This case was last updated from U.S. District Courts on 07/15/2019 at 11:40:23 (UTC).

Securities and Exchange Commission v. Diver

Case Summary

On 03/28/2019 Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Diver. 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:

    1:19-CV-02771

  • Filing Date:

    03/28/2019

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Finance - Security/Commodity/Exchange

Judge Details

Presiding Judge

Loretta A. Preska

 

Party Details

Plaintiff

Securities and Exchange Commission

Defendant

Richard T. Diver

Alternative Dispute Resolution (Adr) Provider

United States of America

Intervenor

United States of America - S.D.N.Y.

Attorney/Law Firm Details

Plaintiff Attorneys

Marc Peter Berger

Attorney at U.S. Securities and Exchange Commission (NY)

200 Vesey Street, Ste. 400

New York, NY 10281

Paul G. Gizzi

Attorney at U.S. Securities and Exchange Commission( 3 World Financial)

Three World Financial Center

New York, NY 10281

James K. Hanson

Attorney at Securities and Exchange Commission(NYC)

3 World Financial Center, Suite 400

New York, NY 10281

Intervenor Attorney

Martin Bell

Attorney at United States Attorney's Office, SDNY

One Saint Andrew'S Plaza

New York, NY 10007

 

Court Documents

#13

(#13) ORDER granting #10 Motion to Intervene: It is hereby ORDERED that the Government's consent motion to intervene and to stay the above-captioned case in its entirety until the conclusion of criminal case United States v. Richard Diver, 19 Mj. 3058 (UA), and any related case that proceeds via indictment or information, is granted. (Signed by Judge Loretta A. Preska on 6/3/2019) (jwh) (Entered: 06/04/2019)

#12

(#12) LETTER addressed to Judge Loretta A. Preska from Paul G. Gizzi and James K. Hanson dated May 13, 2019 re: Motions to Stay. Document filed by Securities and Exchange Commission.(Gizzi, Paul) (Entered: 05/13/2019)

11 #1

Exhibit Proposed Order

#11

(#11) MEMORANDUM OF LAW in Support re: #10 MOTION to Intervene . . Document filed by United States of America - S.D.N.Y.. (Attachments: #1 Exhibit Proposed Order)(Bell, Martin) (Entered: 05/10/2019)

#10

(#10) MOTION to Intervene . Document filed by United States of America - S.D.N.Y..(Bell, Martin) (Entered: 05/10/2019)

#9

(#9) NOTICE OF APPEARANCE by Martin Bell on behalf of United States of America, United States of America - S.D.N.Y.. (Bell, Martin) (Entered: 05/10/2019)

#8

(#8) ENDORSED LETTER addressed to Magistrate Judge Henry B. Pitman from Richard T. Diver dated 5/1/2019 re: requesting civil case be stayed until the resolution of the related criminal matter. ENDORSEMENT: Counsel for the SEC in 19 CV 2771 and counsel for the Government in 19 Mag. 3058 shall inform the Court by letter of their views on Mr. Diver's request. The Clerk of the Court shall mail a copy of this order to Mr. Diver. (Signed by Judge Loretta A. Preska on 5/6/2019) (jwh) Transmission to Docket Assistant Clerk for processing. (Entered: 05/06/2019)

#7

(#7) WAIVER OF SERVICE RETURNED EXECUTED. Richard T. Diver waiver sent on 4/3/2019, answer due 6/3/2019. Document filed by Securities and Exchange Commission. (Gizzi, Paul) (Entered: 05/06/2019)

#6

(#6) NOTICE OF APPEARANCE by James K. Hanson on behalf of Securities and Exchange Commission. (Hanson, James) (Entered: 04/23/2019)

#5

(#5) ELECTRONIC SUMMONS ISSUED as to Richard T. Diver. (jgo) (Entered: 03/29/2019)

#4

(#4) REQUEST FOR ISSUANCE OF SUMMONS as to Richard T. Diver, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Gizzi, Paul) (Entered: 03/28/2019)

#3

(#3) NOTICE OF APPEARANCE by Paul G. Gizzi on behalf of Securities and Exchange Commission. (Gizzi, Paul) (Entered: 03/28/2019)

#2

(#2) CIVIL COVER SHEET filed. (Berger, Marc) (Entered: 03/28/2019)

#1

(#4) REQUEST FOR ISSUANCE OF SUMMONS as to Richard T. Diver, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Gizzi, Paul) (Entered: 03/28/2019)

3 More Documents Available

 

Docket Entries

  • 06/03/2019
  • Case Stayed (jwh) (Entered: 06/04/2019)

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  • 06/03/2019
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  • (#13) ORDER granting #10 Motion to Intervene: It is hereby ORDERED that the Government's consent motion to intervene and to stay the above-captioned case in its entirety until the conclusion of criminal case United States v. Richard Diver, 19 Mj. 3058 (UA), and any related case that proceeds via indictment or information, is granted. (Signed by Judge Loretta A. Preska on 6/3/2019) (jwh) (Entered: 06/04/2019)

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  • 05/22/2019
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  • Received returned mail re: #8 Endorsed Letter. Mail was addressed to Richard T. Diver 39 Niehaus Avenue #2 Little Ferry NJ 07643 and was returned for the following reason(s): Return to Sender; Not Deliverable as Addressed; Unable to Forward. (aea) (Entered: 05/22/2019)

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  • 05/13/2019
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  • (#12) LETTER addressed to Judge Loretta A. Preska from Paul G. Gizzi and James K. Hanson dated May 13, 2019 re: Motions to Stay. Document filed by Securities and Exchange Commission.(Gizzi, Paul) (Entered: 05/13/2019)

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  • 05/10/2019
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  • (#11) MEMORANDUM OF LAW in Support re: #10 MOTION to Intervene . . Document filed by United States of America - S.D.N.Y.. (Attachments: #1 Exhibit Proposed Order)(Bell, Martin) (Entered: 05/10/2019)

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  • 05/10/2019
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  • (#10) MOTION to Intervene . Document filed by United States of America - S.D.N.Y..(Bell, Martin) (Entered: 05/10/2019)

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  • 05/10/2019
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  • (#9) NOTICE OF APPEARANCE by Martin Bell on behalf of United States of America, United States of America - S.D.N.Y.. (Bell, Martin) (Entered: 05/10/2019)

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  • 05/07/2019
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  • Mailed a copy of #8 Endorsed Letter, to Richard T. Diver 39 Niehaus Avenue #2 Little Ferry NJ 07643. (vba) (Entered: 05/07/2019)

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  • 05/06/2019
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  • (#8) ENDORSED LETTER addressed to Magistrate Judge Henry B. Pitman from Richard T. Diver dated 5/1/2019 re: requesting civil case be stayed until the resolution of the related criminal matter. ENDORSEMENT: Counsel for the SEC in 19 CV 2771 and counsel for the Government in 19 Mag. 3058 shall inform the Court by letter of their views on Mr. Diver's request. The Clerk of the Court shall mail a copy of this order to Mr. Diver. (Signed by Judge Loretta A. Preska on 5/6/2019) (jwh) Transmission to Docket Assistant Clerk for processing. (Entered: 05/06/2019)

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  • 05/06/2019
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  • (#7) WAIVER OF SERVICE RETURNED EXECUTED. Richard T. Diver waiver sent on 4/3/2019, answer due 6/3/2019. Document filed by Securities and Exchange Commission. (Gizzi, Paul) (Entered: 05/06/2019)

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  • 04/23/2019
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  • (#6) NOTICE OF APPEARANCE by James K. Hanson on behalf of Securities and Exchange Commission. (Hanson, James) (Entered: 04/23/2019)

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  • 03/29/2019
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  • (#5) ELECTRONIC SUMMONS ISSUED as to Richard T. Diver. (jgo) (Entered: 03/29/2019)

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  • 03/29/2019
  • ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Marc Peter Berger. The following case opening statistical information was erroneously selected/entered: County code XX Out of State; Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the County code has been modified to New York; the Fee Status code has been modified to wv (waived);. (jgo) (Entered: 03/29/2019)

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  • 03/29/2019
  • Case Designated ECF. (jgo) (Entered: 03/29/2019)

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  • 03/29/2019
  • Magistrate Judge Henry B. Pitman 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: #http://nysd.uscourts.gov/forms.php. (jgo) (Entered: 03/29/2019)

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  • 03/29/2019
  • CASE 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 #http://nysd.uscourts.gov/judges/District. 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 #http://nysd.uscourts.gov/ecf_filing.php. (jgo) (Entered: 03/29/2019)

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  • 03/28/2019
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  • (#4) REQUEST FOR ISSUANCE OF SUMMONS as to Richard T. Diver, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Gizzi, Paul) (Entered: 03/28/2019)

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  • 03/28/2019
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  • (#3) NOTICE OF APPEARANCE by Paul G. Gizzi on behalf of Securities and Exchange Commission. (Gizzi, Paul) (Entered: 03/28/2019)

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  • 03/28/2019
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  • (#2) CIVIL COVER SHEET filed. (Berger, Marc) (Entered: 03/28/2019)

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  • 03/28/2019
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  • (#1) COMPLAINT against Richard T. Diver. Document filed by Securities and Exchange Commission.(Berger, Marc) (Entered: 03/28/2019)

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