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Filings / Court Documents

Receiver Reports:

Receiver's Interim Status Report For Third Quarter 2019

 

Court Documents:

Civil Minutes (Filed October 8, 2019, DOC 532)

Reply To The SRA Funds Investor Group's Response To The Receiver's Motion To: (1) Employ Miller Kaplan As Tax Advisor (2) Employ Schinner & Shain LLP As Securities Counsel; And (3) For Instructions (Filed October 3, 2019, DOC 528)

Joint Status Report (Filed October 3, 2019, DOC 527)

Receiver's Interim Status Report For Third Quarter 2019 (Filed October 3, 2019, DOC 526)

The SRA Funds Investor Group's Response To The Receiver's Motion To Employ Professionals And For Instructions From The Court (ECF No. 516) (Filed September 20, 2019, DOC 519)

Exhibit A - The SRA Funds Investor Group's Response To The Receiver's Motion To Employ Professionals And For Instructions From The Court (ECF No. 516) (Filed September 20, 2019, DOC 519-1)

Stipulation And Order (1) Modifying Briefing And Hearing Schedule On Receiver's Motion To Employ Professionals And For Instructions And (2) Rescheduling Case Management Conference (Filed August 23, 2019, DOC 518)

Motion By Receiver Kathy Bazoian Phelps To: (1) Employ Miller Kaplan As Tax Advisor (2) Employ Schinner & Shain LLP As Securities Counsel; And (3) For Instructions (Filed August 15, 2019, DOC 516

Notice Of Motion And Motion By Receiver Kathy Bazoian Phelps To (1) Employ Miller Kaplan As Tax Advisor (2) Employ Schinner & Shain LLP As Securities Counsel; And (3) For Instructions (Filed August 15, 2019, DOC 516-1)

Declaration Of Receiver Kathy Bazoian Phelps In Support Of Motion To: (1) Employ Miller Kaplan As Tax Advisor (2) Employ Schinner & Shain LLP As Securities Counsel; And (3) For Instructions (Filed August 15, 2019, DOC 516-2)

Proposed Order On Motion By Receiver Kathy Bazoian Phelps To: (1) Employ Miller Kaplan As Tax Advisor (2) Employ Schinner & Shain LLP As Securities Counsel; And (3) For Instructions (Filed August 15, 2019, DOC 516-3)

Certificate Of Service On All Interested Parties (Filed August 15, 2019, DOC 516-4)

Order Approving Second Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From April 1, 2019 Through June 30, 2019 And For Claims Agent Stretto From June 18, 2018 Through February 28, 2019 (Filed August 13, 2019, DOC 515)

Order As Modified Granting Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 To (1) Excuse Deadline Re Tax Opinion; And (2) Shorten Time For Notice On Motion To Employ Professionals And For Instructions (Filed August 13, 2019, DOC 514)

Second Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From April 1, 2019 Through June 30, 2019 And For Claims Agent Stretto From June 18, 2018 Through February 28, 2019 (Filed August 9, 2019, DOC 513)

Declaration Of Kathy Bazoian Phelps In Support Of Second Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From April 1, 2019 Through June 30, 2019 And For Claims Agent Stretto From June 18, 2018 Through February 28, 2019 (Filed August 9, 2019, DOC 513-1)

Declaration Of Lesley Anne Hawes In Support Of Second Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From April 1, 2019 Through June 30, 2019 And For Claims Agent Stretto From June 18, 2018 Through February 28, 2019 (Filed August 9, 2019, DOC 513-2)

Proposed Order Approving Second Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From April 1, 2019 Through June 30, 2019 And For Claims Agent Stretto From June 18, 2018 Through February 28, 2019 (Filed August 9, 2019, DOC 513-3)

Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 To (1) Excuse Deadline Re Tax Opinion; And (2) Shorten Time For Notice On Motion To Employ Professionals And For Instructions (Filed August 9, 2019, DOC 512)

Declaration Of Kathy Bazoian Phelps In Support Of Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 To (1) Excuse Deadline Re Tax Opinion; And (2) Shorten Time For Notice On Motion To Employ Professionals And For Instructions (Filed August 9, 2019, DOC 512-1)

Order Granting Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 To (1) Excuse Deadline Re Tax Opinion; And (2) Shorten Time For Notice On Motion To Employ Professionals And For Instructions (Filed August 9, 2019, DOC 512-2)

Order Granting Amended Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Rule 7-11 For Order Approving Settlement With Pradeep Sindhu (Filed July 30, 2019, DOC 511)

Amended Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 For Order Approving Settlement With Pradeep Sindhu (Filed July 24, 2019, DOC 510)

Proposed Order Granting Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 For Order Approving Settlement With Pradeep Sindhu (Filed July 22, 2019, DOC 509-1)

Civil Minutes (Filed June 27, 2019, DOC 503)

Stipulation and Order Fixing The Allowed Amount Of Progresso's Unsecured Creditor Claim (Filed June 27, 2019, DOC 502)

Order Granting Motion To Disallow Certain Claims (Filed June 27, 2019, DOC 501)

Plaintiff Securities and Exchange Commission's Response To Investor Group's Objections To Receiver's Revised Distribution Plan; Supporting Declaration Of John S. Yun (Filed June 25, 2019, DOC 500)

Amended Order Granting The Former Receiver's Application For An Order To Pay Its And Its' Counsel's Fees For The Period January 1 To March 31, 2019 (Filed June 24, 2019, DOC 499)

The SRA Funds Investor Group's Response To The Successor Receiver's Proposed Plan Of Distribution (ECF NOS. 487-488) (Filed June 20, 2019, DOC 496)

Stipulation And Proposed Order Fixing The Allowed Amount Of Progresso's Unsecured Creditor Claim (Filed June 7, 2019, DOC 490)

Comments Of Receiver Kathy Bazoian Phelps Re Distribution Plan (Filed June 6, 2019, DOC 488)

Receiver's Proposed Plan Of Distribution (Filed June 6, 2019, DOC 487)

Objection To Plaintiff Securities And Exchange Commission's Revised Distribution Plan (Filed June 6, 2019, DOC 486)

Order Approving First Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Successor Receiver And Counsel From The Inception Of The Successor Receiver's Activities Through March 31, 2019 (Filed June 6, 2019, DOC 485)

First Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Succesor Receiver And Counsel From The Inception Of The Successor Receiver's Activites Through March 31, 2019 (Filed May 28, 2019, DOC 482)

Declaration Of Kathy Bazoian Phelps In Support Of First Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Successor Receiver And Counsel From The Inception Of The Successor Receiver's Activities Through March 31, 2019 (DOC 483)

Declaration Of Lesley Anne Hawes In Support Of First Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expensees For The Successor Receiver And Counsel From The Inception Of The Successor Receiver's Activities Through March 31, 2019 (DOC 484)

[Proposed] Order Approving First Interim Administrative Motion For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees And Expenses For The Successor Receiver And Counsel From The Inception Of The Successor Receiver's Activities Through March 31, 2019 (DOC 484-1)

Proof Of Service (DOC 484-2)

Receiver’s Notice Of Motion And Motion To Disallow Certain Claims; Memorandum Of Points And Authorities (Filed May 23, 2019, DOC 481)

Declaration Of Kathy Bazoian Phelps In Support Of Receiver’s Motion To Disallow Certain Claims (DOC 481-1)

Proposed Order Regarding Receiver’s Notice Of Motion And Motion To Disallow Certain Claims; Memorandum Of Points And Authorities (DOC 481-2)

Order Granting The Former Receiver's Application For An Order To Pay Its And Its' Counsel's Fees For The Period October 1 To December 31, 2018 (Filed April 25, 2019, DOC 480) 

Order Granting Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 For Order Approving Employment Of: (1) Diamond McCarthy LLP, As General Counsel; (2) Grobstein Teeple LLC As Accountants; And (3) Stretto As Claims Agent (Filed March 20, 2019, DOC 476) 

Administrative Motion By Receiver Kathy Bazoian Phelps Pursuant To Local Civil Rule 7-11 For Order Approving Employment Of: (1) Diamond McCarthy LLP, As General Counsel; (2) Grobstein Teeple LLC As Accountants; And (3) Stretto As Claims Agent (Filed March 18, 2019, DOC 471) 

[Proposed] Order Granting Administrative Motion (DOC 471-1) 

Declaration Of Lesley Anne Hawes (DOC 472) 

Exhibit 1 (DOC 472-1) 

Exhibit 2 (DOC 472-2) 

Declaration Of Howard B. Grobstein (DOC 473)  

Exhibit 3 (DOC 473-1)  

Exhibit 4 (DOC 473-2) 

Declaration Of Kathy Bazoian Phelps  (DOC 474) 

Exhibit 5 (DOC 474-1) 

Plaintiff Securities And Exchange Commission's Revised Order Appointing Receiver (Filed February 28, 2019, DOC 469) 

Notice of Lodging of Receiver's Quarterly Report To The Court For The Quarter Ended December 31, 2018 (Filed February 1, 2019, DOC 451)

Plaintiff Securities And Exchange Commission's Request With Proposed Order For Extension Of Filing Deadline During Furlough of Plaintiff's Counsel (Filed December 29, 2018, DOC 446)

Plaintiff Security And Exchange Commission's Request With Proposed Order For Extension Of Filing Deadline During Furlough Of Plaintiff's Counsel (Filed December 27, 2018, DOC 444)

Order Re Proposed Distribution Plans (Filed December 20, 2018, DOC 443)

Status Update Re: Susan Uecker On Behalf Of SRA Funds Investor Group (Filed December 18, 2018, DOC 442)

Civil Minutes - December 13, 2018 (Filed December 13, 2018, DOC 437)

The SRA Funds Investor Group's Response To The Securities And Exchange Commission's December 10, 2018 Filing (ECF 435) (Filed December 11, 2018, DOC 436

Plaintiff Securities And Exchange Commission's Brief In Response To The SRA Investor Group's Objections To The Amended Joint Distribution Plan And Revised Order Appointing Receiver (Filed December 10, 2018, DOC 435)

Non-Party Telesoft Capital, LLC's Joinder To The SRA Funds Investor Group's (1) Objections To The Amended Joint Distribution Plan Filed By The SEC And The Receiver On 11/21/18; (2) Objections To The SEC's Proposed New Receiver And Proposed Revised Order Appointing Receiver; And (3) Renewed Application For Entry Of The Investor Group's Proposed Alternative Distribution Plan (Filed December 10, 2018, DOC 434)

The SRA Funds Investor Group's (1) Objections To The Amended Joint Distribution Plan Filed By The SEC And The Receiver On 11/21/18; (2) Objections To The SEC's Proposed New Receiver And Proposed New Receiver And Proposed Revised Order Appointing Receiver; And (3) Renewed Application For Entry Of The Investor Group's Proposed Alternative Distribution Plan (Filed December 7, 2018, DOC 432)

Supplemental Joint Status Report (Filed December 6, 2018, DOC 431)

Interested Party Progresso Venturs, LLC's Responses And Objections To SEC And Receiver's Proposed Amendment To The Joint Distribution Plan (Filed December 6, 2018, DOC 430)

Objection Of Interested Party Global Generation Group, LLC To Amended Proposed Joint Plan of Distribution (Filed December 6, 2018, DOC 429

Plaintiff Securities And Exchange Commission's Notice Of Filing Of Amended Proposed Joint Distribution Plan And Amended Order Appointing Receiver (Filed November 21, 2018, DOC 420)

Notice Of Lodging Of Receiver's Quarterly Report To The Court For The Quarter Ended September 30, 2018 (Filed October 31, 2018, DOC 418

Civil Minutes - October 23, 2018 (Filed October 23, 2018, DOC 413)

Order Re Global Generation's Status As Creditor Or Investor (Filed October 10, 2018, DOC 409)

Exhibit C - Proposed Joint Plan of Distribution (Filed September 28, 2018, DOC 408-4)

Exhibit B - The SRA Funds Investor Group's Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 408-3)

Exhibit A - Proposed Joint Plan of Distribution (Filed September 28, 2018, DOC 408-2)

Declaration of Karen A. Sebaski In Support Of Interested Party Progresso Ventures, LLC's Responses And Objections To Competing Distribution Plans (Filed September 28, 2018, DOC 408-1)

Interested Party Progresso Ventures, LLC's Responses And Objections To Competing Distribution Plans (Filed September 28, 2018, DOC 408)

Declaration of Jonathan K. Levine In Support Of The SRA Funds Investor Group's Proposed Alternative Plan of Distribution (Filed September 28, 2018, DOC 407-2)

The SRA Funds Investor Group's Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 407-1)

The SRA Funds Investor Group's Brief In Support Of Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 407)

Exhibit A - The SRA Funds Investor Group's Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 406-2)

Declaration of Theodore A. Griffinger, Jr. In Support of Global Generation Group, LLC's Objection To The SRA Funds Investor Group's Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 406-1)

Global Generation Group, LLC's Objections To The SRA Funds Investor Group's Proposed Alternative Distribution Plan (Filed September 28, 2018, DOC 406)

Attachment A - Proposed Joint Plan of Distribution (Filed September 28, 2018, DOC 404-1)

Plaintiff Securities And Exchange Commission's Brief In Support Of The Proposed Amendments To The Joint Distribution Plan And In Opposition To The SRA Investor Group's Amended Alternative Plan (Filed September 28, 2018, DOC 404)

The SRA Funds Investor Group's Notice Of Exchange Of Proposed Alternative Distribution Plan (Filed August 30, 2018, DOC 401)

Plaintiff's Securities And  Exchange Commission's Notice Of Exchange Of Amended Proposed Joint Distribution Plan (Filed August 30, 2018, DOC 400)

The SRA Funds Investor Group's Objection To Letter Filed By John Syron On Behalf Of Interested Party Global Generation Group LLC [DKT 398] (Filed August 24, 2018, DOC 399)

Letter from Global Generation Group To The U.S. District Court Norther District State of California (Filed August 24, 2018, DOC 398)

The SRA Funds Investor Group's Supplemental Brief Re Global Generation Pursuant To The Court's August 16, 2018 Minute Order [DKT. 395] (Filed August 23, 2018, DOC 397)

Global Generation Group LLC's Response To The Court's August 16, 2018 Order (Court Docket No. 395) (Filed August 23, 2018, DOC 396)

Civil Minutes - August 16, 2018 (Filed August 16, 2018, DOC 395)

Supplemental Joint Status Report (Filed August 9, 2018, DOC 392)

Notice of Lodging of Receiver's Quarterly Report To The Court For The Quarter Ended June 30, 2018 (Filed August 2, 2018, DOC 386)

Order Re SEC's Motion For Order Restablishing Shortfalls And Request For Recognition Of Claim By Progresso Ventures, LLC And Global Generation Group LLC (Filed July 30, 2018, DOC 385)

Interest Party Progresso Ventures, LLC's Supplemental Brief Re Classification Of Its Investor And Creditor Claims (Per D.E. 379) (Filed July 24, 2018, DOC 384)

The SRA Funds Investor Group's Supplemental Brief In Response To The Court's July 17, 2018 Order [DKT. 379] (Filed July 24, 2018, DOC 383)

Global Generation Group, LLC's Response To The Court's July 17, 2018 Order (Docket No. 379) (Filed July 24, 2018, DOC 382)

Plaintiff Securities And Exchange Commission's Supplemental Brief Regarding Progresso Ventures, LLC's And Global Generation Group, LLC's Claims (Filed July 24, 2018, DOC 381)

Order Re: Progresso Ventures, LLC And Global Generation Group, LLC's Claims (Filed July 17, 2018, DOC 379)

Amended Civil Minutes - July 16, 2018 (Filed July 16, 2018, DOC 375)

Declaration Of Eduardo Saverin (Filed July 10, 2018, DOC 373)

(1) Interested Party Progresso Ventures, LLC's Reply In Further Support Re: Classification Of Its Investor And Creditor Claims (Filed July 10, 2018, DOC 372)

Reply Of Interest Party Global Generation Group, LLC To The SRA Funds Investor Group's Consolidated Response (Filed July 10, 2018, DOC 368)

Plaintiff Security And Exchange Commission's Reply Brief In Support Of Motion For Order Establishing Shortfalls (Filed July 10, 2018, DOC 367)

Supplemental Joint Status Report (Filed July 9, 2018, DOC 365)

Declaration Of Elizabeth C. Pritzker In Support Of The SRA Funds Investor Group's Consolidated Response To: (1) Interested Party Progresso Ventures, LLC's Claim Filing; (2) Interested Party Global Generation Group, LLC's Claim Filing; And (3) Plaintiff Securities And Exchange Commission's Motion For Order Establishing Shortfalls (Filed July 6, 2018, DOC 363)

Interested Party Global Generation Group, LLC's Response To Plaintiff's Motion For Order Establishing Shortfalls (Filed July 6, 2018, DOC 361)

Declartation of Karen A. Sebaski Filed In Support Of Interested Party Progresso Ventures, LLC's  Motion Re Classification Of Its Investor And Creditor Claims (Filed June 29, 2018, DOC 360-1)

Supplemental Declaration Of John Syron (Filed June 29, 2018, DOC 359-1)

Declaration of Michael Maidy In Support of Receiver's Accountant's First Fee And Expense Application For The Period November 1, 2017 To April 30, 2018 (Filed June 29, 2018, DOC 358-1)

Exhibit A And Declaration of Tony Stearns In Support Of Plaintiff's Motion Establishing Shortfalls (Filed June 29, 2018, DOC 356-1 and 356)

Exhibit 1 And Declaration Of Ellen Chen In Support Of Plaintiff's Motion Establishing Shortfalls (Filed June 29, 2018, DOC 355-1 and 355)

Exhibit 1, 2, A, B And Supplemental Declaration Of M. Monica IP, CPA In Support Of Plaintiff's Motion Establishing Shortfalls (Filed June 29, 2018, DOC 354-1, 354-2, 354-3, 354-4 and 354)

[Proposed] Order Granting Plaintiff Securities And Exchange Commission's Motion For Order Establishing Shortfalls And Plaintiff Securites And Exchange Commission's Motion For Order Establishing Shortfalls (Filed June 29, 2018, DOC 353-1 and 353)

Amended Civil Minutes - June 22, 2018 (Filed June 27, 2018, DOC 352)

Civil Minutes - June 22, 2018 (Filed June 25, 2018, DOC 351)

Progresso Ventures, LLC's Case Management Conference Statement (Filed June 20, 2018, DOC 347)

The SRA Funds Investor Group's Case Management Conference Statement (Filed June 15, 2018, DOC 343)

Joint Supplemental Status Report (Filed June 15, 2018, DOC 342)

Notice of Lodging Of The Receiver's Claims Progress Report As Of June 14, 2018 (Filed June 14, 2018, DOC 340)

Notice of Lodging Of Change In Name Of Law Firm Acting as Local New York Counsel To Receiver (Filed June 11, 2018, DOC 335)

Abstract of Judgment Notice (Filed May 22, 2018, DOC 334)

Notice Of Lodging Of Receiver's Quarterly Report To The Court For The Quarter Ended March 31, 2018 (Filed May 1, 2018, DOC 333)

Civil Minutes - April 19, 2018 (Filed April 20, 2018, DOC 332)

Withdrawal Of Counsel - Global Generations (Filed April 18, 2018, DOC 331)

Clerk's Notice Reminder (Entered April 18, 2018)

Clerks's Notice Setting (Entered April 16, 2018)

The SRA Funds Investor Group's Response To The Receiver's April 11, 2018 Expedited Application Re Claims Administrator's Fees And Work (Filed April 16, 2018, DOC 328)

Clerk's Notice (Entered April 11, 2018)

Certificate Of Service (Filed April 11, 2018, DOC 326-3)

[Proposed] Order Approving Receiver's Application To Pay Claims Administrator And Approval For Further Work (Filed April 11, 2018, DOC 326-2)

Declaration Of Peter Hartheimer In Support Of Administrative Application For Approval Of Claims Administrator's Fees And Additional Work (Filed April 11, 2018, DOC 326-1)

Expedited Application Under L.R. 7-11 For The Approval Of Claims Administrator's Fees And Additional Work (Filed April 11, 2018, DOC 326)

Transcript Order - February 28, 2018 Hearing (Filed March 28, 2018, DOC 324)

Notice Of Lodging Of Receiver's Claims Process Progress Report (Filed March 21, 2018, DOC 319)

Exhibit B - Plaintiff Securities And Exchange Commission's Brief In Support Of Its Proposed Amendments To Joint Distribution Plan (Filed March 15, 2018, DOC 317-2)

Exhibit A - Plaintiff Securities And Exchange Commission's Brief In Support Of Its Proposed Amendments To Joint Distribution Plan (Filed March 15, 2018, DOC 317-1)

Plaintiff Securities And Exchange Commission's Brief In Support Of Its Proposed Amendments To Joint Distribution Plan (Filed March 15, 2018, DOC 317)

[Proposed] Order Granting The Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 To Pay The Receiver And His Counsel's Fees For The Period October 1, 2017 To December 31, 2017 (Filed March 13, 2018, DOC 315)

Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees For The Period October 1 To December 31, 2017, For The Receiver And Counsel (Filed February 28, 2018, DOC 314)

Stipulation And Order To Extend Deadlines For Filing Proposed Distribution Plan Amendments And Objections (Filed February 26, 2018, DOC 313)

Stipulation And Order To Extend Deadlines For Filing Proposed Distribution Plan Amendments And Objections (Filed February 26, 2018, DOC 312)

[Proposed] Final Judgment Of Permanent Injunctions And Other Equitable Relief Against Defendant Saddle River Advisors, LLC (Filed February 12, 2018, DOC 311)

Civil Minutes - February 8, 2018 (Filed February 9, 2018, DOC 309)

Plaintiff Securities And Exchange Commission's Request And Proposed Oder To Allow Telephonic Appearance Of Counsel From The New York Regional Office (Filed February 9, 2018, DOC 308)

Plaintiff Securities And Exchange Commision's Request And Proposed Order To Allow Telephonic Appearance Of Counsel From The New York Regional Office (Filed February 2, 2018, DOC 307)

Notice Of Lodging Of Receiver's Quarterly Report To The Court For The Quarter Ended December 31, 2017 (Filed January 31, 2018, DOC 306)

Supplemental Joint Status Report (Filed January 31, 2018, DOC 305)

[Proposed] Order Granting The Receiver's Request For The Payment Of Local Counsel Fees For The Period October 2016 To November 2017 (Filed January 25, 2018, DOC 304)

[Proposed] Order Granting The Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 To Pay The Receiver And His Counsel's Fees For The Period July 1, 2017 To September 30, 2017 (Filed January 25, 2018, DOC 303)

Consent Of Defendant SRA Management Associates, LLC And Relief Defendants SRA I, LLC, SRA II, LLC clear Sailing Group IV, LLC And Clear Sailing Group V, LLC To Entry Of Final Judgment (Filed January 16, 2018, DOC 298)

Letter From Donald R. Harivel (Filed January 8, 2018, DOC 299)

Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees For The Period July 1 To September 30, 2017, For The Receiver Counsel (Filed December 26, 2017, DOC 296)

[Proposed] Final Judgment Of Permanent Injunctions And Other Relief Against Defendant Frank Gregory Mazzola And Relief Defendant Michele J. Mazzola (Filed December 22, 2017, DOC 295)

[Proposed] Final Judgment Of Permanent Injunctions And Other Relief Against Defendant John V. Bivona And Relief Defendant Anne Bivona (Filed December 22, 2017, DOC 294)

Plaintiff Securities And Exchange Commission's Reply Regarding Entry Of Final Judgments (Filed December 22, 2017, DOC 293)

The SRA Funds Investor Group's Response To The Proposed Entry Of Final Judgments Against Certain Defendants And Relief Defendants (Filed December 21, 2017, DOC 292)

Receiver's Motion For Approval Of Fees And Expenses Of Local Counsel Retained By The Receiver For The Period October 2016 To November 2017 (Filed December 20, 2017, DOC 291)

Receiver's Motion For Approval Of Fees And Expenses Of Local Counsel Retained By The Receiver For The Period October 2016 To November 2017 (Filed December 20, 2017, DOC 290)

Order To Interested Parties Regarding Proposed Entry Of Final Judgment (Filed December 19, 2017, DOC 289)

[Proposed] Order Granting The Receiver's Administrative Application Pursuant To L.R. 7-11 For The Use Of A Publication Notice Of Claim Procedure And Cut-Off Date (Filed December 18, 2017, DOC 288)

Consent Of Defendant Saddle River Advisors, LLC To Entry Of Final Judgment (Filed December 15, 2017, DOC 287)

Consent Of Relief Defendant Michele J. Mazzola To Entry Of Final Judgment (Filed December 15, 2017, DOC 286)

Consent Of Relief Defendant Anne Bivona To Entry Of Final Judgment (Filed December 15, 2017, DOC 285)

Receiver's Application Pursuant To L.R. 7-11 For Approval Of Print Media Notification Of Claim Cut-Off Date (Filed December 14, 2017, DOC 284)

Order Granting The Receiver's Administrative Application Pursuant To L.R. 7-11 For The Retention Of A Claims Administrator (Filed December 7, 2017, DOC 283)

Receiver's Application Pursuant To Local Rule 7-11 For The Retention Of A Claims Administrator (Filed December 7, 2017, DOC 282)

[Proposed] Order Granting The Receiver's Administrative Application For The Retention Of An Independent Investment Banker (Filed December 1, 2017, DOC 281)

Receiver's Unopposed Application Pursuant To Local Rule 7-11 For The Retention Of An Independent Investment Banker (Filed November 30, 2017, DOC 280)

Order Approving Revised Claim Form (Filed November 22, 2017, DOC 279)

Notice Of Lodging Of Court Approved Claim Form (Filed November 21, 2017, DOC 278)

Transcript Order For Proceedings Held On  November 16, 2017 (Filed November 17, 2017, DOC 276)

Civil Minutes - November 16, 2017 (Filed November 17, 2017, DOC 275)

Plaintiff Securities And Exchange Commission's Request And Proposed Order To Allow Telephonic Appearance Of Counel From New York Regional Office (Filed November 14, 2017, DOC 274)

Certificate Of Service (Filed November 14, 2017, DOC 273)

Order Regarding November 16, 2017 Status Congerence And Proposed Claim Form (Filed November 14, 2017, DOC 272)

Notice Of Lodgin Of Receiver's Quarterly Report To The Court For The Quarter Ended September 30, 2017 (Filed November 9, 2017, DOC 271)

Certificate Of Service (Filed November 9, 2017, DOC 270)

Plaintiff Securities And Exchange Commission's Request And Proposed Order To Allow Telephonic Appearance Of Counsel From The New York Regional Office (Filed November 9, 2017, DOC 269)

Supplemental Joint Status Report (Filed November 9, 2017, DOC 268)

Receiver's Reply To SRA Group's Response To Second Interim Fee Application (Filed November 2, 2017, DOC 266)

Certificate Of Service (Filed November 2, 2017, DOC 265-1)

Notice Of Lodging Of Proposed Claim Form (Filed November 2, 2017, DOC 265)

The SRA Funds Investor Group's Response To The Receiver's October 19, 2017 Administrative Fee Application (Filed October 23, 2017, DOC 263)

Certificate Of Service (Filed October 19, 2017, DOC 262-4)

[Proposed] Order Granting The Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 To Pay The Receiver And His Counsels Fees For The Period April 1, 2017 To June 30, 2017 (Filed October 19, 2017, DOC 262-3)

Declaration Of Peter Hartheimer In Support Of Miscellaneous Administrative For an Order Pursuant To Local Rule 7-11 To Pay Fees (Filed October 19, 2017, DOC 262-2)

Declaration Of John W. Cotton In Support Of Miscellaneous Administrative For An Order Pursuant To Local Rule 7-11 To Pay Fees (Filed October 19, 2017, DOC 262-1)

Receiver's Administrative Application For An Order Pursuant To Local Rule 7-11 For The Approval Of Fees For April 1, 2017 To June 30, 2017 For The Receiver And Counsel (Filed October 19, 2017, DOC 262)

[Proposed] Stipulation And Protective Order Concering The Non-Disclosure Of Certain Confidential Information (Filed October 6, 2017, DOC 261)

[Proposed] Stipulation And Protective Order Concerning The Non-Disclosure Of Certain Confidential Information (Filed October 6, 2017, DOC 260)

Transcript Order For Proceedings Held On September 28, 2017 (Filed October 2, 2017, DOC 258)

Transcript Order For Proceedings Held On September 28, 2017 (Filed September 29, 2017, DOC 257)

Civil Minutes - September 28, 2017 (Filed September 29, 2017, DOC 256)

Letter from Donald R. Harivel Regarding 213 (Filed September 27, 2017, DOC 255)

Certficate Of Service (Filed September 27, 2017, DOC 253)

Plaintiff Securities And Exchange Commission's Submission Of Additioinal Information In Support Of Joint Motion For Approval Of The Proposed Joint Distribution Plan (Filed September 27, 2017, DOC 252)

Exhibit A - The SRA Funds Investor Group's Response To The Court's September 22, 2017 Order (Filed September 27, 2017, DOC 251-2)

Declaration Of Josua Cilano In Response To Court's September 22, 2017 Order (Filed September 27, 2017, DOC 251-1)

The SRA Funds Investor Group's Response To The Court's September 22, 2017 Order (Filed September 27, 2017, DOC 251)

Civil Minutes - September 27, 2017 (Filed September 27, 2017, DOC 250)

Certificate Of Service (Filed September 27, 2017, DOC 249-1)

Notice Of Lodging Of Receiver's Response To Court's Order Of September 22, 2017, Requesting The Submission Of Additional Information In Support Of Joint Motion For Approval Of The Proposed Distribution Plan (Filed September 27, 2017, DOC 249)

Order Requiring Parties To Submit Additional Information And Requiring Joshua Cilano To Respond (Filed September 22, 2017, DOC 247)

Order Regarding Plaintiff SEC And Receiver's Request For Preliminary Findings Related To Proposed Joint Distribution Plan (Filed September 13, 2017, DOC 246)

Declaration Of John Syron In Support Of Global Generation Group, LLC And Benchmark Capital, LLC's Reply To The SRA Funds Investor Group's Objections To Joint Distribution Plan Of The Receiver And The SEC And Proposed Alternative Plan Of Distribution (Filed September 13, 2017, DOC 244)

Global Generation Group, LLC And Benchmark Capital, LLC's Reply To The SRA Funds Investor Group's Objections To Joint Distribution Plan Of The Receiver And The SEC And Proposed Alternative Plan Of Distribution (Filed September 13, 2017, DOC 243)

Reply Declaration Of Marc D. Katz In Support Of Plaintiff's Joint Motion With The Receiver For Approval Of The Proposed Joint Distribution Plan (Filed September 13, 2017, DOC 241)

Supplemental Declaration Of John S. Yun In Support Of Plaintiff's Joint Motion With The Receiver For Approval Of The Proposed Joint Distribution Plan (Filed September 13, 2017, DOC 240)

Supplemental Declaration Of M. Monica IP, CPA (Filed September 13, 2017, DOC 239)

Plaintiff Securities And Exchange Commission's Reply To Oppositions To Motion For Approval Of Proposed Joint Distribution Plan (Filed September 13, 2017, DOC 238)

Declaration Of Peter Hartheimer In Support Of Receiver's Reply To SRA Investor Group's Objections To The Joint Distribution Plan Of The Receiver And The SEC (Filed September 12, 2017, DOC 237-2)

Declaration Of Nicolas Hernandez In Support Of Receiver's Reply To SRA Investor Group's Opposition To Joint Plan Of Distribution (Filed September 12, 2017, DOC 237-1)

Receiver's Reply Brief To The Investors Group's Objections To The Joint Distribution Plan Of The Receiver And The SEC (Filed September 12, 2017, DOC 237)

[Proposed] Order (1) Denying The Receiver's And The SEC's Motion For Approval Of A Joint Distribution Plan And (2) Approving The Alternative Plan Of Distribution Proposed By The SRA Funds Investor Group (Filed August 24, 2017, DOC 232)

Declaration Of Joshua Cilano In Support Of The SRA Funds Investor Group's (1) Objections To Joint Distribution Plan Of The Receiver And The SEC, And (2) Proposed Alternative Plan Of Distribution (Filed August 24, 2017, DOC 231)

Exhibit A - Declaration Of Jonathan K. Levine In Support Of The SRA Funds Investor Group's (1) Objections To Joint Distribution Plan Of The Receiver And The SEC, And (2) Proposed Alternative Plan Of Distribution (Filed August 24, 2017, DOC 230-1)

Declaration Of Jonathan K. Levine In Support Of The SRA Funds Investor Group's (1) Objections To Joint Distribution Plan Of The Receiver And The SEC, And (2) Proposed Alternative Plan Of Distribution (Filed August 24, 2017, DOC 230)

The SRA Funds Investor Group's (1) Objections To Joint Distribution Plan Of The Receiver And The SEC, And (2) Proposed Alternative Plan Of Distribution (Filed August 24, 2017, DOC 229)

Notice Of Lodging Of Revised Declaration Of Georgiana Nertea In Support Of Motion For Approval Of Consolidated Disribution Plan (Filed August 24, 2017, DOC 228)

Non-Parties Global Generation Group, LLC And Benchmark Capital, LLC's Comments To Receiver's Motion For Approval Of A Consolidated Distribution Plan, Retention Of Professionals, Dissolution Of Certain Defendants And Relief Defendants And Consent By The Receiver To Permanent Injunction (Filed August 24, 2017, DOC 227)

Exhibit C - Non-Party Telesoft Capital LLC's Objection To Receiver's Motion For Approval Of A Consolidated Distribution Plan (Filed August 24, 2017, DOC 226-4)

Exhibit B - Non-Party Telesoft Capital LLC's Objection To Receiver's Motion For Approval Of A Consolidated Distribution Plan (Filed August 24, 2017, DOC 226-3)

Exhibit A - Non-Party Telesoft Capital LLC's Objection To Receiver's Motion For Approval Of A Consolidated Distribution Plan (Filed August 24, 2017, DOC 226-2)

Declaration Of Patrick E. Gibbs In Support Of Non-Party Telesoft Capital LLC's Objection To Receiver's Motion For Approval OF A Consolidated Distribution Plan (Filed August 24, 2017, DOC 226-1)

Non-Party Telesoft Capital LLC's Objection To Receiver's Motion For Approval Of A Consolidated Distribution Plan (Filed August 24, 2017, DOC 226)

Declaration Of Relief Defendant Anne Bivona In Support Of Opposition To Joint Motion For Approval Of The Proposed Joint Distribution Plan (Filed August 24, 2017, DOC 225)

Exhibit 4 - Supplemental Declaration Of M. Monica IP, CPA (Filed August 17, 2017, DOC 219-4)

Exhibit 3 - Supplemental Declaration Of M. Monica IP, CPA (Filed August 17, 2017, DOC 219-3)

Exhibit 2 - Supplemental Declaration Of M. Monica IP, CPA (Filed August 17, 2017, DOC 219-2)

Exhibit 1 - Supplemental Declaration Of M. Monica IP, CPA (Filed August 17, 2017, DOC 219-1)

Supplemental Declaration Of M. Monica IP, CPA (Filed August 17, 2017, DOC 219)

Joint Reply By Securities And Exchange Commission And Receiver To Responses To Motions For Approval Of Proposed Joint Distribution Plan (Filed August 17, 2017, DOC 218)

Notice Of Lodging Of Receiver's Quarterly Report To The Quarter Ended June 30, 2017 (Filed August 14, 2017, DOC 216)

Declaration Of M. Monica IP, CPA (Filed June 29, 2017, DOC 200)

Certificate Of Service (Filed June 29, 2017, DOC 196-4)

[Proposed] Order Approving Receiver's Motion For Approval Of A Joint Distribution Plan, Retention Of Professionals, Dissolution Of Certain Defendants And Relief Defendants And Relief Defendants And Consent By The Receier To Permanent Injunction (Filed June 29, 2017, DOC 196-3)

Declaration Of Peter Hartheimer In Support Of Motion For Approval Of Joint Distribution Plan (Filed June 29, 2017, DOC 196-2)

Declaration of Georgiana Nertea In Support Of Motion For Approval Of Consolidated Distribution Plan (Filed June 29, 2017, DOC 196-1)

Receiver's Notice Of Motion And Motion For Approval Of A Consolidated Distribution Plan, Retention Of Professionals, Dissolution Of Certain Defendants And Relief Defendants And Consent By The Receiver To Permanent Injunction (Filed June 29, 2017, DOC 196)

Stipulation For Order Setting Briefing And Hearing Schedule For Receiver's Motion To Approve Distribution Plan (Filed June 6, 2017, DOC 191)

Notice Of Lodging Of Receiver's Quarterly Report To The Court For The Quarter Ended March 31, 2017 (Filed May 16, 2017, DOC 183)

Notice Of Lodging Of Receiver's Quarterly Report To The Court For The Quarter Ended January 31, 2017 (Filed February 1, 2017, DOC 168)

Plaintiff Securities And Exchange Commission's Stipulated Order For Appointent Of Reciever (Filed October 11, 2016, DOC 142)

Notice of Lodging Of Independent Monitor's Third Interim Report To The Court (Filed July 5, 2016, DOC 120)

Notice Of Lodging Of Independent Monitor's Final Report To The Court (Filed May 10, 2016, DOC 074)

Notice Of Lodging Of Independent Monitor's Second Report To The Court (Filed April 25, 2016, DOC 060)

Notice Of Lodging Of Independent Monitor's First Report To The Court (Filed March 11, 2016, DOC 054)

Order Granting Temporary Restraining Order, Appointment Of Independent Monitor, And Other Preliminary Relief (Filed March 25, 2016, DOC 036)

Combined Exhibits - Declaration Of Ellen Chen (Filed March 22, 2016, DOC 014-2 to 020-10)

Declaration Of Ellen Chen (Filed March 22, 2016, DOC 014)

Plaintiff Securities And Exchange Commission's Ex Parte Motion For Temporary Restraining Orders, Asset Freezes, Appointment Of A  Monitor And Other Relief (Filed March 22, 2016, DOC 004)

Complaint (Filed March 22, 2016, DOC 001)

 

 

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