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570 results
Securities and Exchange Commission v. Rari Capital Inc. et al
Docket
2:24-cv-07967,
California Central District Court
(Sept. 18, 2024)
Judge Percy Anderson, presiding, Magistrate Judge Maria A. Audero
Securities, Commodities, Exchange
| Division | Los Angeles (Western Division) |
| Flags | ACCO, (MAAx), CLOSED, DISCOVERY, MANADR |
| Cause | 15:77 Securities Fraud |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Plaintiff | Securities and Exchange Commission |
| Defendant | RARI CAPITAL, INC. |
| Defendant | JAI BHAVNANI |
| ... |
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Securities and Exchange Commission v. NDB, Inc. et al
Docket
3:23-cv-04724,
California Northern District Court
(Sept. 14, 2023)
Judge Trina L Thompson, presiding, Magistrate Judge Kandis A. Westmore
Securities, Commodities, Exchange
| Division | San Francisco |
| Flags | ADRMOP, REFDIS, REFSET-DMR |
| Cause | 15:77 Securities Fraud |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Deadline | Dispositive Motion due by 4/22/2025. |
| Deadline | Docket Text: CLERK'S NOTICE SETTING ZOOM HEARING: Chief Magistrate Judge Donna M. Ryu will convene a Further Settlement Planning Call with counsel on 4/29/2025 09:30 AM Pacific Time per Docket No. 73., Judge Ryu will convene a further Zoom settlement planning call on 4/29/2025 at 9:30 AM Pacific Time.Digital Recording Time: Not RecordedFor Plaintiff: John Han |
| Plaintiff | Securities and Exchange Commission |
| Defendant | NDB, Inc. |
| Defendant | Nima Golsharifi |
| ... |
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Securities and Exchange Commission v. Swanberg
Docket
3:22-cv-04859,
California Northern District Court
(Aug. 25, 2022)
Judge William H. Orrick, presiding
Securities, Commodities, Exchange
| Division | San Francisco |
| Flags | ADRMOP |
| Cause | 15:77 Securities Fraud |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Deadline | Results: Plaintiff shall send a written demand by 5/15/2025 with a copy to Judge Ryu at . By 5/22/2025 |
| Deadline | Docket Text: NOTICE OF SETTLEMENT CONFERENCE AND SETTLEMENT CONFERENCE ORDER: Settlement Conference is set for 6/5/2025 10:00 AM Pacific Time in Oakland, - Videoconference Only before Chief Magistrate Judge Donna M. Ryu., Minute Entry for proceedings held before Chief Magistrate Judge Donna M. Ryu: Zoom planning call held on 3/18/2025 in advance of 6/5/2025 Zoom settlement conference at 10:00 AM Pacific Time. |
| Plaintiff | Securities and Exchange Commission |
| Defendant | Dale Swanberg |
| ... |
Securities and Exchange Commission v. Swanberg
Docket
5:22-cv-04859,
California Northern District Court
(Aug. 25, 2022)
Judge William H. Orrick, presiding
Securities, Commodities, Exchange
| Division | San Jose |
| Flags | ADRMOP |
| Cause | 15:77 Securities Fraud |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Deadline | Pretrial Conference set for 7/14/2025 02:00 PM and Jury Trial set for 8/11/2025 08:30 AM |
| Deadline | Dispositive Motions to be heard by 7/16/2025. |
| Plaintiff | Securities and Exchange Commission |
| Defendant | Dale Swanberg |
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Securities and Exchange Commission v. HeadSpin, Inc.
Docket
4:22-cv-00576,
California Northern District Court
(Jan. 28, 2022)
Judge Haywood S Gilliam, Jr, presiding
Securities, Commodities, Exchange
| Division | Oakland |
| Flags | ADRMOP, CLOSED |
| Cause | 15:77 Securities Fraud |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Plaintiff | Securities and Exchange Commission |
| Defendant | HeadSpin, Inc. |
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Securities and Exchange Commission v. Catenacci
Docket
1:21-cv-06718,
Illinois Northern District Court
(Dec. 17, 2021)
Honorable Mary M. Rowland, presiding
Securities, Commodities, Exchange
| Division | Chicago |
| Flags | TERMED, WEISMAN |
| Cause | 15:78m(a) Securities Exchange Act |
| Case Type | 850 Securities, Commodities, Exchange |
| Tags | 850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange |
| Plaintiff | Securities and Exchange Commission |
| Defendant | Daniel V.T. Catenacci |
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Securities and Exchange Commission v. Lachwani
Docket
5:21-cv-06554,
California Northern District Court
(Aug. 25, 2021)
Judge Charles R. Breyer,
presiding.
Securities, Commodities, Exchange
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Securities and Exchange Commission v. Lachwani
Docket
3:21-cv-06554,
California Northern District Court
(Aug. 25, 2021)
Judge Charles R. Breyer,
presiding.
Securities, Commodities, Exchange
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