This case was last updated from U.S. District Courts on 05/21/2021 at 00:19:32 (UTC).

Securities and Exchange Commission v. Berman et al

Case Summary

On 12/17/2020 Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Berman. This case was filed in U.S. District Courts, New York Southern District. The Judge overseeing this case is Loretta A. Preska. The case status is Pending - Other Pending.
Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:20-CV-10658

  • Filing Date:

    12/17/2020

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Finance - Security/Commodity/Exchange

Judge Details

Presiding Judge

Loretta A. Preska

 

Party Details

Plaintiffs

Securities and Exchange Commisison

Securities and Exchange Commission

Defendants

Decision Diagnostics Corp.

Keith Berman

Intervenor

UNITED STATES OF AMERICA

Attorney/Law Firm Details

Plaintiff Attorney

David Misler

Attorney at Securities and Exchange Commission (DC)

100 F Street, N.E.

Washington, DC 20549

Defendant Attorneys

Ronald S. Herzog

Attorney at Goldberg Segalla

50 Main Street, Suite 425

White Plains, NY 10606

Walter P. Loughlin

Attorney at Walter P. Loughlin Attorney-at-Law

340 West 57Th Street, Ste 5D

New York, NY 10019

Intervenor Attorney

Christopher Fenton

Attorney at DOJ-Crm

1400 New York Avenue, Nw

Washington, DC 20530

 

Court Documents

#16

#1

#17

#15

#14

#13

#12

#11

#10

#9

#8

#7

#6

5 #4

Certificate of Good Standing (Maryland)

5 #3

Certificate of Good Standing (DC)

5 #2

Text of Proposed Order

5 #1

Affidavit

#5

10 More Documents Available

 

Docket Entries

  • 03/01/2021
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  • Docket(#17) MEMORANDUM OF LAW in Support re: #16 MOTION to Intervene and Stay Discovery. . Document filed by UNITED STATES OF AMERICA..(Fenton, Christopher) (Entered: 03/01/2021)

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  • 03/01/2021
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  • Docket(#16) MOTION to Intervene and Stay Discovery. Document filed by UNITED STATES OF AMERICA..(Fenton, Christopher) (Entered: 03/01/2021)

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  • 02/12/2021
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  • Docket(#15) ORDER granting #14 Letter Motion for Extension of Time to Answer. Defendants time to Answer or otherwise move with respect to the complaint is adjourned sine die. SO ORDERED.. (Signed by Judge Loretta A. Preska on 2/12/2021) (ks) (Entered: 02/12/2021)

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  • 02/12/2021
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  • Docket(#14) LETTER MOTION for Extension of Time to File Answer re: #1 Complaint or alternatively, as a request for a pre-motion conference. addressed to Judge Loretta A. Preska from Walter P. Loughlin dated February 12, 2021. Document filed by Keith Berman, Decision Diagnostics Corp...(Loughlin, Walter) (Entered: 02/12/2021)

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  • 01/27/2021
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  • Docket(#13) NOTICE OF APPEARANCE by Walter P. Loughlin on behalf of Keith Berman, Decision Diagnostics Corp...(Loughlin, Walter) (Entered: 01/27/2021)

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  • 01/05/2021
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  • Docket(#12) NOTICE OF APPEARANCE by Ronald S. Herzog on behalf of Keith Berman, Decision Diagnostics Corp...(Herzog, Ronald) (Entered: 01/05/2021)

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  • 01/05/2021
  • Docket***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney David Misler. The party information for the following party/parties has been modified: Securities and Exchange Commisison. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error;. (pc) (Entered: 01/05/2021)

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  • 01/05/2021
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  • Docket(#11) REQUEST FOR WAIVER OF SERVICE sent to Ronald S. Herzog. Document filed by Decision Diagnostics Corp., Keith Berman.( Request for Waiver Mailed on 12/28/2020., Waiver of Service due by 1/27/2021.), WAIVER OF SERVICE RETURNED EXECUTED. Decision Diagnostics Corp. waiver sent on 12/28/2020, answer due 2/26/2021; Keith Berman waiver sent on 12/28/2020, answer due 2/26/2021. Document filed by Decision Diagnostics Corp.; Keith Berman..(Herzog, Ronald) (Entered: 01/05/2021)

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  • 12/22/2020
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  • Docket(#10) ELECTRONIC SUMMONS ISSUED as to Decision Diagnostics Corp...(dnh) (Entered: 12/22/2020)

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  • 12/22/2020
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  • Docket(#9) ELECTRONIC SUMMONS ISSUED as to Keith Berman..(dnh) (Entered: 12/22/2020)

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3 More Docket Entries
  • 12/18/2020
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  • Docket***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney David Misler to RE-FILE Document No. #4 Request for Issuance of Summons, #3 Request for Issuance of Summons. The filing is deficient for the following reason(s): the PDF attached to the docket entry for the issuance of summons is not correct; Caption title must exactly match complaint caption title;. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 12/18/2020)

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  • 12/18/2020
  • DocketCase Designated ECF. (pc) (Entered: 12/18/2020)

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  • 12/18/2020
  • DocketMagistrate Judge Kevin Nathaniel Fox is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (pc) (Entered: 12/18/2020)

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  • 12/18/2020
  • DocketCASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Loretta A. Preska. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions..(pc) (Entered: 12/18/2020)

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  • 12/17/2020
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  • Docket>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #5 MOTION for David Misler to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (aea) (Entered: 12/17/2020)

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  • 12/17/2020
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  • Docket(#5) MOTION for David Misler to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: #1 Affidavit, #2 Text of Proposed Order, #3 Certificate of Good Standing (DC), #4 Certificate of Good Standing (Maryland)).(Misler, David) (Entered: 12/17/2020)

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  • 12/17/2020
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  • Docket(#4) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Decision Diagnostics Corp., re: #1 Complaint. Document filed by Securities and Exchange Commisison..(Misler, David) Modified on 12/18/2020 (pc). (Entered: 12/17/2020)

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  • 12/17/2020
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  • Docket(#3) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Keith Berman, re: #1 Complaint. Document filed by Securities and Exchange Commisison..(Misler, David) Modified on 12/18/2020 (pc). (Entered: 12/17/2020)

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  • 12/17/2020
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  • Docket(#2) CIVIL COVER SHEET filed..(Misler, David) (Entered: 12/17/2020)

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  • 12/17/2020
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  • Docket(#1) COMPLAINT against Keith Berman, Decision Diagnostics Corp.. Document filed by Securities and Exchange Commisison..(Misler, David) (Entered: 12/17/2020)

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