This case was last updated from U.S. District Courts on 11/08/2019 at 07:25:14 (UTC).

State of New York et al v. United States Securities and Exchange Commission et al

Case Summary

On 09/09/2019 State of New York filed an Other - Administrative Procedure Act lawsuit against United States Securities and Exchange Commission. This case was filed in U.S. District Courts, New York Southern District Court. The Judges overseeing this case are Victor Marrero and Gabriel W. Gorenstein. The case status is Disposed - Other Disposed.
Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:19-CV-08365

  • Filing Date:

    09/09/2019

  • Case Status:

    Disposed - Other Disposed

  • Case Type:

    Other - Administrative Procedure Act

Judge Details

Presiding Judge

Victor Marrero

Referral Judge

Gabriel W. Gorenstein

 

Party Details

Plaintiffs

District of Columbia

Washington, DC 20001

State of Maine

Augusta, ME 04333-0006

State of Connecticut

Hartford, CT 06141

State of New Mexico

Santa Fe, NM 87501

State of New York

New York, NY 10005

State of Delaware

Wilmington, DE 19801

State of Oregon

Portland, OR 97201

State of California

San Francisco, CA 94102

Consolidated Plaintiffs

XY Planning Network, LLC

Ford Financial Solutions, LLC

Defendants

United States Securities and Exchange Commission

Walter "Jay" Clayton III

Attorney/Law Firm Details

Plaintiff Attorneys

Matthew Colangelo

Attorney at New York State Office of the Attorney General (28 Liberty)

28 Liberty Street, 15Th Floor

New York, NY 10005

Gregg D Bernstein

Attorney at Office of the Maine Attorney General

6 State House Station, Ste 6Th Floor

Augusta, ME 04333-0006

Joseph J. Chambers

Attorney at Office of The Attorney General (Ct)

55 Elm Street

Hartford, CT 06106

Jeffrey Adam Novack

Attorney at NYS Office of the Attorney General

28 Liberty Street

New York, NY 10005

Jillian Amy Lazar

Attorney at Delaware Department of Justice

820 N. French Street,

Willmington, DE 19801

Nathaniel Robertson Spencer-Mork

Attorney at California Office of Attorney General

455 Golden Gate Ave., Ste 11000

San Francisco, CA 94102

Amy Winn

Attorney at Office of The California Attorney General

1300 I Street

Sacramento, CA 95814

Consolidated Plaintiff Attorneys

Jonathan Ellis Taylor

Attorney at Gupta Wessler PLLC

1900 L. Street, Nw Suite 312

Washington, DC 20036

Deepak Gupta

Attorney at Gupta Wessler PLLC

1900 L Street, Nw, Suite 312

Washington, DC 20036

 

Court Documents

30 #1

Appeal Package

#30

#29

#28

#27

#26

#25

23 #2

Exhibit 2 (Defendants' letter to the Court dated September 23, 2019)

#23

4 #3

Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice

4 #2

Exhibit Certificate of Good Standing

#4

3 #3

Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice

3 #2

Exhibit Certificate of Good Standing

3 #1

Affidavit Affidavit in support of Motion to Admit Pro Hac Vice

#3

#2

#1

42 More Documents Available

 

Docket Entries

  • 10/08/2019
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  • Docket(#30) JUDGMENT: The Court, having entered a Decision and Order on September 27, 2019 dismissing the above-captioned consolidated actions for lack of subject matter jurisdiction, it is hereby: ORDERED that, for the reasons stated in the Opinion and Order, these consolidated actions are dismissed without prejudice to refiling or reinstating the actions; and IT IS FURTHER ORDERED that, in the event the Second Circuit determines it lacks jurisdiction to resolve Plaintiffs' petitions for review pursuant to 15 U.S.C. 78y, Plaintiffs may refile these actions if the Second Circuit decides not to transfer the petitions to the District Court pursuant to 28 U.S.C. 1631. (Signed by Judge Victor Marrero on 10/8/2019) (Attachments: #1 Appeal Package)Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM(mro) (Entered: 10/09/2019)

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  • 10/08/2019
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  • Docket(#29) ENDORSED LETTER addressed to Judge Victor Marrero from Letitia James by Jeffrey A. Novack dated 10/8/2019 re: We write, on behalf of all Plaintiffs in the above-referenced consolidated actions, to request that the Court enter the attached Proposed Judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. So ordered. (Signed by Judge Victor Marrero on 10/8/2019) Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM. cc: (by email). (rjm) (Entered: 10/08/2019)

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  • 09/27/2019
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  • Docket(#28) AFFIDAVIT OF SERVICE. All Defendants. Service was made by Mail. Document filed by Ford Financial Solutions, LLC, XY Planning Network, LLC. (Gupta, Deepak) (Entered: 09/27/2019)

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  • 09/27/2019
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  • Docket(#27) DECISION AND ORDER: For the foregoing reasons, it is hereby ORDERED that this action is DISMISSED on the Court's own motion for lack of subject-matter jurisdiction and in favor of litigation pursuant to the petitions tor review filed in the United States Court of Appeals for the Second Circuit. (Signed by Judge Victor Marrero on 9/26/2019) (mro) (Entered: 09/27/2019)

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  • 09/26/2019
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  • Docket(#26) NOTICE OF APPEARANCE by Jillian Amy Lazar on behalf of State of Delaware. (Lazar, Jillian) (Entered: 09/26/2019)

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  • 09/24/2019
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  • Docket(#25) ENDORSED LETTER addressed to Judge Victor Marrero from Michael Conley, Jeffrey Berger, Daniel Matro dated 9/23/2019 re: Defendant's response to Plaintiff's letter requesting a pre-motion conference. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 9/24/2019) (ne) (Entered: 09/24/2019)

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  • 09/24/2019
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  • Docket(#23) LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Matthew Colangelo dated September 24, 2019 re: transmission of prior correspondence to the Court in response to Judge Marrero's September 23 Order of Reference.. Document filed by State of New York. (Attachments: #1 Exhibit 1 (Plaintiffs' letter to the Court dated September 20, 2019), #2 Exhibit 2 (Defendants' letter to the Court dated September 23, 2019))(Colangelo, Matthew) (Entered: 09/24/2019)

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  • 09/24/2019
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  • Docket(#22) NOTICE OF APPEARANCE by Jeffrey Adam Novack on behalf of State of New York. (Novack, Jeffrey) (Entered: 09/24/2019)

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  • 09/23/2019
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  • Docket(#21) ENDORSED LETTER addressed to Judge Victor Marrero from Matthew Colangelo dated 9/20/19 re: Plaintiffs write pursuant to Fed. R. Civ. P. 16(b) and Rule 11.A of this Court's Individual Practices to request a pre-motion conference to discuss their anticipated motion for issuance of a scheduling order in this action. ENDORSEMENT: The parties are directed to address the matter set forth above to Magistrate Judge Gabriel Gorenstein, to whom this dispute has been referred for resolution, as well as for supervision of remaining pretrial proceedings, establishing case management schedules as necessary, and settlement. (Signed by Judge Victor Marrero on 9/23/2019) Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM(mro) (Entered: 09/23/2019)

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  • 09/23/2019
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  • Docket(#20) ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Gabriel W. Gorenstein. (Signed by Judge Victor Marrero on 9/23/2019) (mro) (Entered: 09/23/2019)

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18 More Docket Entries
  • 09/10/2019
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  • Docket(#5) REQUEST FOR ISSUANCE OF SUMMONS as to United States Securities and Exchange Commission, re: #1 Complaint,. Document filed by District of Columbia, State of California, State of Connecticut, State of Delaware, State of Maine, State of New Mexico, State of New York, State of Oregon. (Colangelo, Matthew) (Entered: 09/10/2019)

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  • 09/10/2019
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  • Docket>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for Amy Winn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17573981. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 09/10/2019)

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  • 09/10/2019
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  • Docket(#4) MOTION for Amy Winn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17573981. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of California. (Attachments: #1 Affidavit Affidavit in support of Motion to Admit Pro Hac Vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice)(Winn, Amy) (Entered: 09/10/2019)

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  • 09/10/2019
  • DocketCase Designated ECF. (pne) (Entered: 09/10/2019)

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  • 09/10/2019
  • DocketMagistrate Judge Gabriel W. Gorenstein 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. (pne) (Entered: 09/10/2019)

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  • 09/10/2019
  • DocketCASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Victor Marrero. 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. (pne) (Entered: 09/10/2019)

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  • 09/10/2019
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  • Docket>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Nathaniel Spencer-Mork to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17568234. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 09/10/2019)

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  • 09/09/2019
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  • Docket(#3) MOTION for Nathaniel Spencer-Mork to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17568234. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of California. (Attachments: #1 Affidavit Affidavit in support of Motion to Admit Pro Hac Vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice)(Spencer-Mork, Nathaniel) (Entered: 09/09/2019)

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  • 09/09/2019
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  • Docket(#2) CIVIL COVER SHEET filed. (Colangelo, Matthew) (Entered: 09/09/2019)

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  • 09/09/2019
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  • Docket(#1) COMPLAINT against United States Securities and Exchange Commission, Walter "Jay" Clayton III. (Filing Fee $ 400.00, Receipt Number ANYSDC-17567320)Document filed by State of New Mexico, District of Columbia, State of New York, State of Delaware, State of Connecticut, State of Oregon, State of California, State of Maine.(Colangelo, Matthew) (Entered: 09/09/2019)

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