Securities and Exchange Commission v. Complete Business Solutions Group, Inc., et al.

Case No. 20-cv-81205-RAR

United States District Court for the Southern District of Florida

Key Court Documents

Below are links within this website to certain filings and court orders in the SEC’s lawsuit against the Defendants that may be of interest to visitors of this website. All filings, court orders, including other filings from the Receiver, the parties to the lawsuit, and other persons, are also available on the Document Filing System of the United States District Court for the Southern District of Florida, which is available at: https://ecf.flsd.uscourts.gov/

DE 1357 - TRANSCRIPT of Motion hearing held on 12/02/2021 before Judge Rodolfo A. Ruiz, II, Volume Number 1 of 1, 1-174 pages, Court Reporter: Ellen Rassie, 954-769-5448 / ellen_rassie@flsd.uscourts.gov. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/2/2022. Redacted Transcript Deadline set for 9/12/2022. Release of Transcript Restriction set for 11/10/2022.
DE 1359 - PAPERLESS ORDER requiring any objections to [1358] Receiver, Ryan K. Stumphauzer's Eighth Application for Allowance and Payment of Professionals' Fees and Reimbursement of Expenses for April 1, 2022 - June 30, 2022 to be filed no later than Friday, August 19, 2022. Signed by Judge Rodolfo A. Ruiz, II on 8/16/2022.
DE 1362 - PAPERLESS ORDER granting [1361] Plaintiff's Unopposed Motion. Plaintiff Securities and Exchange Commission's [1339] Reply in Support of its Motion for Monetary Remedies and Entry of Final Judgment as to Defendants Joseph LaForte, Lisa McElhone, and Joseph Cole Barleta is hereby STRICKEN. Plaintiff's [1341] Amended Reply is deemed timely filed. Signed by Judge Rodolfo A. Ruiz, II on 8/17/2022. (ob)
DE 1366 - PAPERLESS ORDER setting hearing on [1252] Plaintiff Securities and Exchange Commission's Amended Omnibus Motion for Final Judgments Against Defendants Michael Furman, Joseph Cole Barleta, Joseph LaForte, and Lisa McElhone on Wednesday, September 14, 2022 at 10:00 A.M. The hearing will take place in Courtroom 205C of the U.S. Courthouse, 299 E. Broward Boulevard, Fort Lauderdale, Florida. Signed by Judge Rodolfo A. Ruiz, II on 8/22/2022. (ob)
DE 1371 - PAPERLESS ORDER granting [1370] Defendants Joseph LaForte and Lisa McElhone's Unopposed Motion for an Extension of Time to File Their Opposition to the Receiver's Motion to Show Cause. Defendants LaForte and McElhone's Memorandum in Opposition is due on or before August 29, 2022. Accordingly, Receiver's Reply is due on or before September 8, 2022. Signed by Judge Rodolfo A. Ruiz, II on 8/25/2022. (ob)
DE 1373 - TRANSCRIPT of Discovery/Motion Hearing held on 11/23/2020 before Magistrate Judge Bruce E. Reinhart, 1-29 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1374 - TRANSCRIPT of Discovery/Motion Hearing held on 11/30/2020 before Magistrate Judge Bruce E. Reinhart, 1-8 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1375 - TRANSCRIPT of Discovery Hearing held on 3/3/2021 before Magistrate Judge Bruce E. Reinhart, 1-43 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1376 - TRANSCRIPT of Discovery/Motion Hearing held on 12/17/2020 before Magistrate Judge Bruce E. Reinhart, 1-29 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1378 - TRANSCRIPT of Discovery Hearing held on 4/13/2021 before Magistrate Judge Bruce E. Reinhart, 1-47 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022
DE 1379 - TRANSCRIPT of Discovery Hearing held on 6/15/2022 before Magistrate Judge Bruce E. Reinhart, 1-19 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1380 - TRANSCRIPT of Discovery/Motion Hearing held on 6/22/2022 before Magistrate Judge Bruce E. Reinhart, 1-31 pages, re: [1317] Notice of Appeal, Court Reporter: Joanne Mancari, 305-523-5635. USCA Case Number: 22-12376-G. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2022. Redacted Transcript Deadline set for 9/22/2022. Release of Transcript Restriction set for 11/21/2022.
DE 1382 - PAPERLESS ORDER denying [1381] Defendant, Michael C. Furman's, Motion to Reschedule Hearing on Plaintiff's Amended Omnibus Motion for Final Judgment, Against Defendants Michael Furman, Joseph Cole Barleta, Joseph LaForte and Lisa McElhone. Signed by Judge Rodolfo A. Ruiz, II on 8/26/2022.
DE 1383 - PAPERLESS ORDER denying [1348] Defendant Dean Vagnozzi's Motion to Refer Dispute to Settlement Conference before Magistrate Judge Bruce E. Reinhart Concerning Prosecution of Legal Malpractice Claims against Eckert Seamans and John Pauciulo ("Motion"). As noted by the Receiver, given that neither Eckert Seamans Cherin & Mellott ("Eckert Seamans") or John W. Pauciulo - both non-parties to this action - are willing to voluntarily participate in global settlement discussions at this juncture, the Court finds that the requested settlement conference would not be fruitful.  However, to the extent Defendant Vagnozzi is seeking to renew his request that the Court lift the litigation stay so as to allow him to pursue his individual claims against Eckert Seamans and John W. Pauciulo, see [1377] - especially given that the SEC no longer opposes lifting the litigation stay for this purpose, see [1377-2] - Defendant Vagnozzi shall file a proper motion for the Court's consideration.  Lastly, the Court requests that the Receiver provide a status report on any actions the Receiver is contemplating taking against Eckert Seamans and/or John W. Pauciulo on or before September 2, 2022. See [1175] at 8.   Signed by Judge Rodolfo A. Ruiz, II on 8/26/2022.
DE 1384 - TRANSCRIPT of Motion Hearing - Via Videoconference held on 8/3/2022 before Judge Rodolfo A. Ruiz, II, 1-51 pages, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/19/2022. Redacted Transcript Deadline set for 9/28/2022. Release of Transcript Restriction set for 11/28/2022.
DE 1387 - TRANSCRIPT of Status Conference Hearing held on 10/26/2021 before Magistrate Judge Bruce E. Reinhart, 1-26 pages, Court Reporter: Joanne Mancari, jemancari@gmail.com. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/20/2022. Redacted Transcript Deadline set for 9/30/2022. Release of Transcript Restriction set for 11/28/2022.
DE 1399 - PAPERLESS ORDER on September 12, 2022 Evidentiary Hearing for Order to Show Cause Why Defendants Joseph LaForte and Lisa McElhone Should Not Be Held in Contempt. No later than Saturday, September 10, 2022, the parties must jointly submit (a) an exhibit list and (b) a list indicating each witness who will testify at the Evidentiary Hearing, a one sentence synopsis of the testimony, and in consultation with opposing counsel, the amount of time needed for direct and cross examination. Signed by Judge Rodolfo A. Ruiz, II on 9/8/2022.
DE 1400 - PAPERLESS ORDER on September 14, 2022 Evidentiary Hearing on [1252] Amended Omnibus Motion for Final Judgments Against Defendants Michael Furman, Joseph Cole Barleta, Joseph LaForte, and Lisa McElhone. For sake of clarity, the hearing will be evidentiary in nature. However, the Court will only consider evidence that has been submitted with the parties' briefing. Further, the Court has allocated two hours and thirty minutes for the duration of the hearing. Each Defendant and Plaintiff will have twenty minutes to present their respective positions, and the Court intends on asking questions to all parties regarding disgorgement. Signed by Judge Rodolfo A. Ruiz, II on 9/8/2022.
DE 1402 - PAPERLESS ORDER containing Zoom instructions for the hearing scheduled for Monday, September 12, 2022 at 11:00 A.M. The Court notes that this hearing is being conducted in person but may be observed by interested parties via Zoom. Signed by Judge Rodolfo A. Ruiz, II on 9/9/2022. Join ZoomGov Meeting: Zoom Link Meeting ID: 160 284 5259 - Passcode: 669952
DE 1404 - PAPERLESS ORDER rescheduling the hearing set for Monday, September 12, 2022 - TIME CHANGE ONLY. Given the estimated time of witness testimony set forth in the parties' [1403] witness and exhibit lists, the Court finds it advisable to begin contempt proceedings slightly earlier. The September 12, 2022 hearing will begin at 10:00 A.M. Signed by Judge Rodolfo A. Ruiz, II on 9/11/2022. (gp)
DE 1406 - PAPERLESS ORDER granting [1405] Receiver, Ryan K. Stumphauzer, Lisa McElhone and Joseph LaForte's Joint Motion to Permit Electronic Equipment in the Courtroom for Contempt Hearing on September 12, 2022. Ryan K. Stumphauzer, Gaetan J. Alfano, Timothy A. Kolaya, James M. Kaplan, Noah E. Snyder, and David L. Ferguson are permitted to bring laptop computers and tablets/iPads into the courtroom. Signed by Judge Rodolfo A. Ruiz, II on 9/11/2022. (obt)
DE 1407 - PAPERLESS Minute Entry for proceedings held before Judge Rodolfo A. Ruiz, II: Evidentiary Hearing held on 9/12/2022 Witness Ryan K Stumphauzer, sworn and testified. Exhibits 1-12, 17-18a, 20-22e, 24, 28, 29, 31, 32 and 33 introduced and admitted. Attorney Appearance(s): David Lawrence Ferguson, James Miller Kaplan, Noah Elliot Snyder, Alise Meredith Johnson, Timothy Andrew Kolaya, Gaetan J. Alfano, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. (gp)
DE 1408 - PAPERLESS ORDER containing Zoom instructions for the hearing scheduled for Wednesday, September 14, 2022 at 10:00 A.M. The Court notes that this hearing is being conducted in person but may be observed by interested parties via Zoom. Join ZoomGov Meeting: Zoom Link Meeting ID: 160 284 5259 - Passcode: 669952 Signed by Judge Rodolfo A. Ruiz, II on 9/13/2022. (ob)
DE 1410 – PAPERLESS ORDER granting [1409] Joint Motion of Defendants LaForte, McElhone, Cole, Furman, the SEC, and the Receiver, Ryan K. Stumphauzer, to Permit Electronic Equipment in the Courtroom for the Disgorgement Hearing on September 14, 2022. James M. Kaplan, Noah E. Snyder, Alan S. Futerfas, David L. Ferguson, Andre G. Raikhelson, Zachary P. Hyman, Amie R. Berlin, Ryan K. Stumphauzer, and Timothy A. Kolaya are permitted to bring laptop computers and tablets/iPads into the courtroom and to use those electronic devices during the hearing on September 14, 2022, at 10:00 a.m. Signed by Judge Rodolfo A. Ruiz, II on 9/13/2022. (ob)
DE 1411 - PAPERLESS ORDER scheduling a Zoom status conference for today, September 13, 2022 at 5:30 P.M. regarding the hearing scheduled for Wednesday, September 14, 2022 at 10:00 A.M. Join ZoomGov Meeting: Zoom Link Meeting ID: 160 284 5259 - Passcode: 669952 Signed by Judge Rodolfo A. Ruiz, II on 9/13/2022. (ob)
DE 1412 - PAPERLESS Minute Entry for proceedings held before Judge Rodolfo A. Ruiz, II: Zoom Status Conference held on 9/13/2022. Attorney Appearance(s): David Lawrence Ferguson, Zachary Paul Hyman, James Miller Kaplan, Noah Elliot Snyder, Alise Meredith Johnson, Amie Riggle Berlin, Timothy Andrew Kolaya, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. (gp)
DE 1413 - PAPERLESS Minute Entry for proceedings held before Judge Rodolfo A. Ruiz, II: Motion Hearing held on 9/14/2022 re [1252] Amended MOTION for Judgment filed by Securities & Exchange Commission. Attorney Appearance(s): David Lawrence Ferguson, Zachary Paul Hyman, Alan S. Futerfas, James Miller Kaplan, Noah Elliot Snyder, Alise Meredith Johnson, Amie Riggle Berlin (via zoom), Timothy Andrew Kolaya, Gaetan J. Alfano (via zoom), Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. (gp)
DE 1414 - PAPERLESS ORDER reserving ruling on the Securities and Exchange Commission's ore tenus motion to withdraw their [1252] Amended Omnibus Motion for Final Judgments Against Defendants Michael Furman, Joseph Cole Barleta, Joseph LaForte, and Lisa McElhone. As discussed at the hearing, the parties are instructed to file a Joint Status Report on or before Friday, September 23, 2022 with an update as to the parties' ongoing settlement negotiations. Signed by Judge Rodolfo A. Ruiz, II on 9/14/2022.
DE 1415 - TRANSCRIPT of Evidentiary Hearing held on 9/12/2022 before Judge Rodolfo A. Ruiz, II, 1-141 pages, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/14/2022. Redacted Transcript Deadline set for 10/24/2022. Release of Transcript Restriction set for 12/22/2022.
DE 1416 - TRANSCRIPT of Status Conference - Via Videoconference held on 9/13/2022 before Judge Rodolfo A. Ruiz, II, 1-42 pages, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/14/2022. Redacted Transcript Deadline set for 10/24/2022. Release of Transcript Restriction set for 12/22/2022.
DE 1418 - PAPERLESS ORDER on [1417] Notice by Securities & Exchange Commission and Defendants McElhone, Furman, LaForte, and Cole That No Settlement Was Reached. Given that the parties were unable to reach a settlement agreement, the Court hereby DENIES the Securities and Exchange Commission's ore tenus motion to withdraw its [1252] Amended Omnibus Motion for Final Judgments Against Defendants Michael Furman, Joseph Cole Barleta, Joseph LaForte, and Lisa McElhone. Further, no supplemental briefing will be requested by the Court. The Court will issue its Order on Disgorgement based on the initial filings as supplemented by the oral argument held on September 14, 2022. Signed by Judge Rodolfo A. Ruiz, II on 9/23/2022.
DE 1419 - TRANSCRIPT of Evidentiary Hearing held on 9/14/2022 before Judge Rodolfo A. Ruiz, II, 1-151 pages, Court Reporter: Ilona Lupowitz, 954-769-5568 / Ilona_lupowitz@flsd.uscourts.gov. Transcript may be viewed at the court public terminal or purchased by contacting the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/17/2022. Redacted Transcript Deadline set for 10/25/2022. Release of Transcript Restriction set for 12/23/2022.

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