United States Securities and Exchange Commission v. Dragonchain Inc et al
| Washington Western District Court | |
| Judge: | Jamal N Whitehead |
| Case #: | 2:22-cv-01145 |
| Nature of Suit | 850 Other Statutes - Securities/Commodities/Exchange |
| Cause | 15:78m(a) Securities Exchange Act |
| Case Filed: | Aug 16, 2022 |
| Terminated: | Apr 25, 2025 |
| Last checked: Sunday Feb 12, 2023 1:19 AM PST |
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Defendant
Dragonchain Foundation
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Represented By
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Defendant
The Dragon Company
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Represented By
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Defendant
Dragonchain Inc
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Represented By
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Defendant
John Joseph Roets
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Represented By
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Plaintiff
United States Securities and Exchange Commission
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Represented By
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| TERMINATED PARTIES | |
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Defendant
Joseph J Roets
Terminated: 09/06/2022
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Represented By
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| Docket last updated: 05/21/2025 11:59 PM PDT |
| Friday, April 25, 2025 | ||
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utility
Terminate Civil Case
Fri 04/25 10:37 AM
***Civil Case Terminated, pursuant to FRCP 41(a)(1)(A)(ii), per the filing of Parties'43 Stipulation to Dismiss. (KRA) |
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| Thursday, April 24, 2025 | ||
| 43 | 43
misc
Stipulation
Thu 04/24 12:20 PM
STIPULATION to dismiss, with releases by parties (Phillips, Eric) |
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| Wednesday, January 29, 2025 | ||
| 42 | 42
order
1 - Order
Wed 01/29 9:51 AM
ORDER re Parties'41 Joint Status Report granting Defendants' request for an additional 90-day stay of this matter, up to and including 4/28/2025. Signed by Judge Jamal N Whitehead. (KRA) |
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| Monday, January 27, 2025 | ||
| 41 | 41
misc
Joint Status Report
Mon 01/27 5:19 PM
JOINT STATUS REPORT signed by all parties. Filed by Plaintiff United States Securities and Exchange Commission.(Phillips, Eric) |
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| Friday, December 27, 2024 | ||
| 40 | 40
order
1 - Order ~Util - Set/Reset Deadlines/Hearings
Fri 12/27 9:59 AM
ORDER. This matter is STAYED until 1/27/2025. The trial date and related pretrial deadlines are STRICKEN. The Parties must submit a Joint Status Report by 1/27/2025. Signed by Judge Jamal N Whitehead. (KRA) |
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| Friday, December 20, 2024 | ||
| 39 | 39
misc
Joint Status Report
Fri 12/20 1:32 PM
JOINT STATUS REPORT signed by all parties. Estimated Trial Days: 7. (Qualls, Alyssa) |
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| Tuesday, October 29, 2024 | ||
| 38 | 38
3
pgs
order
Order on Motion to Stay ~Util - Terminate Deadlines/Hearings ~Util - Set/Clear Flags ~Util - Set/Reset Deadlines/Hearings
Tue 10/29 2:21 PM
ORDER re Parties'37 Notice of Settlement Offer and Joint Motion for 60-Day Stay. This matter is STAYED until 12/20/2024. The Parties will submit a joint status report on or before 12/20/2024, if the SEC's Commissioners reject the proposed settlement. Signed by Judge Jamal N Whitehead. (KRA) |
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| Tuesday, October 22, 2024 | ||
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utility
Set/Reset Motion Noting Date (Public)
Tue 10/22 5:09 PM
Noting Date Set re Parties'37 Joint MOTION to Stay 60 Days and Notice of Settlement Offer . Noted by Clerk for 10/18/2024. (KRA) |
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| Friday, October 18, 2024 | ||
| 37 | 37
motion
Stay
Fri 10/18 7:43 AM
Joint MOTION to Stay 60 Days and Notice of Settlement Offer , filed by Plaintiff United States Securities and Exchange Commission. (Qualls, Alyssa) |
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| Friday, July 26, 2024 | ||
| 36 | 36
misc
Transcript Order Form
Fri 07/26 12:40 PM
TRANSCRIPT REQUEST by Plaintiff United States Securities and Exchange Commission for proceedings held on 03/21/2024. Requesting Attorney: Eric M Phillips. Posting of this Transcript Order form does not constitute an official request for transcript(s). If you have not already done so, you MUST contact the individual court reporter(s), Debbie Zurn (debbie_zurn@wawd.uscourts.gov, 206-370-8504) to make payment arrangements and secure your desired delivery time. (Phillips, Eric) |
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| 35 | 35
misc
Transcript - Notice of Filing of Official Transcript
Fri 07/26 9:53 AM
NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Motion Hearing held on 3/21/2024 before Judge Jamal N. Whitehead. Parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Information regarding the policy can be found on the court's website at[LINK:www.wawd.uscourts.gov] . To purchase a copy of the transcript, contact court reporter Debbie Zurn, debbie_zurn@wawd.uscourts.gov, 206-370-8504. Release of Transcript Restriction set for 10/24/2024, (DZ) |
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| Wednesday, July 24, 2024 | ||
| 34 | 34
2
pgs
order
Order on Motion for Extension of Time to Complete Discovery
Wed 07/24 3:21 PM
ORDER denying Parties'33 Joint Motion to Modify Scheduling Order. Signed by Judge Jamal N Whitehead. (KRA) |
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| Friday, July 19, 2024 | ||
| 33 | 33
motion
Extension of Time to Complete Discovery
Fri 07/19 8:09 AM
Joint MOTION for Extension of Time to Complete Discovery To Accommodate Settlement Discussions , filed by Plaintiff United States Securities and Exchange Commission. Noting Date 7/19/2024, (Phillips, Eric) |
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| Friday, March 22, 2024 | ||
| 32 | 32
notice
Notice of Appearance
Fri 03/22 1:48 PM
NOTICE of Appearance by attorney Alyssa A Qualls on behalf of Plaintiff United States Securities and Exchange Commission. (Qualls, Alyssa) |
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| Thursday, March 21, 2024 | ||
| 31 | 31
order
1 - Order ~Util - Set/Reset Deadlines/Hearings
Thu 03/21 4:52 PM
ORDER granting Parties'29 Joint MOTION for Extension of Time to Complete Discovery and To Modify Corresponding Dates in the Scheduling Order . Jury Trial is set for 1/27/2025 before Judge Jamal N Whitehead. Discovery completed by 9/23/2024, Mediation completed by 10/7/2024, Dispositive motions due by 10/21/2024, Motions in Limine due by 1/10/2025, Pretrial order due by 1/10/2025, Proposed verdict forms, voir dire, and jury instructions due by 1/17/2025, Trial briefs due by 1/21/2025. Signed by Judge Jamal N Whitehead. (KRA) |
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| 30 | 30
minutes
Motion Hearing
Thu 03/21 3:13 PM
MINUTE ENTRY for proceedings held before Judge Jamal N Whitehead- Dep Clerk: Grant Cogswell ; Pla Counsel: Eric Phillips ; Def Counsel: David Otto ; CR: Debbie Zurn ; Time of Hearing: 3:00PM ; Courtroom: Zoom ; Motion Hearing held on 3/21/2024. The Court discusses with the parties the Joint MOTION for Extension of Time to Complete Discovery and To Modify Corresponding Dates in the Scheduling Order (Dkt.29 ). The Court GRANTS the motion and will issue an amended order setting a new trial schedule and related deadlines. This will be the final continuance. (GC) |
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| Thursday, March 14, 2024 | ||
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utility
Set/Reset Hearings
Thu 03/14 1:41 PM
Set/Reset Hearings: Status Conference set for 3/21/2024 at 03:00 PM before Judge Jamal N Whitehead. This hearing will be held remotely on Zoom.(GC) |
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| Tuesday, March 12, 2024 | ||
| 29 | 29
5
pgs
motion
Extension of Time to Complete Discovery
Tue 03/12 1:40 PM
Joint MOTION for Extension of Time to Complete Discovery and To Modify Corresponding Dates in the Scheduling Order , filed by Plaintiff United States Securities and Exchange Commission. Noting Date 3/12/2024, (Phillips, Eric) |
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| Monday, November 13, 2023 | ||
| 28 | 28
2
pgs
notice
Notice of Withdrawal of Counsel
Mon 11/13 11:34 AM
NOTICE OF WITHDRAWAL OF COUNSEL: for All Defendants. (Otto, David) |
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| Thursday, September 07, 2023 | ||
| 27 | 27
5
pgs
order
Order on Motion for Extension of Time to Complete Discovery ~Util - Set/Reset Deadlines/Hearings
Thu 09/07 11:08 AM
ORDER granting Parties'26 Joint Motion for Extension of Time. Jury Trial is set for 7/22/2024 before Judge Jamal N Whitehead. Close of Fact Discovery by 3/25/2024, mediation to be completed by 4/8/2024, Dispositive motions due by 4/22/2024, Motions in Limine due by 7/12/2024, Pretrial Order due by 7/12/2024, Proposed verdict forms, voir dire, and jury instructions due by 7/16/2024, Trial briefs due by 7/18/2024. Signed by Judge Jamal N Whitehead. (SB) |
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| Wednesday, September 06, 2023 | ||
| 26 | 26
motion
Extension of Time to Complete Discovery
Wed 09/06 12:48 PM
Joint MOTION for Extension of Time to Complete Discovery and Modify Corresponding Dates in the Scheduling Order , filed by Plaintiff United States Securities and Exchange Commission. Noting Date 9/6/2023, (Phillips, Eric) |
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| Tuesday, April 04, 2023 | ||
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utility
Case Assigned/Reassigned to Judge
Tue 04/04 5:09 PM
Case Reassigned to Judge Jamal N Whitehead. U.S. District Judge John C. Coughenour no longer assigned to the case. (KMP) |
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| Wednesday, March 22, 2023 | ||
| 25 | 25
respoth
Amended Answer to Complaint
Wed 03/22 5:18 PM
AMENDED ANSWER to Complaint and Amended Affirmative Answers with Exhibits A and B by Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, Joseph J Roets, The Dragon Company. (Otto, David) |
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| Thursday, March 09, 2023 | ||
| 24 | 24
4
pgs
order
Order on Motion for Miscellaneous Relief
Thu 03/09 11:20 AM
ORDER granting Plaintiff's18 Motion to Strike Defendants' Affirmative Defenses. The Court STRIKES Defendants' affirmative defense No. 8 without leave to amend. The Court STRIKES Defendants' affirmative defenses Nos. 6 and 7 with leave to amend. If Defendants chooses to file an amended answer, they must do so within 14 days from the issuance of this order. Signed by U.S. District Judge John C. Coughenour. (SS) |
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| Wednesday, March 08, 2023 | ||
| 23 | 23
misc
Jury Demand
Wed 03/08 4:23 PM
DEMAND for JURY TRIAL by Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, The Dragon Company (Otto, David) |
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| Tuesday, March 07, 2023 | ||
| 22 | 22
notice
Notice of Appearance
Tue 03/07 9:44 AM
NOTICE of Appearance by attorney David M Otto on behalf of Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, Joseph J Roets, The Dragon Company. (Otto, David) |
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| Monday, January 30, 2023 | ||
| 21 | 21
misc
Brief - Responsive
Mon 01/30 4:37 PM
RESPONSIVE BRIEF In Opposition to SEC's Motion to Strike Affirmative Defenses Nos 6-8 by Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, Joseph J Roets, The Dragon Company.(Otto, David) |
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Att: 1
Proposed Order
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| 20 | 20
order
JCC-Civil Trial Scheduling Order (FORM)
Mon 01/30 2:22 PM
CIVIL TRIAL SCHEDULING ORDER: Pursuant to the parties' joint status report, the Court hereby sets this case for trial and orders the following case management schedule: 5-7 Day Jury Trial is set for 1/22/2024 at 09:30 AM in Courtroom 16206 before U.S. District Judge John C. Coughenour. Pleading amendment/3rd pty action due by 4/28/2023, Discovery completed by 9/25/2023, 39.1 mediation to be completed by 10/10/2023, Dispositive motions due by 10/24/2023, Motions in Limine due by 1/12/2024, Pretrial Order due by 1/12/2024, Proposed verdict forms, voir dire and jury instructions due by 1/16/2024, Trial briefs to be submitted by 1/18/2024, All discovery, including expert disclosures and all fact and expert depositions, must be completed by the discovery cutoff date. The parties must review and abide by the Court's Chambers Procedures, located at[LINK:https://www.wawd.uscourts.gov/judges/coughenour-procedures] which contain additional requirements and pretrial deadlines. Counsel are advised that this case is one of several cases set for the week described above. Counsel must be prepared to commence trial as scheduled but also be aware that the trial may have to be continued. Counsel are directed to contact Courtroom Deputy Kadya Peter at kadya_peter@wawd.uscourts.gov two to four weeks in advance of the trial date to inquire about the Court's calendar. Counsel must attend Courtroom Technology Training at least one month in advance of the trial to become familiar with the new A/V equipment now available in the courtroom. Contact the Courtroom Deputy to schedule an in-person training and technology check session. (KMP) |
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| Wednesday, January 18, 2023 | ||
| 19 | 19
misc
Joint Status Report
Wed 01/18 1:35 PM
JOINT STATUS REPORT signed by all parties. Estimated Trial Days: 5-7. Filed by Plaintiff United States Securities and Exchange Commission.(Phillips, Eric) |
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| Wednesday, January 11, 2023 | ||
| 18 | 18
motion
Miscellaneous Relief
Wed 01/11 2:49 PM
MOTION strike Defendants' affirmative defenses Nos. 6-8 re17 Answer to Amended Complaint , filed by Plaintiff United States Securities and Exchange Commission. Noting Date 2/3/2023, (Phillips, Eric) |
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Att: 1
Proposed Order
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| Wednesday, December 21, 2022 | ||
| 17 | 17
answer
Answer to Amended Complaint
Wed 12/21 12:42 PM
ANSWER to6 Amended Complaint by Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, Joseph J Roets, The Dragon Company.(Otto, David) |
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| Wednesday, November 23, 2022 | ||
| 16 | 16
order
JCC-Interim JSR Minute Order
Wed 11/23 4:16 PM
MINUTE ENTRY SETTING INITIAL CASE MANAGEMENT DATES All counsel and any pro se parties are directed to meet and confer and to provide the Court with a combined Joint Status Report (the Report) by the deadline set below. This meet-and-confer must be a face-to-face meeting or a telephonic conference. If the parties are unable to agree on any part of the Report, they may answer in separate paragraphs; no separate reports are to be filed. The Report must contain the following information: 1. An estimate of the number of days needed for trial; 2. The date by which the case will be ready for trial; and 3. Whether the parties intend to mediate per LCR 39.1 and, if so, when the parties expect to complete mediation. The deadlines below may be extended only by court order. Any request for extension of these deadlines should be made by email to Courtroom Deputy Clerk Kadya Peter at kadya_peter@wawd.uscourts.gov. The parties who have appeared in this matter must meet and confer before contacting the Court to request an extension. If this case involves claims that are exempt from the requirements of FRCP 26(a) and 26(f), please notify the Courtroom Deputy Clerk. Please note: Initial Disclosures are not to be filed. FRCP 26(f) Conference Deadline is 1/4/2023, Initial Disclosure Deadline is 1/11/2023, Joint Status Report due by 1/18/2023. (KMP) |
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| Tuesday, November 22, 2022 | ||
| 15 | 15
1
pgs
order
Order on Motion for Extension of Time to Answer ~Util - Set/Reset Deadlines/Hearings
Tue 11/22 12:11 PM
MINUTE ORDER granting Parties'14 Agreed MOTION for Extension of Time to File Answer. Response to Amended Complaint due by 12/21/2022. Authorized by U.S. District Judge John C. Coughenour. (SS) |
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| Monday, November 21, 2022 | ||
| 14 | 14
misc
Request
Mon 11/21 4:54 PM
REQUEST Agreed Request to Extend Deadline by Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, The Dragon Company for Extension of Deadline (Otto, David) |
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| 13 | 13
notice
Notice of Appearance
Mon 11/21 4:46 PM
NOTICE of Appearance by attorney David M Otto on behalf of Defendants Dragonchain Foundation, Dragonchain Inc, John Joseph Roets, Joseph J Roets, The Dragon Company. (Otto, David) |
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| Tuesday, September 27, 2022 | ||
| 12 | 12
service
Waiver of Service
Tue 09/27 12:09 PM
WAIVER OF SERVICE of Summons upon defendant John Joseph Roets mailed on 9/22/2022 (Phillips, Eric) |
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| 11 | 11
service
Waiver of Service
Tue 09/27 12:08 PM
WAIVER OF SERVICE of Summons upon defendant The Dragon Company mailed on 9/22/2022 (Phillips, Eric) |
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| 10 | 10
service
Waiver of Service
Tue 09/27 12:06 PM
WAIVER OF SERVICE of Summons upon defendant Dragonchain Foundation mailed on 9/22/2022 (Phillips, Eric) |
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| 9 | 9
service
Waiver of Service
Tue 09/27 12:04 PM
WAIVER OF SERVICE of Summons upon defendant Dragonchain Inc mailed on 9/22/2022 (Phillips, Eric) |
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| Tuesday, September 06, 2022 | ||
| 8 | 8
service
Summons Issued
Tue 09/06 2:55 PM
Summons(es) Electronically Issued as to defendant(s) John Joseph Roets. (SR) |
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| 7 | 7
misc
Praecipe for a Summons
Tue 09/06 2:41 PM
PRAECIPE TO ISSUE SUMMONS by Plaintiff United States Securities and Exchange Commission (Phillips, Eric) |
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| 6 | 6
cmp
Amended Complaint
Tue 09/06 2:34 PM
AMENDED COMPLAINT against All Defendants with JURY DEMAND, filed by United States Securities and Exchange Commission.(Phillips, Eric) |
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| 5 | 5
notice
Notice of Appearance
Tue 09/06 2:18 PM
NOTICE of Appearance by attorney Arsen R Ablaev on behalf of Plaintiff United States Securities and Exchange Commission. (Ablaev, Arsen) |
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| Thursday, August 18, 2022 | ||
| 4 | 4
order
Discovery and Depositions Order (FORM)
Thu 08/18 8:19 AM
ORDER REGARDING DISCOVERY AND DEPOSITIONS by U.S. District Judge John C. Coughenour. (GT) |
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| Wednesday, August 17, 2022 | ||
| 3 | 3
service
Summons Issued
Wed 08/17 2:21 PM
Summons(es) Electronically Issued as to defendant(s) Dragonchain Foundation, Dragonchain Inc, Joseph J Roets, The Dragon Company. (RE) |
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Att: 1
Summons,
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Att: 2
Summons,
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Att: 3
Summons
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| 2 | 2
utility
Case/IFP Deficiency Letter
Wed 08/17 1:55 PM
Notice of Filing Deficiency ***Action Required*** Improper Signature - Secondary Attorney(s), Jury Demand Improperly Indicated. See attached letter for more information and instructions. (RE) |
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utility
Add and Terminate Judges
Wed 08/17 1:37 PM
U.S. District Judge John C. Coughenour added. (RE) |
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| Tuesday, August 16, 2022 | ||
| 1 | 1
17
pgs
cmp
Complaint
Tue 08/16 8:20 AM
COMPLAINT against All Defendants with JURY DEMAND Attorney Eric M Phillips added to party Securities and Exchange Commission(pty:pla), filed by Securities and Exchange Commission.(Phillips, Eric) (No Fee Required) |
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Att: 1
Civil Cover Sheet,
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Att: 2
Summons Dragonchain, Inc.,
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Att: 3
Summons Dragonchain Foundation,
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Att: 4
Summons The Dragon Company,
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Att: 5
Summons Joseph J. Roets
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