This case was last updated from U.S. Courts Of Appeals on 06/11/2022 at 06:07:18 (UTC).

United States Securities and E v. McGinn, Smith & Company, Incor

Case Summary

On 04/12/2022 United States Securities and E filed a Finance - Security/Commodity/Exchange lawsuit against McGinn, Smith Company, Incor. This case was filed in U.S. Courts Of Appeals, U.S. Court Of Appeals, Second Circuit. The case status is Pending - Other Pending.
Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    22-746

  • Filing Date:

    04/12/2022

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Finance - Security/Commodity/Exchange

 

Party Details

Defendants

McGinn, Smith & Company, Incorporated

McGinn, Smith Advisors, LLC

McGinn, Smith Capital Holdings Corporation

First Advisory Income Notes, LLC

First Excelsior Income Notes, LLC

First Independent Income Notes, LLC

Third Albany Income Notes, LLC

Timothy M. McGinn

Nancy McGinn, Relief Defendant

David M. Wojeski, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A

Financial Industry Regulatory Authority, Inc., and FINRA Employees

RBS Citizens, N.A.

Lynn A. Smith, Relief Defendant

Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A

Lauren T. Smith

Plaintiff / Appellee

United States Securities and Exchange Commission

Intervenor

United States Attorney's Office of the Northern District of New York

Defendant / Appellant

David L. Smith

Attorney/Law Firm Details

Plaintiff / Appellee Attorneys

Archith Ramkumar Esq.

Attorney at United States Securities and Exchange Commission

100 F Street, Ne

Washington, DC 20549

Daniel Staroselsky Esq.

Attorney at United States Securities and Exchange Commission

100 F Street, Ne

Washington, DC 20549

Defendant / Appellant Attorneys

Alex Lipman Esq.

Attorney at Lipman Law PLLC

45 West 29Th Street

New York, NY 10001

Justin S. Weddle Esq.

Attorney at Weddle Law PLLC

250 West 55Th Street

New York, NY 10019

 

Court Documents

#30

(#30) NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellant David L. Smith, FILED. Service date 05/13/2022 by CM/ECF. [3314794] [22-746] [Entered: 05/13/2022 01:43 PM]

#29

(#29) SO-ORDERED SCHEDULING NOTIFICATION, setting Appellant David L. Smith Brief due date as 07/21/2022. Joint Appendix due date as 07/21/2022, FILED.[3313179] [22-746] [Entered: 05/11/2022 01:47 PM]

#26

(#26) NEW CASE MANAGER, Connie Mazariego, ASSIGNED.[3311858] [22-746] [Entered: 05/10/2022 09:14 AM]

#23

(#23) LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellant David L. Smith, informing Court of proposed due date 07/21/2022, RECEIVED. Service date 05/08/2022 by CM/ECF.[3310888] [22-746] [Entered: 05/08/2022 10:33 PM]

#22

(#22) STRIKE ORDER, striking Appellant David L. Smith Notice of Appearance as Additional Counsel, [12] from the docket, FILED.[3309285] [22-746] [Entered: 05/04/2022 04:20 PM]

#15

(#15) FORM D, on behalf of Appellant David L. Smith, FILED. Service date 04/22/2022 by CM/ECF.[3302417] [22-746] [Entered: 04/22/2022 05:30 PM]

14 #3

Addendum B

14 #2

Addendum A

14 #1

Form C FILED

#11

(#11) ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/15/2022 by CM/ECF.[3297482] [22-746] [Entered: 04/15/2022 09:29 AM]

#9

(#10) ATTORNEY, Daniel Staroselsky for United States Securities and Exchange Commission, in case 22-746, [ # 9 ], ADDED.[3297320] [22-746] [Entered: 04/14/2022 04:40 PM]

#7

(#8) ATTORNEY, Archith Ramkumar, [ # 7 ], in place of attorney Michael A. Conley, SUBSTITUTED.[3296831] [22-746] [Entered: 04/14/2022 11:45 AM]

#6

(#6) ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant David L. Smith, FILED. Service date 04/13/2022 by CM/ECF.[3296036] [22-746] [Entered: 04/13/2022 11:38 AM]

4 #2

Index/FRAP 10(d) in lieu of ROA FILED

4 #1

Notice_of_Index_or_ROA_Filed

#2

(#2) DISTRICT COURT ORDER, entered in district court docket dated 02/10/2022, RECEIVED.[3295315] [22-746] [Entered: 04/12/2022 12:40 PM]

1 #2

Case FILED

#1

Dkt_Ntc_BK_CV_PR_Tax

7 More Documents Available

 

Docket Entries

  • 05/16/2022
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  • Docket(#31) ATTORNEY, Alex Lipman for David L. Smith, in case 22-746, [ # 30 ], ADDED.[3315574] [22-746] [Entered: 05/16/2022 12:29 PM]

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  • 05/13/2022
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  • Docket(#30) NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellant David L. Smith, FILED. Service date 05/13/2022 by CM/ECF. [3314794] [22-746] [Entered: 05/13/2022 01:43 PM]

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  • 05/11/2022
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  • Docket(#29) SO-ORDERED SCHEDULING NOTIFICATION, setting Appellant David L. Smith Brief due date as 07/21/2022. Joint Appendix due date as 07/21/2022, FILED.[3313179] [22-746] [Entered: 05/11/2022 01:47 PM]

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  • 05/10/2022
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  • Docket(#26) NEW CASE MANAGER, Connie Mazariego, ASSIGNED.[3311858] [22-746] [Entered: 05/10/2022 09:14 AM]

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  • 05/08/2022
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  • Docket(#23) LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellant David L. Smith, informing Court of proposed due date 07/21/2022, RECEIVED. Service date 05/08/2022 by CM/ECF.[3310888] [22-746] [Entered: 05/08/2022 10:33 PM]

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  • 05/04/2022
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  • Docket(#22) STRIKE ORDER, striking Appellant David L. Smith Notice of Appearance as Additional Counsel, [12] from the docket, FILED.[3309285] [22-746] [Entered: 05/04/2022 04:20 PM]

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  • 04/22/2022
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  • Docket(#15) FORM D, on behalf of Appellant David L. Smith, FILED. Service date 04/22/2022 by CM/ECF.[3302417] [22-746] [Entered: 04/22/2022 05:30 PM]

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  • 04/22/2022
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  • Docket(#14) FORM C, on behalf of Appellant David L. Smith, FILED. Service date 04/22/2022 by CM/ECF.[3302416] [22-746] [Entered: 04/22/2022 05:29 PM]

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  • 04/22/2022
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  • Docket(#13) DEFECTIVE DOCUMENT, Notice of Appearance as Additional Counsel, [12], on behalf of Appellant David L. Smith, FILED.[3301645] [22-746] [Entered: 04/22/2022 09:16 AM]

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  • 04/21/2022
  • Docket(#12) NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellant David L. Smith, FILED. Service date 04/21/2022 by CM/ECF. [3301428] [22-746] [Entered: 04/21/2022 03:47 PM]

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  • 04/15/2022
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  • Docket(#11) ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/15/2022 by CM/ECF.[3297482] [22-746] [Entered: 04/15/2022 09:29 AM]

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  • 04/14/2022
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  • Docket(#10) ATTORNEY, Daniel Staroselsky for United States Securities and Exchange Commission, in case 22-746, [ # 9 ], ADDED.[3297320] [22-746] [Entered: 04/14/2022 04:40 PM]

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  • 04/14/2022
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  • Docket(#9) NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/14/2022 by CM/ECF. [3297278] [22-746] [Entered: 04/14/2022 04:20 PM]

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  • 04/14/2022
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  • Docket(#8) ATTORNEY, Archith Ramkumar, [ # 7 ], in place of attorney Michael A. Conley, SUBSTITUTED.[3296831] [22-746] [Entered: 04/14/2022 11:45 AM]

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  • 04/14/2022
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  • Docket(#7) NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/14/2022 by CM/ECF. [3296634] [22-746] [Entered: 04/14/2022 09:53 AM]

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  • 04/13/2022
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  • Docket(#6) ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant David L. Smith, FILED. Service date 04/13/2022 by CM/ECF.[3296036] [22-746] [Entered: 04/13/2022 11:38 AM]

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  • 04/11/2022
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  • Docket(#4) ELECTRONIC INDEX, in lieu of record, FILED.[3295317] [22-746] [Entered: 04/12/2022 12:41 PM]

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  • 04/11/2022
  • Docket(#3) PAYMENT OF DOCKETING FEE, on behalf of Appellant David L. Smith, district court receipt # ANYNDC-5866643, FILED.[3295316] [22-746] [Entered: 04/12/2022 12:40 PM]

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  • 04/11/2022
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  • Docket(#2) DISTRICT COURT ORDER, entered in district court docket dated 02/10/2022, RECEIVED.[3295315] [22-746] [Entered: 04/12/2022 12:40 PM]

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  • 04/11/2022
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  • Docket(#1) NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant David L. Smith, FILED. [3295306] [22-746] [Entered: 04/12/2022 12:36 PM]

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