffrey R. Smith re [660] MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract (Linnan, James)
    pdf_icon 660 1/6/2014 MOTION Order granting permission to amend Trust and renounce and cancel private annuity contract Motion Hearing set for 2/20/2014 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 2/3/2014 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, Geoffrey R. Smith. (Attachments: # (1) Declaration, # (2) Exhibit(s), # (3) Exhibit(s), # (4) Exhibit(s), # (5) Affidavit, # (6) Affidavit) Motions referred to Christian F. Hummel. (Linnan, James)
    pdf_icon 659 12/31/2013 CERTIFICATE OF SERVICE by William J Brown re [658] MOTION for an Order: (i) Approving a Procedure for Administration of Claims of Governmental Units; (ii) Establishing a Deadline for the Filing of Government Claims Against the MS Entities; (iii) Approving the Form and Manner of Notice Thereof; (iv) A (Brown, William)
    pdf_icon 658 12/31/2013 MOTION for an Order: (i) Approving a Procedure for Administration of Claims of Governmental Units; (ii) Establishing a Deadline for the Filing of Government Claims Against the MS Entities; (iii) Approving the Form and Manner of Notice Thereof; (iv) Authorizing the Applicability of Section 505 of Title 11 of the United States Code to this Case; (v) Establishing the Priority of Victim Investor Claims Over the IRS; and (vi) Declaring the Receiver Not Personally Liable for Tax Liabilities of the Receivership, the MS Entities, or of the Defendants on Account of Distribution of Assets in Accordance with this Courts Orders filed by William J Brown. (Attachments: # (1) Exhibit(s) A (Proposed Order), # (2) Exhibit(s) B, # (3) Exhibit(s) C, # (4) Exhibit(s) D, # (5) Exhibit(s) E) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 657 12/26/2013 ORDER IN AID OF ADMINISTRATION: of the # [647] Memorandum-Decision and Order, Granting the # [654] Letter Request. Signed by Magistrate Judge Christian F. Hummel on 12/21/2013. [Copy served upon pro se defendant via regular mail.] (nmk)
        12/23/2013 CLERK'S CORRECTION OF DOCKET ENTRY: The Clerk modified the docket text of the # [655] document in order to reflect that the filing is a Response in Opposition, not a Reply to a Response. Further, the Clerk modified the docket text of the # [656] document in order to reflect that the filing is a Certificate of Service, not a Response in Opposition. (nmk)
    pdf_icon 656 12/23/2013 CERTIFICATE OF SERVICE regarding the # 655 Response, 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, Geoffrey R. Smith. (Linnan, James) Modified on 12/23/2013. (nmk) (Entered: 12/23/2013)
    pdf_icon 655 12/23/2013 RESPONSE in Opposition re 654 Letter Motion from William J. Brown, Receiver for William J Brown requesting Order in Aid of Administration regarding Sacandaga Lake Property submitted to Judge Christian F. Hummel 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, Geoffrey R. Smith. (Linnan, James) Modified on 12/23/2013. (nmk) (Entered: 12/23/2013)
    pdf_icon 654 12/20/2013 Letter Motion from William J. Brown, Receiver for William J Brown requesting Order in Aid of Administration regarding Sacandaga Lake Property submitted to Judge Christian F. Hummel . (Brown, William)
    pdf_icon 653 12/13/2013 ORDER granting [635] Letter Motion of the Trustees of the David L. and Lynn A. Smith Irrevocable Trust. The Trustees shall file their motion by 1/3/2014; Counsel for defendant Lynn A. Smith shall file any papers regarding that motion by 1/3/2014; Plaintiff and the Receiver shall file any answering papers by 1/17/2014. Reply papers shall be filed by 1/24/214. A telephone status conference is set for 1/22/2014 at 9:30 AM. Signed by Magistrate Judge Christian F. Hummel on 12/13/2013. (lah)
    pdf_icon 652 12/11/2013 Mail Returned as Undeliverable. re: [649] Order on Motion, sent to Nancy McGinn Address sent to 29 Port Huron Drive, Schenectady, NY 12309 (mgh)
      651 12/6/2013 TEXT ORDER granting 645 Letter Request to conduct a telephonic Pre-Motion Filing Conference set for 12/13/2013 10:00 AM in Albany before Magistrate Judge Christian F. Hummel. Authorized by Magistrate Judge Christian F. Hummel on 12/6/13. (cjm, ) (Entered: 12/06/2013)
    pdf_icon 650 11/27/2013 REPLY to Response to Motion re [620] First MOTION for Release of Funds for Transcript Costs, [634] Letter Motion from David Stoelting for Securities and Exchange Commission requesting that the SEC's time to file a response to motion to pay transcript costs be extended to Friday, November 22, on consent submitted to Judge Hummel <, [627] Letter Motion from David Stoelting for Securities and Exchange Commission requesting permission to file SEC's response to motion to pay transcript costs on November 15, 2013 submitted to Judge Hummel filed by David L. Smith. (Dreyer, William)
      649 11/25/2013 ORDER approving [628] Motion of William J. Brown, as Receiver, for an Order Approving Purchase Agreement with Hunt Telecommunications, LLC with Respect to the Purchase of All LLC Interests of Benchmark Communications, LLC Free and Clear of Liens, Claims, and Encumbrances. Signed by Magistrate Judge Christian F. Hummel on 11/22/2013. (see)
    pdf_icon 648 11/25/2013 RESPONSE in Opposition re 620 First MOTION for Release of Funds for Transcript Costs filed by Securities and Exchange Commission. (McGrath, Kevin) (Entered: 11/22/2013)
    pdf_icon 647 11/25/2013 MEMORANDUM DECISION and ORDER re 604 Status Report filed by William J Brown. It is ORDERED that the Receiver may proceed with the sale of the Sacandaga Lake Property pursuant to the report filed with the court (Dkt. No. 604). Signed by Magistrate Judge Christian F. Hummel on 11/22/2013. (lah) (Entered: 11/22/2013)
    pdf_icon 646 11/25/2013 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, Geoffrey R. Smith re 635 Letter to Judge Hummell Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting Permission to execute Amendment to Trust submitted to Judge Hummell Proposed Amendment to, 644 Letter Motion from David Stoelting for Securities and Exchange Commission requesting responding to letter of Mr. Linnan at Dkt 635 submitted to Judge Hummel (Linnan, James) (Entered: 11/22/2013)
    pdf_icon 645 11/25/2013 Responding to Letter of Mr. Stoelting - dct @644 Letter Motion from James D. Linnan dated 11-22-13 for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting Pre-motion Conference or Briefing Schedule submitted to Judge Hummell . (Linnan, James) (Entered: 11/22/2013)
    pdf_icon 644 11/25/2013 Letter Motion from David Stoelting for Securities and Exchange Commission requesting responding to letter of Mr. Linnan at Dkt 635 submitted to Judge Hummel . (Stoelting, David) (Entered: 11/21/2013)
    pdf_icon 643 11/25/2013 Letter Motion from William J. Dreyer for David L. Smith requesting modification to motion to modify asset freeze to permit the release of funds to pay criminal trial transcript costs submitted to Judge Hummel . (Dreyer, William)
      642 11/20/2013 TEXT ORDER granting 627 Letter Request to extend deadline to respond to 620 First MOTION for Release of Funds for Transcript Costs : until 11/15/2013. Authorized by Magistrate Judge Christian F. Hummel on 11/20/13. (cjm, ) (Entered: 11/20/2013)
      641 11/20/2013 TEXT ORDER granting [634] Letter Request to extend deadline to respond to [620] First MOTION for Release of Funds for Transcript Costs : until 11/22/2013. Authorized by Magistrate Judge Christian F. Hummel on 11/20/13. (cjm, )
    pdf_icon 640 11/20/2013 Certificate of Service Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting Permission to Amend Trust submitted to Judge Hummel . (Linnan, James)
    pdf_icon 639 11/20/2013 REPLY to Response to Motion re [610] MOTION for Attorney Fees MOTION for Release of Funds Certificate of Service 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, Geoffrey R. Smith. (Linnan, James)
    pdf_icon 638 11/20/2013 REPLY to Response to Motion re [610] MOTION for Attorney Fees MOTION for Release of Funds 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, Geoffrey R. Smith. (Attachments: # (1) Declaration)(Linnan, James)
    pdf_icon 637 11/20/2013 CERTIFICATE OF SERVICE by Lynn A. Smith re [636] Reply to Response to Motion, (Featherstonhaugh, James)
    pdf_icon 636 11/20/2013 REPLY to Response to Motion re [610] MOTION for Attorney Fees MOTION for Release of Funds Reply Memorandum of Law in Support of Lynn Smith's Motion to Modify Asset Freeze to Provide Living Expenses and Counsel Fees filed by Lynn A. Smith. (Attachments: # (1) Exhibit(s), # (2) Exhibit(s), # (3) Exhibit(s))(Featherstonhaugh, James)
    pdf_icon 635 11/20/2013 Letter to Judge Hummell Letter Motion from James D. Linnan for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith, Geoffrey R. Smith requesting Permission to execute Amendment to Trust submitted to Judge Hummell Proposed Amendment to Trust. (Attachments: # (1) Exhibit(s))(Linnan, James)
    pdf_icon 634 11/19/2013 Letter Motion from David Stoelting for Securities and Exchange Commission requesting that the SEC's time to file a response to motion to pay transcript costs be extended to Friday, November 22, on consent submitted to Judge Hummel . (Stoelting, David)
    pdf_icon 633 11/13/2013 NOTICE by William J Brown re [628] MOTION Approval of Purchase Agreement with Hunt Telecommunications, LLC with Respect to the Purchase of All LLC Interests of Benchmark Communications, LLC Free and Clear of Liens, Claims and Encumbrances, [631] Order Notice to Potential Bidders for Benchmark Communications, LLC Interests Regarding Auction Details (Attachments: # (1) Certificate of Service)(Brown, William)
    pdf_icon 632 11/13/2013 LETTER BRIEF in Reply to The David L. and Lynn A. Smith Irrevocable Trust Report Submitted with Objections to the Receivers Report Regarding Trust Sacandaga Property (Docket No. 626) by William J Brown. (Brown, William)
    pdf_icon 631 11/13/2013 ORDER granting [629] Letter Request for a hearing re [628] Motion to be set on 11/22/13 at 10:30 AM in Albany before Magistrate Judge Hummel. Signed by Magistrate Judge Christian F. Hummel on 11/13/13. (sfp, )
    pdf_icon 630 11/13/2013 RESPONSE in Opposition re [610] MOTION for Attorney Fees MOTION for Release of Funds filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 629 11/12/2013 LETTER BRIEF Letter Requesting Hearing Date on Motion for Approval of Purchase Agreement with Hunt Telecommunications, LLC with Respect to the Purchase of All LLC Interests of Benchmark Communications, LLC Free and Clear of Liens, Claims and Encumbrances by William J Brown. (Brown, William)
    pdf_icon 628 11/12/2013 MOTION Approval of Purchase Agreement with Hunt Telecommunications, LLC with Respect to the Purchase of All LLC Interests of Benchmark Communications, LLC Free and Clear of Liens, Claims and Encumbrances filed by William J Brown. (Attachments: # (1) Exhibit(s) A & B, # (2) Proposed Order/Judgment, # (3) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 627 11/12/2013 Letter Motion from David Stoelting for Securities and Exchange Commission requesting permission to file SEC's response to motion to pay transcript costs on November 15, 2013 submitted to Judge Hummel . (Stoelting, David)
    pdf_icon 626 11/11/2013 STATUS REPORT Objection to Receiver's Report 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, Geoffrey R. Smith. (Attachments: # (1) Affidavit, # (2) Declaration)(Linnan, James)
      625 11/11/2013 This document is not available.
    pdf_icon 624 11/7/2013 STATUS REPORT Plaintiff's Response to the Receiver's Report dated October 10. 2013 by Securities and Exchange Commission. (Stoelting, David)
      623 10/31/2013 TEXT ORDER regarding plaintiff's letter motion [622] clarifying prior inconsistency between the Court's Order [589] and Text Notice dated 10/22/2013. With respect to [620] the First MOTION for Release of Funds, the deadlines are as articulated in the Court's Order [589], specifically: Response to Motion due by 11/12/2013 and Reply to Response to Motion due by 11/19/2013. Authorized by Magistrate Judge Christian F. Hummel on 10/31/2013. (aaf, )
    pdf_icon 622 10/30/2013 Letter Motion from SEC re briefing schedule re motion for attorney fees/release of funds for Securities and Exchange Commission requesting clarification on whether parties should follow dues dates for responses/replies set forth in the Order entered 9.3.13 (Dkt. 589) or in the Text Notice entered Oct 22, 2013 submitted to Judge Hummel . (Stoelting, David)
    pdf_icon 621 10/29/2013 CERTIFICATE OF SERVICE by David L. Smith of Motion for Transcript Costs (Dreyer, William)
    pdf_icon 620 10/29/2013 First MOTION for Release of Funds for Transcript Costs Motion Hearing set for 11/21/2013 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 11/4/2013 Reply to Response to Motion due by 11/12/2013. filed by David L. Smith. (Attachments: # (1) Declaration, # (2) Declaration, # (3) Memorandum of Law) Motions referred to Christian F. Hummel. (Dreyer, William)
      619 10/25/2013 TEXT ORDER granting [617] Letter Request extending time for David Smith's Motion to Pay Transcript Costs by November 1, 2013. Authorized by Magistrate Judge Christian F. Hummel on 10/25/13. (cjm, )
      618 10/25/2013 TEXT ORDER granting [616] Letter Request extending time for all parties to respond to the Receiver's Report until 11/7/13. Authorized by Magistrate Judge Christian F. Hummel on 10/25/13. (cjm, )
    pdf_icon 617 10/25/2013 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting one week extension submitted to Judge Hummel . (Dreyer, William)
    pdf_icon 616 10/23/2013 Letter Motion from James D. Linnan requesting extension for Geoffrey R. Smith, Lauren T. Smith, Geoffrey R. Smith requesting Adjournment of 14 days to responsd to Receiver's Report submitted to Judge Hummel . (Linnan, James)
    pdf_icon 615 10/23/2013 STIPULATION AND ORDER: it is SO ORDERED that, as consented to herein, James D. Linnan, Esq. be substituted as attorney of record for Lauren T. Smith in place of James Featherstonhaugh, Esq. (copy served via regular mail on non-CM/ECF recipients). Signed by Magistrate Judge Christian F. Hummel on 10/23/2013. (sg )
    pdf_icon 614 10/23/2013 STIPULATION AND ORDER: it is SO ORDERED that, as consented to herein, James D. Linnan, Esq. be substituted as attorney of record for Geoffrey R. Smith in place of James Featherstonhaugh, Esq. (copy served via regular mail on non-CM/ECF recipients). Signed by Magistrate Judge Christian F. Hummel on 10/23/2013. (sg )
    pdf_icon 613 10/22/2013 STIPULATION of Consent to Change Attorney by Lauren T. Smith submitted to Judge Christian F. Hummel. (Featherstonhaugh, James)
    pdf_icon 612 10/21/2013 STIPULATION of Consent to Change Attorney by Geoffrey R. Smith(Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04), Geoffrey R. Smith submitted to Judge Christian F. Hummel. (Featherstonhaugh, James)
    pdf_icon 611 10/18/2013 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, Lynn A. Smith, Geoffrey R. Smith re [610] MOTION for Attorney Fees MOTION for Release of Funds (Featherstonhaugh, James)
    pdf_icon 610 10/18/2013 MOTION for Attorney Fees , MOTION for Release of Funds 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, Geoffrey R. Smith. (Attachments: # (1) Affidavit, # (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) Memorandum of Law, # (13) Declaration) Motions referred to Christian F. Hummel. (Featherstonhaugh, James)
      609 10/18/2013 TEXT ORDER granting [608] Letter Request by David Smith for an extension to file motion by October 25, 2013. Authorized by Magistrate Judge Christian F. Hummel on 10/18/13. (cjm, )
    pdf_icon 608 10/17/2013 Letter Motion from William J. Dreyer, Esq. for David L. Smith requesting extension of motion deadline submitted to Judge Hummel . (Dreyer, William)
    pdf_icon 607 10/17/2013 NON-PARTY Letter to Receiver. (lah)
      606 10/11/2013 ***SEALED DOCUMENT Exhibits to Status Report filed by William J Brown [604]. Filed under seal and the file is held in the Clerk's Office. (lah)
    pdf_icon 605 10/11/2013 CERTIFICATE OF SERVICE by William J Brown re [604] Status Report (Brown, William)
    pdf_icon 604 10/10/2013 STATUS REPORT Receiver's Report Regarding Smith Trust Sacandaga Property as Directed by Memorandum-Decision and Order dated September 11, 2013 (Docket No. 592) by William J Brown. (Brown, William)
    pdf_icon 603 10/10/2013 ORDER granting [602] Letter Request that the confidential information as defined herein shall be filed under seal by the Receiver with copies to be provided to the Securities and Exchange Commission, Counsel for the Smith Trust, and the Trustee for the Smith Trust. Signed by Magistrate Judge Christian F. Hummel on 10/7/2013. (copies of this Order served via regular mail to non-CM/ECF recipients) (sg )
    pdf_icon 602 10/7/2013 Letter Motion from William J. Brown for William J Brown requesting Partial Sealing Order submitted to Judge Hon, Christian F. Hummel . (Brown, William)
    pdf_icon 601 10/4/2013 ORDER Approving [596] Fourth Interim Application of Chiampou Travis Besaw & Kershner LLP for approval of fees. 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 Christian F. Hummel on 10/2/2013. (copy of this order served via regular mail on non-CM/ECF recipients). (sg )
    pdf_icon 600 10/4/2013 ORDER approving [595] Amended Fifth Interim Application of Phillips Lytle LLP and the Receiver for allowance of compensation and reimbursement of expenses. 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 Christian F. Hummel on 10/2/2013. (copy of this order served via regular mail on non-CM/ECF recipients). (sg)
    pdf_icon 599 10/4/2013 ORDER approving [590] Motion of William J. Brown, as Receiver, for an order approving settlement with verifier Capital Holdings LLC with respect to the redemption of Guaranteed payment units and common units issued to TDM Cable Funding, LLC and McGinn Smith Funding LLC; and it is further ORDERED, that the Settlement (as defined in the Motion) and all the terms set forth therein including the exchange of the described releases are hereby approved in their entirety and all liens, claims and encumbrances, if any, shall attach to the proceeds of the Settlement. Signed by Magistrate Judge Christian F. Hummel on 10/2/2013. (copy of order served via regular mail on non-CM/ECF recipients) (sg )
        10/4/2013 Text Minute Entry (FTR recorded 9:00 am - 9:30 am) (CTRM #1) for proceedings held before Magistrate Judge Christian F. Hummel: Motion Hearing held on 10/2/2013 re [595] MOTION for Attorney Fees Fifth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J Brown, [590] MOTION for Order to Approve Settlement with Verifier Capital Holdings LLC with Respect to the Redemption of Guaranteed Payment Units and Common Units Issued to TDM Cable Funding, LLC and McGinn Smith Funding, LLC Free and Clear of Liens, Claims and En filed by William J Brown, [596] MOTION Compensation for Services Rendered Fourth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J Brown. This matter comes before the Court was a motion to approve a settlement which has been served on all parties unopposed. William Brown places proposed settlement and asset distribution plan on record. The Court accepts the plan and so orders docket 595-7, 596-6 and order approving motion of William Brown, as receiver for an order approving settlement, etc. to be docketed following today's proceedings. (CRD: Cynthia Weaver / CR: Theresa Casal). (ccw)
    pdf_icon 597 9/16/2013 NOTICE by William J Brown re [590] MOTION for Order to Approve Settlement with Verifier Capital Holdings LLC with Respect to the Redemption of Guaranteed Payment Units and Common Units Issued to TDM Cable Funding, LLC and McGinn Smith Funding, LLC Free and Clear of Liens, Claims and En Notice to Potential Bidders for Verifier Capital Holdings LLC Guaranteed Payment Units and Common Units Regarding Auction Details (Attachments: # (1) Certificate of Service)(Brown, William)
    pdf_icon 596 9/13/2013 MOTION Compensation for Services Rendered Fourth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 10/17/2013 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 9/30/2013 filed by William J Brown. (Attachments: # (1) Notice, # (2) Exhibit(s) A, # (3) Exhibit(s) B-1, # (4) Exhibit(s) B-2, # (5) Exhibit(s) B-3, # (6) Proposed Order/Judgment, # (7) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 595 9/13/2013 MOTION for Attorney Fees Fifth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 10/17/2013 09:30 AM in Albany before Magistrate Judge Christian F. Hummel Response to Motion due by 9/30/2013 Reply to Response to Motion due by 10/7/2013. filed by William J Brown. (Attachments: # (1) Notice, # (2) Exhibit(s) A, # (3) Exhibit(s) B-1, # (4) Exhibit(s) B-2, # (5) Exhibit(s) B-3, # (6) Exhibit(s) C, # (7) Proposed Order/Judgment, # (8) Certificate of Service) (Brown, William)
    pdf_icon 594 9/13/2013 CERTIFICATE OF SERVICE by William J Brown re [593] Order Setting Hearing on Motion, [590] MOTION for Order to Approve Settlement with Verifier Capital Holdings LLC with Respect to the Redemption of Guaranteed Payment Units and Common Units Issued to TDM Cable Funding, LLC and McGinn Smith Funding, LLC Free and Clear of Liens, Claims and En Supplemental and Amended (Brown, William)
    pdf_icon 593 9/13/2013 ORDER as to [591] Letter Request filed by William J. Brown requesting that the Court set a hearing on the [590] Motion: The Hearing on the referenced motion shall be heard at 9:00AM on October 2, 2013 before Magistrate Judge Christian F. Hummel and the marketing, auction and bidding procedures are approved. Signed by Magistrate Judge Christian F. Hummel on 9/11/2013. (copy of this order sent via regular mail to pro se/non-CM/ECF parties)(sg )
    pdf_icon 592 9/12/2013 MEMORANDUM-DECISION AND ORDER: for the reasons stated herein, it is hereby ORDERED that (1) the Trust's [568] motion to vacate the Court's previous order directing the Receiver to rent or sell the Sacandaga Lake property is DENIED in all respects; (2) the Smiths' [576] motion for release of assets from the preliminary injunction to pay tax liabilities is DENIED in all respects; (3) the Receiver is directed to file with the Court within thirty days of the entry of this order, a written report regarding whether selling or renting the property or a combination of both will maximize its value. The parties are directed to file any written objections within fourteen days of the filing of the Receiver's report. Signed by Magistrate Judge Christian F. Hummel on 9/11/2013. (copy of this Order sent via regular mail to pro se parties/non-CM/ECF recipients) (sg )
    pdf_icon 591 9/11/2013 LETTER BRIEF Letter requesting hearing date on Motion to Approve Settlement with Verifier Capital Holdings LLC with Respect to the Redemption of Guaranteed Payment Units and Common Units Issued to TDM Cable Funding, LLC and McGinn Smith Funding, LLC Free and Clear of Liens, Claims and Encumbrances by William J Brown. (Brown, William)
    pdf_icon 590 9/11/2013 MOTION for Order to Approve Settlement with Verifier Capital Holdings LLC with Respect to the Redemption of Guaranteed Payment Units and Common Units Issued to TDM Cable Funding, LLC and McGinn Smith Funding, LLC Free and Clear of Liens, Claims and Encumbrances filed by William J Brown. (Attachments: # (1) Exhibit(s) A-C, # (2) Proposed Order/Judgment, # (3) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 589 9/5/2013 ORDER : it is hereby ORDERED, that 1. the STAY which was entered on the dispositive motions and trial pending completion of the criminal matters (Dkt. 474) is hereby LIFTED; 2. Counsel for defendants and relief defendants seeking permission to file motions as set forth herein is GRANTED. Defendants shall file their motions by October 18, 2013; plaintiff Securities and Exchange Commission's (SEC) response shall be filed on or before November 12, 2013; defendants shall file any replies by November 19, 2013; 3. Plaintiff's right to seek a briefing schedule for filing a dispositive motion is reserved until the SEC is informed of when it can expect a copy of the transcript from the criminal proceedings. Signed by Magistrate Judge Christian F. Hummel on 9/3/2013. (sg )
        8/29/2013 TEXT ORDER granting [587] Letter Request, Telephonic Pre-Motion Filing Conference set for 9/3/2013 02:00 PM in Albany before Magistrate Judge Christian F. Hummel. Authorized by Magistrate Judge Christian F. Hummel on 8/29/13. (cjm, )
    pdf_icon 587 8/28/2013 Letter Motion from James D. Featherstonhaugh for Geoffrey R. Smith, Lauren T. Smith, Lynn A. Smith requesting Telephone conference submitted to Judge Christian F. Hummel . (Featherstonhaugh, James)
    pdf_icon 586 8/12/2013 LETTER BRIEF by David L. Smith.
    pdf_icon 585 7/26/2013 LETTER BRIEF by David L. Smith, Lynn A. Smith. (Dreyer, William)
    pdf_icon 584 7/25/2013 LETTER BRIEF by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 583 7/9/2013 REPLY to Response to Motion re [576] First MOTION for Release of Funds to pay taxes due and owing filed by David L. Smith, Lynn A. Smith(Relief Defendant). (Dreyer, William)
    pdf_icon 582 7/3/2013 CERTIFICATE OF SERVICE by William J Brown re [580] Response to Motion, (Brown, William)
    pdf_icon 581 7/3/2013 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [579] Memorandum of Law (Stoelting, David)
    pdf_icon 580 7/3/2013 RESPONSE to Motion re [576] First MOTION for Release of Funds to pay taxes due and owing Receiver's (I) Reply to Smiths' Joint Motion for Modification of the Preliminary Injunction Order to Release Assets to Pay Criminal Tax Obligations and (II) Joinder in SEC's Memorandum of Law in Opposition filed by William J Brown. (Brown, William)
    pdf_icon 579 7/3/2013 MEMORANDUM OF LAW re [576] Motion for Release of Funds, filed by Securities and Exchange Commission. (Stoelting, David)
      578 6/26/2013 ***SEALED DOCUMENT Exhibit A to [576] Motion. Maintained in the Albany Office of the Clerk. (dpk)
        6/18/2013 CORRECTED SCHEDULING NOTICE as to [576] First MOTION for Release of Funds to pay taxes due and owing. Response to Motion due by 7/2/2013 and Reply to Response to Motion due by 7/9/2013, pursuant to the directive by the Court contained in the 6/17/2013 Text Minute Entry. (sg )
        6/18/2013 SCHEDULING NOTICE as to [576] First MOTION for Release of Funds to pay taxes due and owing filed by David Smith and Lynn Smith : Motion Hearing set for 7/18/2013 at 9:30 AM in Albany before Magistrate Judge Christian F. Hummel. Response to Motion due by 7/1/2013. Reply to Response to Motion due by 7/8/2013. MOTION ON SUBMIT, NO APPEARANCES. (sg )
    pdf_icon 577 6/18/2013 CERTIFICATE OF SERVICE by David L. Smith, Lynn A. Smith re [576] First MOTION for Release of Funds to pay taxes due and owing (Dreyer, William)
    pdf_icon 576 6/18/2013 First MOTION for Release of Funds to pay taxes due and owing Motion Hearing set for 7/18/2013 09:00 AM in Albany before Chief Judge Gary L. Sharpe Response to Motion due by 7/1/2013 Reply to Response to Motion due by 7/8/2013. filed by David L. Smith, Lynn A. Smith. (Attachments: # (1) Declaration, # (2) Memorandum of Law) Motions referred to Christian F. Hummel. (Dreyer, William)
        6/18/2013 Text Minute Entry (FTR recorded 2:00 pm - 2:20 pm) for proceedings held before Magistrate Judge Christian F. Hummel: Telephone Conference held on 6/17/2013. Appearances: Kevin McGrath and David Stoelting for the SEC, Elizabeth Coombe for the USAO, William Dreyer and Warren Owens for David Smith, James Featherstonhaugh for Lynn Smith, William Brown for the receiver. An issue had arisen regarding taxes. A motion schedule is set for the Smith defendants to file motion regarding the payment of outstanding taxes. Deadlines as as follows: The Smith Defendant's shall serve their motion papers by 6/17/13; An response is due by 7/2/13 and any reply due by 7/9/13. A written Order will follow. (cjm, )
    pdf_icon 575 6/12/2013 LETTER BRIEF by Geoffrey R. Smith. (Featherstonhaugh, James)
    pdf_icon 574 6/11/2013 ORDER re: 6/7/2013 Conference: as directed during the conference and for reasons stated at that time which are incorporated herein by reference, it is hereby ORDERED that: 1) the Smith defendants are granted permission to make a motion regarding the payment of the outstanding taxes; 2) the Smith defendants shall serve their motion papers by 6/17/2013; 3) answering papers shall be served by 7/2/2013; and 4) Reply papers shall be served by 7/9/2013. Signed by Magistrate Judge Christian F. Hummel on 6/11/2013. (sg, )
    pdf_icon 573 6/5/2013 AFFIDAVIT re [571] LETTER BRIEF, Certificate of Service by William J Brown. (Brown, William)
    pdf_icon 572 6/5/2013 MEMORANDUM OF LAW re [568] Motion to Vacate filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Service)(Stoelting, David)
    pdf_icon 571 6/4/2013 LETTER BRIEF Declaration of William J. Brown, as Receiver, in Connection with the Motion of Defendant/Intervenor, Geoffrey R. Smith, Trustee of the David L. Smith and Lynn A. Smith Irrevocable Trust U/A 8/04/04 Motion to Vacate (Docket No. 568) by William J Brown. (Brown, William)
    pdf_icon 570 5/31/2013 Letter from non-party Kathryn De Leonardis dated 5/30/2013 addressed to Magistrate Judge Christina F. Hummel. (sg )
    pdf_icon 569 5/22/2013 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [568] MOTION to Vacate (Featherstonhaugh, James)
    pdf_icon 568 5/22/2013 MOTION to Vacate filed by Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law, # (2) Affidavit) (Featherstonhaugh, James)
    pdf_icon 567 5/14/2013 CORRECTED MANDATE of USCA, issued 5/14/13, as to 279 , 380 , 381 , 383 and 400 Appeals. (cbm )
    pdf_icon 566 5/14/2013 MANDATE of USCA, issued 5/13/13, as to 379 , 380 , 381 , 383 and 400 Appeals, dismissing appeals of Dunn and Wojeski, affirming the sanctions against Lynn Smith, and remanding for further proceedings in accordance w/attached slip opinion. (cbm )
    pdf_icon 565 5/1/2013 ORDER: as directed during the 4/30/2013 Conference held with counsel for all parties, it is hereby ORDERED, that 1. the attorneys for Lynn Smith and the Trust shall file by 5/21/2013 their motion for relief based upon the decision of the Second Circuit in S.E.C. v. Smith, 710 F.3d 87 (2d Cir.2013); 2. all papers in opposition to that motion shall be filed by 6/4/2013; and 3. reply papers shall be filed by 6/11/2013. (Compliance Deadline Set: motion to be filed by 5/21/2013) Signed by Magistrate Judge Christian F. Hummel on 4/30/2013. (sg )
    pdf_icon 564 4/26/2013 ORDER SETTING SETTLEMENT CONFERENCE. All parties and their lead counsel are hereby ORDERED TO APPEAR BEFORE THE UNDERSIGNED at the James T. Foley U.S. Courthouse, 445 Broadway, Albany NY at 1:00PM on April 30, 2013. Signed by Magistrate Judge Christian F. Hummel on 4/26/2013. (sg )
        4/15/2013 TEXT Minute Entry (Court Stenographer/FTR Recorded) for proceedings held before Magistrate Judge Christian F. Hummel: On-the-Record Telephone Conference held on 4/15/2013 re: [563] Letter Request. The Court sets a settlement conference for April 30, 2013 at 1:00PM in Albany New York, and states that if a settlement cannot be reached at that time, the Court will issue an expedited briefing schedule re: all issues indicated in the 3/18/2013 Decision of the Second Circuit Court of Appeals. A Scheduling Notice will be issued. Appearances: James Featherstonhaugh, Esq., William Dreyer, Esq. for defendants; via telephone: Kevin McGrath, Esq. and David Stoelting, Esq. for SEC; William J. Brown, Esq., James Knox, Esq. for defendants; AUSA Elizabeth Coombe, AUSA Richard Belliss, AUSA Wayne Myers for the Government. (Court Reporter Bonnie Buckley) (sg )
    pdf_icon 563 3/25/2013 Letter Motion from Plaintiff Securities and Exchange Commission for Securities and Exchange Commission requesting Telephonic Status Conference submitted to Judge Hummel . (McGrath, Kevin)
    pdf_icon 562 2/20/2013 MEMORANDUM-DECISION AND ORDER re [561] Amended Fifth Application for Attorney's Fees and Costs filed by David L. Smith. ORDERED that Dreyer Boyajian LLP's Fifth Amended Application for compensation for legal services rendered between 1/1/2013 and 1/31/2013 in the amount of $92,137.50 is approved. ORDERED that the application by Dreyer Boyajian LLP for reimbursement of costs expended between 1/1/2013 and 1/31/2013 in the amount of $3,502.09 is approved. ORDERED that Dreyer Boyajian LLP may make further applications as deemed appropriate. ORDERED that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 2/19/2013. (dpk)
      561 2/20/2013 SEALED Amended Fifth Application for Attorney's Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directives contained in the Memorandum-Decision and Orders of Magistrate Judge David R. Homer dated 4/4/2012, 6/20/2012 and 1/8/2013). Submitted to Magistrate Judge Christian F. Hummel. (dpk)
      560 2/20/2013 SEALED Fifth Application for Attorney's Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directives contained in the Memorandum-Decision and Orders of Magistrate Judge David R. Homer dated 4/4/2012, 6/20/2012 and 1/8/2013). Submitted to Magistrate Judge Christian F. Hummel. (dpk)
    pdf_icon 559 2/1/2013 Non-Party Letter from Peter J. Hurtt. (dpk)
        1/25/2013 Set Deadlines/Hearings: Ex-Parte In Chambers Conference set for 1/29/2013 09:30 AM regarding sealed application for attorneys fees in Albany before Magistrate Judge Christian F. Hummel. (cjm, )
    pdf_icon 558 1/22/2013 Non-Party Letter from Mary Ann O'Brien. (dpk)
    pdf_icon 557 1/8/2013 MEMORANDUM-DECISION AND ORDER re [556] Sealed Document filed by David L. Smith. It is hereby ORDERED, that Dreyer Boyajian LLP's Fourth Application for compensation for legal services rendered between 12/1/2012 and 12/31/2012 in the amount of $66,717.50 is approved. ORDERED that the application by Dreyer Boyajian LLP for reimbursement of costs expended between 12/1/2012 and 12/31/2012 in the amount of $900.89 is approved. ORDERED that Dreyer Boyajin LLP may make further applications as deemed appropriate. ORDERED that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 1/8/2013. (dpk)
      556 1/8/2013 SEALED Fourth Application for Attorney's Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directives contained in the Memorandum-Decision and Orders of Magistrate Judge David R. Homer dated 4/4/2012 and 6/20/2012). Submitted to Magistrate Judge Christian F. Hummel. (dpk)
    pdf_icon 555 12/13/2012 MEMORANDUM-DECISION AND ORDER re: [554] Sealed Third Application for Attorney's Fees and Costs filed by David L. Smith. For the reasons stated herein, it is hereby: 1. ORDERED, that Dreyer Boyajian LLP's Third Application for compensation for legal services rendered between November 1, 2012 and November 30, 2012 in the amount of $58,947.50 is approved; and 2. ORDERED, that the application by Dreyer Boyajian LLP for reimbursement of costs expended between November 1, 2012 and November 30, 2012 in the amount of $6,474.13 is approved; and 3. ORDERED, that Dreyer Boyajian LLP may make further applications as deemed appropriate; and 4. ORDERED, that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 12/12/2012. (sg )
      554 12/13/2012 SEALED Third Application for Attorney's Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directives contained in the Memorandum-Decision and Orders of Magistrate Judge David R. Homer dated 4/4/2012 and June 20, 2012). Submitted to Magistrate Judge Christian F. Hummel. (sg )
    pdf_icon 553 11/29/2012 Non-Party Letter from Fern and Shirley Reindollar. (mgh)
      552 11/29/2012 TRANSCRIPT of Proceedings: In-Court Conference held on November 16, 2012 before Judge Christian F. Hummel, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. 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 12/12/2012. Redacted Transcript Deadline set for 12/24/2012. Release of Transcript Restriction set for 2/19/2013. Notice of Intent to Redact due by 11/26/2012 ( tjc, )
    pdf_icon 551 11/16/2012 ORDER approving [544] MOTION OF WILLIAM J. BROWN, AS RECEIVER, FOR AN ORDER APPROVING SETTLEMENT WITH SETON HEALTH SYSTEM, INC. WITH RESPECT TO A CERTAIN GROUND LEASE (SETON HALL ASSOCIATES). ORDERED, that the Receiver's termination and surrender of the Ground Lease and the transfer of the improvements and buildings on the Premises including all equipment and building maintenance equipment owned bySeton Hall Associates shall be transferred to Seton Health System, Inc. or its nominee without recourse, representation or warranty all in accordance with the Agreement. Signed by Magistrate Judge Christian F. Hummel on 11/16/2012. (mgh)
    pdf_icon 550 11/14/2012 MEMORANDUM-DECISION AND ORDER re: [549] Sealed Second Application for Attorney's Fees and Costs filed by David L. Smith. For the reasons stated herein, it is hereby: 1. ORDERED, that Dreyer Boyajian LLP's Second Application for compensation for legal services rendered between September 25, 2012 and October 31, 2012 in the amount of $42,254.65 is approved; and 2. ORDERED, that the application by Dreyer Boyajian LLP for reimbursement of costs expended between September 25, 2012 and October 31, 2012 in the amount of $888.39 is approved; and 3. ORDERED, that the application by Dreyer Boyajian LLP for an advance disbursement of $35,000.00 for expert witness retainer fees is approved; and 4. ORDERED, that Dreyer Boyajian LLP may make further applications as deemed appropriate; and 5. ORDERED, that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 11/14/2012. (sg )
      549 11/14/2012 [TEXT ONLY] SEALED Second Application for Attorney's Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directive contained in the Memorandum-Decision and Order of Magistrate Judge David R. Homer dated 4/4/2012.). (sg )
    pdf_icon 548 11/14/2012 MEMORANDUM-DECISION AND ORDER re [547] Sealed First Application for Attorney's Fees and Costs filed by Timothy M. McGinn. For the reasons stated herein, it is hereby: 1. ORDERED, that E. Stewart Jones PLLC's First Application for partial compensation for legal services rendered between August 3, 2012 and November 6, 2012 in the amount of $28,601.93 is approved; and 2. ORDERED, that the application of E. Stewart Jones PLLC for reimbursement of costs in the amount of $12,313.73 is approved; and 3. ORDERED, that in the event additional income is generated by the liquidation of Mr. McGinn's assets, E. Stewart Jones PLLC may make further applications as deemed appropriate. Signed by Magistrate Judge Christian F. Hummel on 11/13/2012. (sg )
      547 11/14/2012 TEXT ONLY - SEALED First Application for Attorney's Fees and Costs filed by Timothy M. McGinn. (Filed under Seal pursuant to the directive contained in the [478] Memorandum-Decision and Order of Magistrate Judge David R. Homer dated 4/4/2012. (sg )
    pdf_icon 546 11/6/2012 ORDER approving [545] Letter Brief Requesting a Hearing Date: [544] MOTION Order Approving Settlement With Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates). Motion Hearing is set for 11/16/2012 11:00 AM in Albany before Magistrate Judge Christian F. Hummel Signed by Magistrate Judge Christian F. Hummel on 11/5/2012. (mgh)
    pdf_icon 545 11/2/2012 LETTER BRIEF Letter Requesting Hearing Date on Motion to Approve Settlement with Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates) by William J Brown. (Brown, William)
    pdf_icon 544 11/2/2012 MOTION Order Approving Settlement With Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates) filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 543 10/31/2012 Non-Party Letter from Peter C. and Gayle L. Cote. (dpk)
    pdf_icon 542 10/23/2012 Non-Party Letter from Pierre A. Conti, MD. (dpk)
    pdf_icon 541 10/17/2012 ORDER (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof. Signed by Magistrate Judge Christian F. Hummel on 10/17/2012. (dpk)
      540 10/17/2012 TRANSCRIPT of Proceedings: Motion held on October 17, 2012 before Judge Christian F. Hummel, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. 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. A fter that date it may be obtained through PACER. Redaction Request due 11/7/2012. Redacted Transcript Deadline set for 11/19/2012. Release of Transcript Restriction set for 1/15/2013. Notice of Intent to Redact due by 10/22/2012 (tjc, )
    pdf_icon 539 10/16/2012 MEMORANDUM-DECISION and ORDER granting [538] Sealed Application. Signed by Magistrate Judge Christian F. Hummel on 10/15/2012. (dpk)
      538 10/16/2012 [NO DOCUMENT ATTACHED] SEALED APPLICATION filed by David L. Smith. Sealed pursuant to Judge David R. Homer's [501] Memorandum-Decision and Order filed on 6/20/2012. (dpk)
    pdf_icon 537 10/16/2012 Non-Party Letter from Michael Favish (with Receiver Response)
    pdf_icon 536 10/16/2012 Non-Party Letter from S. Scott Paist, III, MD. (dpk)
    pdf_icon 535 10/16/2012 Non-Party Letter from Richard L. Bove, MD. (dpk)
    pdf_icon 534 10/5/2012 ORDER re [532] LETTER BRIEF filed by William J Brown. The hearing on the [531] Motion shall be heard at 10:00 AM on 10/17/2012 at the United States Courthouse, 445 Broadway, Albany, NY 12207. Signed by Magistrate Judge Christian F. Hummel on 10/4/2012. (dpk)
    pdf_icon 533 10/4/2012 Non-Party Letter from Tom & Ann Romaniak. (dpk)
    pdf_icon 532 10/2/2012 LETTER BRIEF Letter Requesting Hearing Date on Motion for Order (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof by William J Brown. (Brown, William)
    pdf_icon 531 10/2/2012 MOTION Order (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A - Proposed Form of Order, # (2) Exhibit(s) B - Proposed Form of Equity Schedules, # (3) Exhibit(s) C - Proposed Form of Notice, # (4) Exhibit(s) D - Proposed Form of Claim Form, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
    pdf_icon 530 10/2/2012 Non-Party Letter from Robert and Ilene Nemeth. (dpk)
    pdf_icon 529 10/2/2012 Non-Party Letter from Stanley C. and Betty Rosenzweig. (dpk)
    pdf_icon 528 10/2/2012 Non-Party Letter from Pierre and Beverly Conti. (dpk)
    pdf_icon 527 9/27/2012 Non-Party Letter from Dorothy Puglisi dated 9/22/2012. (lah)
    pdf_icon 526 9/26/2012 Non-Party Letter from Peter C. and Gayle L. Cote. (dpk)
    pdf_icon 525 9/18/2012 Non-Party Letter to Magistrate Judge Hummel dated 9/14/2012. (lah)
    pdf_icon 524 9/11/2012 Non-Party Letter from Monica and Peter Check Jr. (dpk)
    pdf_icon 523 9/5/2012 ORDER REASSIGNING CASE. Case reassigned to Magistrate Judge Christian F. Hummel for all further proceedings. Magistrate Judge David R. Homer no longer assigned to case. Signed by Chief Judge Gary L. Sharpe on 9/4/2012. (dpk)
    pdf_icon 522 8/24/2012 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) The motion [505] of the SEC and Citizens Bank to modify the preliminary injunction to permit the sale of Smiths' Saratoga Springs residence is DENIED except that the SEC and Citizens Bank are granted leave to demand and receive from the Smiths proof of continued insurance coverage on the property; and 2) The Smiths' [508] cross-motion to modify the preliminary injunction to permit the release of assets sufficient to pay their outstanding mortgage and tax obligations on their Saratoga Springs residence is DENIED. Signed by Magistrate Judge David R. Homer on 8/24/2012. (mab)
    pdf_icon 521 8/22/2012 ORDER granting [504] Fourth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses. IT IS ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between January 1,2012 and April 30, 2012 ("Fourth Interim Period") in the amount of $139,412.37 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle during the Fourth Interim Period in the amount of $3,824.20 is allowed as an interim disbursement payment. 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 8/22/2012. (mab)
    pdf_icon 520 8/22/2012 ORDER granting [503] Third Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses. IT IS ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between January 1, 2011 and December 31, 2011 ("Third Interim Period") in the amount of $298,991.90 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle during the Third Interim Period in the amount of$14,157.31 is allowed as an interim disbursement payment. 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 8/22/2012. (mab)
    pdf_icon 519 8/22/2012 ORDER granting [502] Third Interim Application of Chiampou Travis Besaw & Kershnerr LLP for Approval of Fees. IT IS ORDERED that the Application is approved such that compensation for services rendered between September 25, 2011 and June 2, 2012 in the amount of $57,339.23 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant ot this Order. Signed by Magistrate Judge David R. Homer on 8/22/2012. (mab)
    pdf_icon 518 8/16/2012 CERTIFICATE OF SERVICE by Lynn A. Smith re [517] Reply to Response to Motion, (Featherstonhaugh, James)
    pdf_icon 517 8/16/2012 REPLY to Response to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by Lynn A. Smith. (Featherstonhaugh, James)
    pdf_icon 516 8/15/2012 Non-Party Letter from Marcia Kenyon. (dpk)
        8/7/2012 TEXT ORDER granting [515] Letter Request from Lynn Smith's counsel. Counsel may file a reply to the SEC's opposition to Smith's cross-motion [508] and a sur-reply to the SEC's motion modify the asset freeze [505]. Both responses shall be limited to five pages. Signed by Magistrate Judge David R. Homer on 8/7/2012. (lah, )
    pdf_icon 515 8/6/2012 Letter Motion from Scott J. Ely for Lynn A. Smith requesting permission to file a reply to the SEC's opposition to the pending cross motion and to file a sur-reply submitted to Judge David R. Homer . (Featherstonhaugh, James)
    pdf_icon 514 8/6/2012 RESPONSE to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale Response of Receiver to Cross-Motion of David and Lynn Smith (Docket No. 508) filed by William J Brown. (Attachments: # (1) Affidavit)(Brown, William)
    pdf_icon 513 8/6/2012 REPLY to Response to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by Securities and Exchange Commission. (Mehraban, Lara)
    pdf_icon 512 8/6/2012 RESPONSE in Opposition re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by RBS Citizen, N.A.. (Kornstein, Michael)
    pdf_icon 511 8/1/2012 CERTIFICATE OF SERVICE by David L. Smith of Accounting by Defendant Smith (Dreyer, William)
    pdf_icon 510 8/1/2012 NOTICE by David L. Smith of Accounting (Dreyer, William)
    pdf_icon 509 7/31/2012 CERTIFICATE OF SERVICE by David L. Smith, Lynn A. Smith re [508] Response in Opposition to Motion,, and Cross-Motion (Featherstonhaugh, James)
    pdf_icon 508 7/30/2012 RESPONSE in Opposition re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale and Cross-Motion requesting the release of certain monies to satisfy the existing Note and Mortgage against said premises filed by David L. Smith, Lynn A. Smith. (Attachments: # (1) Proposed Order/Judgment, # (2) Memorandum of Law, # (3) Declaration of David L. Smith, # (4) Exhibit A, # (5) Exhibit B, # (6) Exhibit C, # (7) Exhibit D, # (8) Exhibit E, # (9) Exhibit F, # (10) Exhibit G)(Featherstonhaugh, James)
    pdf_icon 507 7/20/2012 Non-Party Letter from Vincent R. Gentile. (mab)
    pdf_icon 506 7/12/2012 NOTICE of Appearance by Michael A. Kornstein on behalf of RBS Citizen, N.A. (Kornstein, Michael)
    pdf_icon 505 7/12/2012 MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 filed by Securities and Exchange Commission. (Attachments: # (1) Proposed Order/Judgment, # (2) Memorandum of Law, # (3) Declaration of Michael A. Kornstein, # (4) Exhibit(s) A, # (5) Exhibit(s) B, # (6) Exhibit(s) C) Motions referred to David R. Homer. (Stoelting, David)
    pdf_icon 504 7/5/2012 MOTION for Attorney Fees Fourth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 Reply to Response to Motion due by 8/6/2012. filed by William J Brown. (Attachments: # (1) Fourth Interim Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
    pdf_icon 503 7/5/2012 MOTION for Attorney Fees Third Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 Reply to Response to Motion due by 8/6/2012. filed by William J Brown. (Attachments: # (1) Third Interim Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B-1, # (4) Exhibit(s) B-2, # (5) Exhibit(s) B-3, # (6) Exhibit(s) C, # (7) Proposed Order/Judgment, # (8) Certificate of Service) (Brown, William)
    pdf_icon 502 7/5/2012 MOTION Compensation for Services Performed Third Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 filed by William J Brown. (Attachments: # (1) Application for Compensation, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
        6/27/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Status Conference was held on-the-record on 6/26/2012 with E. Stuart Jones, William Dreyer, and AUSAs Bellis and Coombe. The conference was held regarding defense counsels' "limited appearances" for purposes of the arraignment only. Dreyer and Jones confirmed that they now appear for the defendants in the criminal case for all purposes without limitation. (Court Reporter Theresa Casal)(Cindy Mezoff, FTR CRD) (lah, )
    pdf_icon 501 6/20/2012 MEMORANDUM-DECISION and ORDER regarding [484] Motion for Release of Funds. IT IS HEREBY ORDERED that the motion for the release of the assets of the life insurance trust from the preliminary injunction to pay attorney's fees and costs in the parallel criminal action is GRANTED under the conditions set forth in this Order. Signed by Magistrate Judge David R. Homer on 6/20/2012. (mab)
    pdf_icon 500 6/20/2012 ORDER regarding [495] Motion for Order of Sale Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver's Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests 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 sale and assignment is expressly subject to the Buyer assuming all obligations as set forth in this Order. IT IS FURTHER ORDERED that the Excluded Assets shall remain property of this estate, including, without limitation, all claims of Seller, Receiver, MS Entities, Company and Receivables other than claims against customers or cruise lines of Sellers after the Closing. Signed by Magistrate Judge David R. Homer on 6/20/2012. (mab)
    pdf_icon 499 6/13/2012 ORDER. IT IS HEREBY ORDERED that in accordance with NDNY LR 7.1 (b)(2), the SEC and Citizens Bank are granted leave to file motions to modify the asset freeze order to permit the sale of the Smiths' Saratoga Springs residence, and any such motions shall be filed on or before 7/11/2012. IT IS FURTHER ORDERED that Defendants David Smith and Lynn Smith are granted leave to file whatever cross-motions in response to these motions they deem appropriate. Signed by Magistrate Judge David R. Homer on 6/13/2012. (mab)
        6/13/2012 Minute Entry for proceedings held re [494] before Magistrate Judge David R. Homer. A telephone pre-motion conference was held on 6/11/2012 with counsel for all parties including counsel for Citizens Bank. Leave is granted for SEC and Citizens Bank to file a motion to modify the asset freeze to permit the sale of the Smiths' Saratoga Springs residence. Defendant Smiths are granted leave to file cross-motions. A written order will be entered. (Court Reporter Theresa Casal) (lah, )
    pdf_icon 498 6/11/2012 CERTIFICATE OF SERVICE by William J Brown re [495] MOTION for Order of Sale Motion for Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sa (Brown, William)
    pdf_icon 497 6/8/2012 ORDER GRANTING [496] Letter Request for hearing on the Motion for approval of of sale. Motion Hearing re: [495] Motion set for 6/20/2012 at 11:00 AM in Albany before Magistrate Judge David R. Homer. Signed by Magistrate Judge David R. Homer on 6/8/2012. (sg)
    pdf_icon 496 6/8/2012 LETTER BRIEF Letter requesting hearing date on Motion to Approve (i) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver's Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests (Docket No. 495) by William J Brown. (Brown, William)
    pdf_icon 495 6/8/2012 MOTION for Order of Sale Motion for Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver's Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B) (Brown, William)
    pdf_icon 494 6/8/2012 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Pre-Motion Conference submitted to Judge Homer . (Stoelting, David)
      493 5/30/2012 TRANSCRIPT of Proceedings: Motion Hearing held on April 4, 2012, before Judge David R. Homer, Court Reporter: Lisa L. Tennyson, Telephone number: (518) 257-1823. 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 6/20/2012. Redacted Transcript Deadline set for 7/2/2012. Release of Transcript Restriction set for 8/28/2012. Notice of Intent to Redact due by 6/4/2012 (lt, )
      492 5/30/2012 TRANSCRIPT of Proceedings: Conference held on March 19, 2012 before Magistrate Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. 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 6/13/2012. Redacted Transcript Deadline set for 6/25/2012. Release of Transcript Restriction set for 8/21/2012. Notice of Intent to Redact due by 5/29/2012 (tjc, )
        5/23/2012 TRANSCRIPT of Proceedings: Conference held on March 19, 2012 before Magistrate Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. 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 6/13/2012. Redacted Transcript Deadline set for 6/25/2012. Release of Transcript Restriction set for 8/21/2012. Notice of Intent to Redact due by 5/29/2012 (tjc, )
    pdf_icon 491 5/23/2012 LETTER BRIEF re SIPC issue by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 490 5/16/2012 CERTIFICATE OF SERVICE by David L. Smith re [489] Reply to Response to Motion (Dreyer, William)
    pdf_icon 489 5/16/2012 REPLY to Response to Motion re [484] Second MOTION for Release of Funds filed by David L. Smith. (Dreyer, William)
    pdf_icon 488 5/10/2012 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [487] Response in Opposition to Motion (Stoelting, David)
    pdf_icon 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)
      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, )
    pdf_icon 485 4/27/2012 CERTIFICATE OF SERVICE by David L. Smith re [484] Second MOTION for Release of Funds (Dreyer, William)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 482 4/17/2012 TRANSCRIPT REQUEST by William J Brown for proceedings held on April 4, 2012 before Judge David R. Homer.. (Brown, William)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
        4/4/2012 TRANSCRIPT REQUEST by William J Brown for motion hearing held on 3/27/2012 before Judge David R. Homer. (bjb, )
    pdf_icon 477 4/4/2012 Non-Party Letter from Patricia E. and William L. Seigford. (mab)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 472 3/22/2012 Non-Party Letter from Stanley C. Rosenzweig MD. (mab)
    pdf_icon 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)
        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, )
    pdf_icon 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)
        3/16/2012 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, )
    pdf_icon 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)
        3/13/2012 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 464 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [440] First MOTION for Release of Funds (Dreyer, William)
    pdf_icon 463 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [456] Reply to Response to Motion (Dreyer, William)
    pdf_icon 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)
    pdf_icon 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.)
    pdf_icon 460 3/3/2012 Non-Party Letter from Lesley Levy. (mab)
    pdf_icon 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)
        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)
    pdf_icon 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)
    pdf_icon 457 3/2/2012 Non-Party Letter from Barbara and George Forgea. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 452 2/28/2012 Non-Party Letter from Nancy and David Hargrave. (mab)
    pdf_icon 451 2/28/2012 Non-Party Letter from Judith and Jerry Lapham. (mab)
    pdf_icon 450 2/28/2012 Non-Party Letter from Joel M. Spiro M.D. (mab)
    pdf_icon 449 2/27/2012 Non-Party Letter from Robert L. Gilbert. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 446 2/23/2012 Non-Party Letter from Diane S. and Vincent R. Gentile. (mab)
    pdf_icon 445 2/21/2012 Non-Party Letter from Lynn A. Bove. (mab)
    pdf_icon 444 2/21/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
    pdf_icon 443 2/21/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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.)
    pdf_icon 438 2/7/2012 Non-Party Letter from Lesley Levy. (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, )
    pdf_icon 437 2/3/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
    pdf_icon 436 1/26/2012 Non-Party Letter from Michael Favish. (mab)
    pdf_icon 435 1/26/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 432 1/11/2012 Non-Party Letter from Vincent R. and Diana S. Gentile. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 428 12/22/2011 STATUS REPORT by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 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)
    pdf_icon 426 11/22/2011 NOTICE by William J Brown re [337] Order, [276] Order,,, Notice of Closing of Sale of McGinn Residence (Brown, William)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 423 11/15/2011 Non-Party Letters from Monica and Peter Check. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
      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)
      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)
    pdf_icon 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)
    pdf_icon 413 10/28/2011 Non-Party Letter from Lesley Levy. (mab)
        10/28/2011 USCA Case Number 11-4238 for [400] Notice of Appeal filed by Lauren T. Smith, Geoffrey R. Smith. (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 is 11-3851 (Member) for [381] Appeal filed by Jill A. Dunn. (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 11-3843 (LEAD) for [379] Appeal filed by Lynn A. Smith. (cbm )
        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, )
      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)
      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)
      410 10/26/2011 ***SEALED DOCUMENT - Letter from Receiver William J. Brown. (mab)
    pdf_icon 409 10/25/2011 Non-Party Letter from Elinor and Russell Laustrup. (mab)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
        10/14/2011 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, )
    pdf_icon 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)
    pdf_icon 404 10/12/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [400] Notice of Appeal. (mab)
    pdf_icon 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)
    pdf_icon 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)
      401 10/12/2011 ***SEALED DOCUMENT Status Report re [396] Order. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
        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, )
        10/5/2011 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, )
    pdf_icon 395 10/4/2011 Non-Party Letter from Timothy J. O'Connor, Esq. (mab)
    pdf_icon 394 10/4/2011 LETTER BRIEF Statement of Receiver With Respect to Partial Satisfaction of Disgorgement Obligations by William J Brown. (Brown, William)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 391 9/30/2011 RESPONSE TO LETTER BRIEF filed by Securities and Exchange Commission as to [389] Letter regarding SIPA coverage. (Stoelting, David)
    pdf_icon 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)
    pdf_icon 389 9/27/2011 Non-Party Letter from Vincent R. Gentile. (mab)
    pdf_icon 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)
    pdf_icon 387 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [383] Notice of Appeal. (mab)
    pdf_icon 386 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [381] Notice of Appeal. (mab)
    pdf_icon 385 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [380] Notice of Appeal. (mab)
    pdf_icon 384 9/21/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [379] Notice of Appeal. (mab)
    pdf_icon 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)
    pdf_icon 382 9/15/2011 CERTIFICATE OF SERVICE by Jill A. Dunn of Notice of Appeal (Zelermyer, Benjamin)
    pdf_icon 381 9/15/2011 NOTICE OF APPEAL by Jill A. Dunn. Filing fee $ 455, receipt number 0206-1970271. (Zelermyer, Benjamin)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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 )
        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, )
        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, )
    pdf_icon 377 9/13/2011 CERTIFICATE OF SERVICE by Geoffrey R. Smith re [376] MOTION to Stay (Featherstonhaugh, James)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 373 9/1/2011 MEMORANDUM OF LAW re [338] Motion to Compel,, In Opposition filed by Lynn A. Smith(Relief Defendant). (Featherstonhaugh, James)
    pdf_icon 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)
        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, )
    pdf_icon 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)
        8/22/2011 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, )
    pdf_icon 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)
      369 8/17/2011 ***SEALED DOCUMENT Non-Party Letter - contains confidential financial information. (mab)
    pdf_icon 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)
        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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
    pdf_icon 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, )
        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, )
    pdf_icon 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)
    pdf_icon 362 8/10/2011 RESPONSE TO ORDER TO SHOW CAUSE filed by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 361 8/4/2011 LETTER BRIEF Regarding Florida Property by William J Brown. (Brown, William)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 350 7/30/2011 ANSWER to [334] Amended Complaint by Timothy M. McGinn.(Jones, E.)
    pdf_icon 349 7/30/2011 CERTIFICATE OF SERVICE by David L. Smith of Answer to Second Amended Complaint (Hill, Benjamin)
    pdf_icon 348 7/30/2011 ANSWER to [334] Amended Complaint by David L. Smith.(Hill, Benjamin)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 345 7/29/2011 CERTIFICATE OF SERVICE by Lynn A. Smith(Relief Defendant) re [344] Answer to Amended Complaint (Featherstonhaugh, James)
    pdf_icon 344 7/29/2011 ANSWER to [334] Amended Complaint by Lynn A. Smith.(Featherstonhaugh, James)
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
    pdf_icon 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)
        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, )
    pdf_icon 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)
    pdf_icon 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)
        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, )
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 334 6/8/2011 AMENDED COMPLAINT Second Amended Complaint against All Defendants filed by Securities and Exchange Commission.(Stoelting, David)
    pdf_icon 333 5/31/2011 Non-Party Letter from Monica and Peter Check. (mab)
    pdf_icon 332 5/24/2011 CERTIFICATE OF SERVICE by Lynn A. Smith re [329] Answer to Amended Complaint (Featherstonhaugh, James)
    pdf_icon 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)
    pdf_icon 330 5/24/2011 ANSWER to [100] Amended Complaint, by Geoffrey R. Smith.(Featherstonhaugh, James)
    pdf_icon 329 5/24/2011 ANSWER to [100] Amended Complaint, by Lynn A. Smith.(Featherstonhaugh, James)
        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, )
    pdf_icon 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)
    pdf_icon 327 5/16/2011 Non-Party Letter from Dorothy H. Puglisi. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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 )
        5/9/2011 Set Deadlines/Hearings: Notice of Compliance Deadline 6/8/2011. Case Review Deadline 6/9/2011. (jel, )
    pdf_icon 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, )
    pdf_icon 320 5/4/2011 NOTICE of Appearance by Joshua M. Newville on behalf of Securities and Exchange Commission (Newville, Joshua)
    pdf_icon 319 5/3/2011 NOTICE of Appearance by Haimavathi V. Marlier on behalf of Securities and Exchange Commission (Marlier, Haimavathi)
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 306 3/22/2011 AFFIDAVIT in Opposition re [261] MOTION for Sanctions filed by David M. Wojeski. (Knopf, Fred)
    pdf_icon 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)
    pdf_icon 304 3/22/2011 NOTICE of Appearance by Scott J. Ely on behalf of James D. Featherstonhaugh (Ely, Scott)
    pdf_icon 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)
    pdf_icon 302 3/22/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [300] Memorandum of Law, [301] Affidavit in Opposition to Motion,,,,,,,, (Zelermyer, Benjamin)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 297 3/8/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [296] Notice of Appeal. (ban)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 289 2/23/2011 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [279] Notice of Appeal. (mab)
        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, )
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
        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, )
        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 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 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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 280 2/11/2011 STIPULATION for Consent Order Granting Substitution of Parties by Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
    pdf_icon 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)
        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, )
    pdf_icon 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 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, )
    pdf_icon 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)
    pdf_icon 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)
        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, )
        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, )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 273 2/9/2011 ORDER approving [270] Stipulation of Substitution of Counsel. Signed by Magistrate Judge David R. Homer on 2/8/11. (mab)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 270 2/8/2011 STIPULATION for Substitution of Counsel by Lauren T. Smith, Geoffrey R. Smith submitted to Judge David R. Homer. (Featherstonhaugh, James)
    pdf_icon 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)
        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, )
        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, )
    pdf_icon 268 2/7/2011 NOTICE of Appearance by Michael J. Murphy on behalf of Thomas J Urbelis (Murphy, Michael)
    pdf_icon 267 2/4/2011 Letter Motion from Benjamin Zelermyer for Jill A. Dunn requesting Conference submitted to Judge Sharpe. (Zelermyer, Benjamin)
    pdf_icon 266 2/2/2011 CERTIFICATE OF SERVICE by Jill A. Dunn re [265] Notice of Appearance (Zelermyer, Benjamin)
    pdf_icon 265 2/2/2011 NOTICE of Appearance by Benjamin Zelermyer on behalf of Jill A. Dunn (Zelermyer, Benjamin)
    pdf_icon 264 2/1/2011 NOTICE of Appearance by Fred N. Knopf on behalf of David M. Wojeski, David M. Wojeski (Knopf, Fred)
    pdf_icon 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)
    pdf_icon 262 2/1/2011 MOTION for Sanctions Declaration of Service filed by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 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)
        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, )
    pdf_icon 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.)
    pdf_icon 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)
    pdf_icon 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)
        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)
    pdf_icon 257 1/18/2011 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [256] Reply to Response to Motion (Lagios, James)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 248 1/10/2011 RESPONSE in Opposition re [229] MOTION for Attorney Fees Memorandum of Law filed by Securities and Exchange Commission. (Mehraban, Lara)
    pdf_icon 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)
      246 1/5/2011 ***SEALED DOCUMENT - maintained in Clerk's Office. (mab)
    pdf_icon 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)
        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)
    pdf_icon 244 12/29/2010 LETTER BRIEF by CIT Lending Services Corporation. (Hill, Benjamin)
    pdf_icon 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)
        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)
    pdf_icon 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)
    pdf_icon 241 12/27/2010 NOTICE of Appearance by William J. Dreyer on behalf of David L. Smith (Dreyer, William)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 238 12/23/2010 NOTICE by Timothy M. McGinn Notice of Substitution of Counsel (Russo, Martin)
    pdf_icon 237 12/23/2010 NOTICE by David L. Smith Notice of Substitution of Counsel (Russo, Martin)
        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)
    pdf_icon 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 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 232 12/21/2010 LETTER BRIEF regarding Niskayuna property by Securities and Exchange Commission. (Stoelting, David)
    pdf_icon 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.
    pdf_icon 230 12/17/2010 CERTIFICATE OF SERVICE by Iseman, Cunningham, Riester & Hyde, LLP re [229] MOTION for Attorney Fees (Iseman, Robert)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 226 12/16/2010 ANSWER to [100] Amended Complaint, by David L. Smith.(Russo, Martin)
    pdf_icon 225 12/16/2010 ANSWER to [100] Amended Complaint, by Timothy M. McGinn.(Russo, Martin)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)
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    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)
    pdf_icon 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.
    pdf_icon 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.
        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.
        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.
    pdf_icon 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.
    pdf_icon 215 12/7/2010 Non-Party Letter from James Prior
    pdf_icon 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)
    pdf_icon 213 12/7/2010 REPLY to Response to Motion re [192] MOTION to Quash Subpoenas filed by FINRA and the FINRA Employees
        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.
      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.
    pdf_icon 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.
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 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
        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.
    pdf_icon 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)
    pdf_icon 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)
        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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 203 11/29/2010 CERTIFICATE OF SERVICE by William J Brown re [201] MOTION for Attorney Fees (Brown, William)
    pdf_icon 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.
    pdf_icon 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)
    pdf_icon 200 11/23/2010 Non-Party Letter from Aquatic Development Group, Inc.
    pdf_icon 199 11/23/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on 11.16.2010 before Judge Homer
        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)
    pdf_icon 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.
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 195 11/22/2010 Non-Party Letter from Mary Ann O'Brien.
        11/22/2010 The SEC is to file motion for sanctions by 1/31/2011 pursuant to the Memorandum-Decision and Order
    pdf_icon 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.
        11/19/2010 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 )
      193 11/18/2010 ***SEALED DOCUMENT re [189] maintained in the Clerk's Office.
        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.
        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.
    pdf_icon 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
    pdf_icon 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).
        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.
        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 ).
    pdf_icon 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.
    pdf_icon 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:
    pdf_icon 1 Memorandum of Law pdf_icon 18 Exhibit(s) pdf_icon 35 Exhibit(s)
    pdf_icon 2 Declaration pdf_icon 19 Exhibit(s) pdf_icon 36 Exhibit(s)
    pdf_icon 3 Exhibit(s) pdf_icon 20 Exhibit(s) pdf_icon 37 Exhibit(s)
    pdf_icon 4 Exhibit(s) pdf_icon 21 Exhibit(s) pdf_icon 38 Exhibit(s)
    pdf_icon 5 Exhibit(s) pdf_icon 22 Exhibit(s) pdf_icon 39 Exhibit(s)
    pdf_icon 6 Exhibit(s) pdf_icon 23 Exhibit(s) pdf_icon 40 Exhibit(s)
    pdf_icon 7 Exhibit(s) pdf_icon 24 Exhibit(s) pdf_icon 41 Exhibit(s)
    pdf_icon 8 Exhibit(s) pdf_icon 25 Exhibit(s) pdf_icon 42 Exhibit(s)
    pdf_icon 9 Exhibit(s) pdf_icon 26 Exhibit(s) pdf_icon 43 Exhibit(s)
    pdf_icon 10 Exhibit(s) pdf_icon 27 Exhibit(s) pdf_icon 44 Exhibit(s)
    pdf_icon 11 Exhibit(s) pdf_icon 28 Exhibit(s) pdf_icon 45 Exhibit(s)
    pdf_icon 12 Exhibit(s) pdf_icon 29 Exhibit(s) pdf_icon 46 Exhibit(s)
    pdf_icon 13 Exhibit(s) pdf_icon 30 Exhibit(s) pdf_icon 47 Exhibit(s)
    pdf_icon 14 Exhibit(s) pdf_icon 31 Exhibit(s) pdf_icon 48 Exhibit(s)
    pdf_icon 15 Exhibit(s) pdf_icon 32 Exhibit(s) pdf_icon 49 Exhibit(s)
    pdf_icon 16 Exhibit(s) pdf_icon 33 Exhibit(s) pdf_icon 50 Exhibit(s)
    pdf_icon 17 Exhibit(s) pdf_icon 34 Exhibit(s)      
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 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.
        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.
    pdf_icon 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)
    pdf_icon 184 11/13/2010 Exhibit List in connection with Evidentiary Hearing by Securities and Exchange Commission
    pdf_icon 183 11/13/2010 NOTICE by Securities and Exchange Commission of Appearance of Jack Kaufman
    pdf_icon 182 11/13/2010 NOTICE of Appearance by Lara S. Mehraban on behalf of Securities and Exchange Commission
    pdf_icon 181 11/13/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [179] Exhibit List, [180] Witness List
      180 11/13/2010  
    pdf_icon 179 11/13/2010 Exhibit List by David M. Wojeski
    pdf_icon 178 11/12/2010 Non-Party Letter from Thomas P. Wagner
    pdf_icon 177 11/12/2010 STIPULATION re [150] Order, by Securities and Exchange Commission submitted to Judge Homer
    pdf_icon 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.
    pdf_icon 175 11/9/2010 CERTIFICATE OF SERVICE by David M. Wojeski re [174] Notice of Appearance
    pdf_icon 174 11/9/2010 NOTICE of Appearance by Robert H. Iseman on behalf of David M. Wojeski
    pdf_icon 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
        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].
    pdf_icon 172 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
    pdf_icon 171 11/8/2010 MOTION to Quash filed by Piaker & Lyons CPAs. (Attachments: # (1) Memorandum of Law) Motions referred to David R. Homer.
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 1 Affidavit Benjamin W. Hill, Esq.
    pdf_icon 2 Exhibit(s) A through F
    pdf_icon 3 Memorandum of Law) Motions referred to David R. Homer
        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.
        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
    pdf_icon 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)
    pdf_icon 1 Memorandum of Law pdf_icon 8 Exhibit(s) Stoelting Ex. 1 pdf_icon 15 Exhibit(s) Stoelting Ex. 8
    pdf_icon 2 Declaration of Paul Zindell pdf_icon 9 Exhibit(s) Stoelting Ex. 2 pdf_icon 16 Exhibit(s) Stoelting Ex. 9
    pdf_icon 3 Exhibit(s) Zindell Ex. 1 pdf_icon 10 Exhibit(s) Stoelting Ex. 3 pdf_icon 17 Exhibit(s) Stoelting Ex. 10
    pdf_icon 4 Exhibit(s) Zindell Ex. 2 pdf_icon 11 Exhibit(s) Stoelting Ex. 4 pdf_icon 18 Exhibit(s) Stoelting Ex. 11
    pdf_icon 5 Exhibit(s) Zindell Ex. 3 pdf_icon 12 Exhibit(s) Stoelting Ex. 5 pdf_icon 19 Exhibit(s) Stoelting Ex. 12
    pdf_icon 6 Exhibit(s) Zindell Ex. 4 pdf_icon 13 Exhibit(s) Stoelting Ex. 6 pdf_icon 20 Exhibit(s) Stoelting Ex. 13
    pdf_icon 7 Declaration of David Stoelting pdf_icon 14 Exhibit(s) Stoelting Ex. 7 pdf_icon 21 Exhibit(s) Stoelting Ex. 14
        11/2/2010 USCA Case Number is 10-3576-cv for [128] Appeal filed by Lynn A. Smith.
    pdf_icon 167 11/1/2010 Non-Party Letter from Robert L. Gilbert.
    pdf_icon 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.
    pdf_icon 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)
      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
    pdf_icon 163 10/29/2010 Non-Party Letter from Stanley C. Rosenzweig
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 159 10/25/2010 LETTER BRIEF by Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski, David M. Wojeski.
    pdf_icon 158 10/22/2010 LETTER BRIEF by Securities and Exchange Commission. (Stoelting, David)
        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.
    pdf_icon 157 10/21/2010 Non-Party Letter from Dorothy H. Puglisi.
    pdf_icon 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.
    pdf_icon 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.
        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.
    pdf_icon 154 10/19/2010 Non-Party Letter from Carol Benderson-Lighter.
    pdf_icon 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.
    pdf_icon 152 10/12/2010 Non-Party Letter from John and Eleanor Delaney
    pdf_icon 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.
        10/6/2010 Set Hearing: Evidentiary Hearing set for 11/4/2010 10:00 AM in Albany before Magistrate Judge David R. Homer.
    pdf_icon 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
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 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))
        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.
        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 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
    pdf_icon 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
    pdf_icon 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.
    pdf_icon 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)
      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
    pdf_icon 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.
    pdf_icon 139 9/8/2010 ANSWER to Amended Complaint by Nancy McGinn.
    pdf_icon 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.
    pdf_icon 137 9/8/2010 TRANSCRIPT REQUEST by Securities and Exchange Commission for proceedings held on August 16, 2010 before Judge Homer.. (Stoelting, David)
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 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)
    pdf_icon 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.
    pdf_icon 132 9/8/2010 Letter Motion from James D. Featherstonhaugh for Lynn A. Smith submitted to Judge David R. Homer.
    pdf_icon 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.
    pdf_icon 130 9/2/2010 ELECTRONIC NOTICE AND CERTIFICATION sent to US Court of Appeals re [128] Notice of Appeal.
    pdf_icon 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
    pdf_icon 128 9/1/2010 NOTICE OF APPEAL by Lynn A. Smith. Filing fee $ 455, receipt number 0206-1654925
    pdf_icon 127 8/31/2010 WAIVER OF SERVICE Returned Executed by William J Brown.
    pdf_icon 126 8/27/2010 CIVIL CASE MANAGEMENT PLAN by Securities and Exchange Commission
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 123 8/26/2010 SUMMONS Returned Executed by Securities and Exchange Commission. Nancy McGinn served on 8/14/2010, answer due 9/7/2010.
    pdf_icon 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.
    pdf_icon 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.
        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.
    pdf_icon 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
    pdf_icon 119 8/25/2010 NOTICE of Appearance by Jill A. Dunn on behalf of Lauren T. Smith, Geoffrey R. Smith, David M. Wojeski
    pdf_icon 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)
        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)
    pdf_icon 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)
        8/16/2010 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)
    pdf_icon 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 )
    pdf_icon 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 )
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 112 8/16/2010 NOTICE of Appearance by Alison B. Cohen on behalf of Timothy M. McGinn, David L. Smith (Cohen, Alison)
    pdf_icon 111 8/16/2010 NOTICE of Appearance by Martin P. Russo on behalf of Timothy M. McGinn, David L. Smith (Russo, Martin)
    pdf_icon 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, )
        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, )
    pdf_icon 109 8/16/2010 NOTICE of Appearance by Craig H. Norman on behalf of The Shoma Group (Norman, Craig)
    pdf_icon 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)
        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)
        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)
    pdf_icon 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)
    pdf_icon 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)
    pdf_icon 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)

    pdf_icon

    1

    Summons Issued as to Geoffrey Smith
    pdf_icon

    2

    Summons Issued as to Lauren Smith
    pdf_icon

    3

    Summons Issued as to David Wojeski
        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)
        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)
    pdf_icon 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)
    pdf_icon 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:
    pdf_icon

    1

    Memorandum of Law in Support of Plaintiff's Application for an Order to Show Cause and Emergency Relief   pdf_icon

    11

    Exhibit(s) 9
    pdf_icon

    2

    Declaration of David Stoelting   pdf_icon

    12

    Exhibit(s) 10
    pdf_icon

    3

    Exhibit(s) 1   pdf_icon

    13

    Exhibit(s) 11
    pdf_icon

    4

    Exhibit(s) 2   pdf_icon

    14

    Exhibit(s) 12
    pdf_icon

    5

    Exhibit(s) 3   pdf_icon

    15

    Exhibit(s) 13
    pdf_icon

    6

    Exhibit(s) 4   pdf_icon

    16

    Exhibit(s) 14
    pdf_icon

    7

    Exhibit(s) 5   pdf_icon

    17

    Exhibit(s) 15
    pdf_icon

    8

    Exhibit(s) 6   pdf_icon

    18

    Exhibit(s) 16
    pdf_icon

    9

    Exhibit(s) 7   pdf_icon

    19

    Exhibit(s) 17
    pdf_icon

    10

    Exhibit(s) 8   pdf_icon

    20

    Declaration of Roseann Daniello
    pdf_icon 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)
    pdf_icon 101 8/3/2010 RESPONSE in Opposition re [69] MOTION to Dismiss filed by Securities and Exchange Commission. (McGrath, Kevin)
    pdf_icon 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:
    pdf_icon

    1

    Proposed Summons
    pdf_icon

    2

    Proposed Summons
    pdf_icon

    3

    Proposed Summons
    pdf_icon

    4

    Proposed Summons
    pdf_icon 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)
    pdf_icon 98 7/29/2010 NOTICE of Appearance by Martin H. Kaplan on behalf of Timothy M. McGinn, David L. Smith (Kaplan, Martin)
    pdf_icon 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)
    pdf_icon 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)
        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)
    pdf_icon 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)
    pdf_icon 94 7/23/2010 RECEIPT for Returned Exhibits signed by David Stoelting on 7/23/2010. (mab)
    pdf_icon 93 7/23/2010 Letter Motion from William J. Brown, Receiver for William J Brown submitted to Judge Homer
    pdf_icon 92 7/23/2010 Notice of Substitution of Counsel
    pdf_icon 91 7/20/2010 RECEIPT for Returned Exhibits signed by Featherstonhaugh, Wiley Law Firm on 7/15/2010
    pdf_icon 90 7/15/2010 Receipt for Returned Exhibits signed by Jill A. Dunn on 7/15/2010
      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
      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
      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
    pdf_icon 86 7/8/2010 Memorandum Decision and Order
    pdf_icon 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
    pdf_icon 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
        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.
    pdf_icon 83 6/28/2010 Transcript Request by Securities and Exchange Commission for proceedings held on June 9-11, 2010 before Judge Homer
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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.
    pdf_icon 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.
    pdf_icon 75 6/16/2010 Order granting 73 Letter Request. Signed by Magistrate Judge David R. Homer on 6/16/2010
    pdf_icon 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
    pdf_icon 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
    pdf_icon 72 6/16/2010 Intervenor's Supplemental Exhibit List filed by Jill A. Dunn
    pdf_icon 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
        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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 68 6/10/2010 Order granting Letter Request. Signed by Magistrate Judge David R. Homer on 6/9/2010
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 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
    pdf_icon 62 6/9/2010 Exhibit List relating to Preliminary Injunction hearing scheduled for June 9, 2010 by Securities and Exchange Commission
    pdf_icon 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
    pdf_icon 60 6/9/2010 Notice by David M. Wojeski of Disclosure of Witnesses and Exhibits
    pdf_icon 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
    pdf_icon 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
    pdf_icon 57 6/9/2010 Notice by Lynn A. Smith of Initial Disclosure of Potential Witnesses and Exhibits
    pdf_icon 56 6/8/2010 Notice of Appearance by Kevin P. McGrath on behalf of Securities and Exchange Commission
    pdf_icon 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
        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.
    pdf_icon 54 6/7/2010 Letter Brief regarding Consent Order Regarding Pine Street Entities by David M. Wojeski
    pdf_icon 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
    pdf_icon 52 6/7/2010 Letter Motion from E. Stewart Jones, Jr. for Timothy M. McGinn requesting conference call submitted to Judge Homer
    pdf_icon 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
    pdf_icon 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
    pdf_icon 49 6/4/2010 First Report of the Receiver
    pdf_icon 48 6/4/2010 Receiver's Consent to Preliminary Injunction Order
    pdf_icon 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
      46 6/4/2010 Supplemental Declaration of Roseann Daniello dated June 2, 2010 with Exhibits (5 parts)
    pdf_icon Part 1
    pdf_icon Part 2
    pdf_icon Part 3
    pdf_icon Part 4
    pdf_icon Part 5
    pdf_icon 45 6/4/2010 Order Granting request in #44 above
    pdf_icon 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
    pdf_icon 43 6/3/2010 Order Granting Request in #40 above
    pdf_icon 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
    pdf_icon 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)
    pdf_icon 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
    pdf_icon 39 6/1/2010 Order Granting Trustee of David L. and Lynn A. Smith Irrevocable Trust leave to intervene and rescheduling Preliminary Injunction Hearing
    pdf_icon 38 5/28/2010 Status Report of McGinn and Smith
    pdf_icon 37 5/28/2010 Signed Consent Order
    pdf_icon 36 5/28/2010 Proposed Consent Order
    pdf_icon 35 5/28/2010 Intervenor's Memorandum of Law
    pdf_icon 34 5/28/2010 Affidavit of Lynn A. Smith in support of Motion to Intervene
    pdf_icon 33 5/28/2010 Declaration of Jill A. Dunn in Support of Motion to Intervene For Limited Purpose
    pdf_icon 32 5/28/2010 Affidavit of David M. Wojeski in Support of Motion to Intervene
    pdf_icon 31 5/28/2010 Order to Show Cause to Establish Method for Service and Motion Schedule on Motion to Intervene
    pdf_icon 30 5/26/2010 Order regarding Depositions
    pdf_icon 29 5/26/2010 Order regarding Stay of Proceedings
    pdf_icon 28 5/26/2010 SEC Response (Memorandum of Law)
    pdf_icon 27 5/24/2010 Consent Order
    pdf_icon 26 5/24/2010 Emergency Motion for Temporary Restraining Order Stay of Discovery by Timothy M. McGinn
    pdf_icon 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
    pdf_icon 24 5/24/2010 Memorandum of Law filed by Lynn A. Smith
    pdf_icon 23 5/24/2010 Affidavit by Lynn A. Smith
    pdf_icon 22 5/20/2010 Response of McGinn and Smith
    pdf_icon 21 5/7/2010 Consent Order
    pdf_icon 20 5/6/2010 SEC Proposed Consent Order for Extension of Time
    pdf_icon 19 5/6/2010 Statement of Assets (Redacted)
    pdf_icon 18 5/3/10 Response of Timothy M. McGinn
    pdf_icon 17 5/3/10 Response of David L. Smith
    pdf_icon 16 5/3/10 Notice of Appearance
    pdf_icon 15 5/3/10 Consent Order Extending Dates in Order to Show Cause
    pdf_icon 14 5/3/10 List of Accounts
    pdf_icon 13 5/3/10 Notice of Appearance
    pdf_icon 12 4/29/10 Consent Order Referring Motion
    pdf_icon 11 4/29/10 Letter
    pdf_icon 10 4/29/10 Corrected Notice by SEC
    pdf_icon 9 4/29/10 Notice by SEC
    pdf_icon 8 4/29/10 Notice from KeyBank re Temporary Restraining Order
    pdf_icon 7 4/29/10 Order Reassigning Case
    pdf_icon 6 4/29/10 Certificate of Service
    pdf_icon 5 4/20/10 Order to Show Cause, Temporary Restraining Order and Order Freezing Assets and Granting Other Relief
      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).
    pdf_icon a Documents   pdf_icon Exhibit 20 Part II
    pdf_icon b Listing of Exhibits 1 to 19   pdf_icon Exhibit 21 Part I
    pdf_icon b Listing of Exhibits 20 to 27   pdf_icon Exhibit 21 Part II
    pdf_icon Exhibits 01 to 03   pdf_icon Exhibits 22 to 23
    pdf_icon Exhibits 04 to 06   pdf_icon Exhibit 24
    pdf_icon Exhibit 07   pdf_icon Exhibits 25 to 27
    pdf_icon Exhibit 08   pdf_icon Exhibits 28 to 49
    pdf_icon Exhibit 09   pdf_icon Exhibits 50 to 59
    pdf_icon Exhibits 10 to 12   pdf_icon Exhibits 60 to 66
    pdf_icon Exhibits 13 to 15   pdf_icon Exhibit 67 Part I
    pdf_icon Exhibits 16 to 19   pdf_icon Exhibit 67 Part II
    pdf_icon Exhibit 20 Part I   pdf_icon Exhibit 67 Part III and IV
    pdf_icon 3 4/20/10 Filing Order.
    pdf_icon 2 4/20/10 Summons.
    pdf_icon 1 4/20/10 Complaint.

  4. Contact Information

    Please direct questions to:

    William J. Brown, Esq.
    Receiver
    One Canalside
    125 Main Street
    Buffalo, NY 14203-2887