This case was last updated from PACER on 02/03/2020 at 07:20:11 (UTC).

Securities and Exchange Commission v. Cole et al

Case Summary

On 12/05/2019 Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Cole. This case was filed in U.S. District Courts, New York Southern District. The Judge overseeing this case is Analisa Torres. The case status is Pending - Other Pending.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:19-CV-11148

  • Filing Date:

    12/05/2019

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Finance - Security/Commodity/Exchange

  • Court:

    U.S. District Courts

  • Courthouse:

    New York Southern District

Judge Details

Presiding Judge

Analisa Torres

 

Party Details

Plaintiff

Securities and Exchange Commission

Defendants

Seth Horowitz

Neil R. Cole

Intervenor

UNITED STATES OF AMERICA

Attorney/Law Firm Details

Plaintiff Attorneys

Sarah Heaton Concannon

Attorney at Securities and Exchange Commission (DC)

100 F Street, N.E.

Washington, DC 20549

Thomas A Bednar

Attorney at Securities & Exchange Commission

100 F Street Ne

Washington, NY 20549

Fernando Campoamor Sanchez

Attorney at Securities and Exchange Commission

100 F Street Ne, Ste 5924

Washington Dc, DC 20549

Defendant Attorneys

Lorin L. Reisner

Attorney at Paul Weiss (NY)

1285 Avenue Of The Americas

New York, NY 10019

Richard Craig Tarlowe

Attorney at Paul, Weiss, Rifkind, Wharton & Garrison LLP (NYC)

1285 Avenue Of The Americas

New York, NY 10019

Andrew David Reich

Attorney at Paul Weiss (NY)

1285 Avenue Of The Americas

New York, NY 10019

Intervenor Attorneys

Scott Andrew Hartman

Attorney at U.S. Attorney's Office

One St. Andrew'S Plaza

New York, NY 10007

Edward Arthur Imperatore

Attorney at United States Attorney's Office, SDNY

One Saint Andrew'S Plaza

New York, NY 10007

 

Court Documents

#20

(#20) ORDER: Having reviewed the parties' pre-motion letters, ECF Nos. 16, 18, it is hereby ORDERED that: 1. By February 18, 2020, the United States Attorney's Office shall file its motion to intervene and stay the proceedings; 2. By March 10, 2020, Defendant shall file his opposition; and 3. By March 24, 2020, the United States Attorney's Office shall file its reply, if any. The initial pretrial conference scheduled for February 6, 2020, and associated deadlines in the initial pretrial order, ECF No. 14,i,i 4-5, are ADJOURNED sine die pending the Court's resolution of the above motion. SO ORDERED. (Signed by Judge Analisa Torres on 1/28/2020) (ks) (Entered: 01/28/2020)

#19

(#19) NOTICE OF APPEARANCE by Edward Arthur Imperatore on behalf of UNITED STATES OF AMERICA. (Imperatore, Edward) (Entered: 01/28/2020)

#18

(#18) LETTER addressed to Judge Analisa Torres from Lorin L. Reisner dated January 22, 2020 re: Response to Pre-Motion Letter Seeking to Intervene and Stay Proceedings [Dkt. No. 16]. Document filed by Neil R. Cole.(Reisner, Lorin) (Entered: 01/22/2020)

#17

(#17) NOTICE OF APPEARANCE by Scott Andrew Hartman on behalf of UNITED STATES OF AMERICA. (Hartman, Scott) (Entered: 01/14/2020)

#16

(#16) LETTER addressed to Judge Analisa Torres from AUSAs Edward Imperatore, Scott Hartman, and Jared Lenow dated 1/14/2020 re: Premotion Letter Seeking to Intervene and Stay Proceedings in Light of Parallel Criminal Case. Document filed by UNITED STATES OF AMERICA.(Hartman, Scott) (Entered: 01/14/2020)

#15

(#15) ORDER: To conserve resources, to promote judicial efficiency, and in an effort to achieve a faster disposition of this matter, it is hereby ORDERED that the parties discuss whether they are willing to consent, under 28 U.S.C. 636(c), to conducting all further proceedings before the assigned Magistrate Judge and further set forth in this Order. (Signed by Judge Analisa Torres on 12/17/2019) (rro) Modified on 1/14/2020 (rro). (Entered: 12/17/2019)

#14

(#14) INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 2/6/2020 at 12:00 PM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge Analisa Torres and further set forth in this Order. (Signed by Judge Analisa Torres on 12/17/2020) (rro) (Entered: 12/17/2019)

#12

(#12) FINAL JUDGMENT AS TO DEFENDANT SETH HOROWITZ: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud; 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 Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. Seth Horowitz terminated. (Signed by Judge Analisa Torres on 12/13/2019) (cf) (Entered: 12/13/2019)

4 #2

Proposed Order

4 #1

Declaration and Certificate

3 #4

Text of Proposed Order

3 #3

Exhibit Certificate of Good Standing (Virginia)

3 #2

Exhibit Certificate of Good Standing (DC)

3 #1

Affidavit

#3

(#13) ORDER granting #3 Motion for Thomas Anthony Bednar to Appear Pro Hac Vice; granting #4 Motion for Fernando Campoamor Sanchez to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (jw) (Entered: 12/16/2019)

#2

(#2) CIVIL COVER SHEET filed. (Bednar, Thomas) (Entered: 12/05/2019)

#1

(#1) COMPLAINT against Neil R. Cole, Seth Horowitz. Document filed by Securities and Exchange Commission.(Bednar, Thomas) (Entered: 12/05/2019)

19 More Documents Available

 

Docket Entries

  • 01/28/2020
  • DocketSet/Reset Deadlines: Motions due by 2/18/2020. Responses due by 3/10/2020 Replies due by 3/24/2020. (ks) (Entered: 01/28/2020)

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  • 01/28/2020
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  • Docket(#20) ORDER: Having reviewed the parties' pre-motion letters, ECF Nos. 16, 18, it is hereby ORDERED that: 1. By February 18, 2020, the United States Attorney's Office shall file its motion to intervene and stay the proceedings; 2. By March 10, 2020, Defendant shall file his opposition; and 3. By March 24, 2020, the United States Attorney's Office shall file its reply, if any. The initial pretrial conference scheduled for February 6, 2020, and associated deadlines in the initial pretrial order, ECF No. 14,i,i 4-5, are ADJOURNED sine die pending the Court's resolution of the above motion. SO ORDERED. (Signed by Judge Analisa Torres on 1/28/2020) (ks) (Entered: 01/28/2020)

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  • 01/28/2020
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  • Docket(#19) NOTICE OF APPEARANCE by Edward Arthur Imperatore on behalf of UNITED STATES OF AMERICA. (Imperatore, Edward) (Entered: 01/28/2020)

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  • 01/22/2020
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  • Docket(#18) LETTER addressed to Judge Analisa Torres from Lorin L. Reisner dated January 22, 2020 re: Response to Pre-Motion Letter Seeking to Intervene and Stay Proceedings [Dkt. No. 16]. Document filed by Neil R. Cole.(Reisner, Lorin) (Entered: 01/22/2020)

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  • 01/14/2020
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  • Docket(#17) NOTICE OF APPEARANCE by Scott Andrew Hartman on behalf of UNITED STATES OF AMERICA. (Hartman, Scott) (Entered: 01/14/2020)

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  • 01/14/2020
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  • Docket(#16) LETTER addressed to Judge Analisa Torres from AUSAs Edward Imperatore, Scott Hartman, and Jared Lenow dated 1/14/2020 re: Premotion Letter Seeking to Intervene and Stay Proceedings in Light of Parallel Criminal Case. Document filed by UNITED STATES OF AMERICA.(Hartman, Scott) (Entered: 01/14/2020)

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  • 12/17/2019
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  • Docket(#15) ORDER: To conserve resources, to promote judicial efficiency, and in an effort to achieve a faster disposition of this matter, it is hereby ORDERED that the parties discuss whether they are willing to consent, under 28 U.S.C. 636(c), to conducting all further proceedings before the assigned Magistrate Judge and further set forth in this Order. (Signed by Judge Analisa Torres on 12/17/2019) (rro) Modified on 1/14/2020 (rro). (Entered: 12/17/2019)

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  • 12/17/2019
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  • Docket(#14) INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 2/6/2020 at 12:00 PM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge Analisa Torres and further set forth in this Order. (Signed by Judge Analisa Torres on 12/17/2020) (rro) (Entered: 12/17/2019)

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  • 12/16/2019
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  • Docket(#13) ORDER granting #3 Motion for Thomas Anthony Bednar to Appear Pro Hac Vice; granting #4 Motion for Fernando Campoamor Sanchez to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (jw) (Entered: 12/16/2019)

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  • 12/13/2019
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  • Docket(#12) FINAL JUDGMENT AS TO DEFENDANT SETH HOROWITZ: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud; 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 Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. Seth Horowitz terminated. (Signed by Judge Analisa Torres on 12/13/2019) (cf) (Entered: 12/13/2019)

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9 More Docket Entries
  • 12/06/2019
  • DocketMagistrate Judge Ona T. Wang 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. (jgo) (Entered: 12/06/2019)

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  • 12/06/2019
  • DocketCASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lewis A. Kaplan. 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. (jgo) (Entered: 12/06/2019)

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  • 12/06/2019
  • Docket***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Thomas A Bednar. The following case opening statistical information was erroneously selected/entered: County code Albany; Fee Status code pd (paid);. The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State; the Fee Status code has been modified to wv (waived);. (jgo) (Entered: 12/06/2019)

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  • 12/05/2019
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  • Docket(#5) NOTICE OF APPEARANCE by Sarah Heaton Concannon on behalf of Securities and Exchange Commission. (Concannon, Sarah) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for Fernando Campoamor Sanchez 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. (wb) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket(#4) MOTION for Fernando Campoamor Sanchez to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Declaration and Certificate, #2 Proposed Order)(Campoamor Sanchez, Fernando) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Thomas Anthony Bednar 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. (wb) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket(#3) MOTION for Thomas Anthony Bednar to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit, #2 Exhibit Certificate of Good Standing (DC), #3 Exhibit Certificate of Good Standing (Virginia), #4 Text of Proposed Order)(Bednar, Thomas) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket(#2) CIVIL COVER SHEET filed. (Bednar, Thomas) (Entered: 12/05/2019)

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  • 12/05/2019
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  • Docket(#1) COMPLAINT against Neil R. Cole, Seth Horowitz. Document filed by Securities and Exchange Commission.(Bednar, Thomas) (Entered: 12/05/2019)

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