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United States Securities and Exchange Commission v. Collins et al

Docket 1:21-cv-05040, Illinois Northern District Court (Sept. 23, 2021)
Honorable LaShonda A. Hunt, presiding, Honorable Sunil R. Harjani
Securities, Commodities, Exchange
DivisionChicago
FlagsCASREF, HARJANI, PROTO, STAYED
Cause15:78m(a) Securities Exchange Act
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
Plaintiff United States Securities and Exchange Commission
Defendant James R. Collins
Defendant Robert F DiMeo
...
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United States Securities and Exchange Commission v. Desai

Docket 1:19-cv-07528, Illinois Northern District Court (Nov. 14, 2019)
Honorable Thomas M. Durkin, presiding
Securities, Commodities, Exchange
DivisionChicago
FlagsHARJANI, MIDP, PROTO
Cause15:77 Securities Fraud
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
Plaintiff United States Securities and Exchange Commission
Defendant Ashik Desai
Defendant Rishi Shah
...
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USA v. Desai

Docket 1:19-cr-00864, Illinois Northern District Court (Nov. 14, 2019)
Honorable Thomas M. Durkin, presiding
DivisionChicago
FlagsAPPEAL, HARJANI, ON BOND, PROTO, TERMED
DeadlineRelease of Transcript Restriction set for 4/10/2025.
Defendant Rishi Shah
Defendant Shradha Agarwal
Defendant Brad Purdy
...
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USA v. Filer et al

Docket 1:19-cr-00565, Illinois Northern District Court (July 11, 2019)
Honorable Steven C. Seeger, presiding
01/17/2025
... The Double Jeopardy Clause and collateral estoppel do not preclude the presentation of evidence on those topics, because none of those facts were necessarily decided in Filer's ...
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USA v. Zhao

Docket 1:18-cr-00024, Illinois Northern District Court (Dec. 18, 2018)
Honorable John J. Tharp, Jr, presiding
DivisionChicago
FlagsCOLE, TERMED
Defendant Jiongsheng "Jim" Zhao
Plaintiff USA
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United States of America ex rel. Gill, et al v. CVS Health Corp., et al

Docket 1:18-cv-06494, Illinois Northern District Court (Sept. 24, 2018)
Honorable Steven C. Seeger, presiding, Honorable Daniel P. McLaughlin
Statutory Actions - Other
DivisionChicago
FlagsCASREF, McLaughlin, PROTO
Cause28:1331 Federal Question
Case Type890 Statutory Actions - Other
Tags890 Statutory Actions, Other, 890 Statutory Actions, Other
DeadlineRolling production to be completed by 5/16/25 and a joint status report to be filed by 5/20/25.
Plaintiff Michael Gill
Plaintiff United States of America
Plaintiff State of California
...
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No. 81 MOTION by Plaintiff United States Securities and Exchange Commission for judgment as to Defendant ...

Document United States Securities and Exchange Commission v. Collins et al, 1:21-cv-05040, No. 81 (N.D.Ill. Mar. 10, 2025)
Plaintiff, U.S. Securities and Exchange Commission (“SEC”) respectfully moves for the entry of judgement against Defendant James R. Collins (“Defendant Collins”).
Defendant Collins has pleaded guilty to criminal conduct relating to certain matters alleged in the complaint in this action.
Specifically, in United States v. Collins et al., 2- cr-232 (N.D. IL, Valderrama, F.), on November 21, 2023, Defendant Collins pleaded guilty to one count of violating 18 U.S.C. § 1341 in a criminal case pending before Judge Valderrama and solely for purposes of computing his sentence only, stipulated to committing an additional offense of bank fraud in violation of 18 U.S.C. § 1344.
As to the non-monetary relief, Defendant Collins, has agreed to, among other things, permanent injunctions to not violate certain provisions of the federal securities laws and from serving as an officer or director of a public company.
Lastly, the SEC believes the current stay in this matter should remain in place until both defendants have been sentenced in their respective criminal cases as.
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Commodity Futures Trading Commission v. Zhao

Docket 1:18-cv-00620, Illinois Northern District Court (Jan. 28, 2018)
Honorable John F. Kness, presiding
Securities, Commodities, Exchange
DivisionChicago
FlagsGILBERT, MIDP, STAYED
Cause7:6(b) Federal Commodity Exchange Regulation
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
Plaintiff U.S. Commodity Futures Trading Commission
Defendant Jiongsheng Zhao
Intervenor United States of America
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