Securities And Exchange Commission v. Shafi et al
| California Northern District Court | |
| Judge: | Rita F Lin |
| Case #: | 3:24-cv-04636 |
| Nature of Suit | 850 Other Statutes - Securities/Commodities/Exchange |
| Cause | 15:77 Securities Fraud |
| Case Filed: | Jul 31, 2024 |
| Last checked: Monday Jan 27, 2025 12:21 AM PST |
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Defendant
Abraham Shafi
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Represented By
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Defendant
Barbara Woortmann
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Represented By
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Plaintiff
Securities And Exchange Commission
44 Montgomery Street Suite 2800
San Francisco, CA 94104 |
Represented By
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| Docket last updated: 34 minutes ago |
| Thursday, January 16, 2025 | ||
| 41 | 41
oth_evt
Clerk's Notice
Thu 01/16 9:10 AM
CLERK'S NOTICE Vacating Hearing: Notice is hereby given that the Motions to Dismiss (Dkt. Nos. 20 and 23 are submitted without oral argument pursuant to Civil Local Rule 7-1(b). The hearing set for 1/21/2025 is VACATED. The Court will issue a written order on the motions. (This is a text-only entry generated by the court. There is no document associated with this entry.) (mkl, COURT STAFF) (Filed on 1/16/2025) |
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| Friday, November 22, 2024 | ||
| 40 | 40
respm
Reply to Opposition/Response
Fri 11/22 2:14 PM
REPLY filed byBarbara Woortmann. (Moustakis, Philip) |
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| 39 | 39
respm
Reply to Opposition/Response
Fri 11/22 2:09 PM
REPLY filed byAbraham Shafi. (Nawaday, Jaimie) |
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| Friday, November 01, 2024 | ||
| 38 | 38
respm
Opposition/Response to Motion
Fri 11/01 4:59 PM
OPPOSITION/RESPONSE filed bySecurities And Exchange Commission. (O'Callaghan, Sheila) |
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| 37 | 37
notice
Notice of Appearance/Substitution/Change/Withdrawal of Attorney
Fri 11/01 3:02 PM
NOTICE of Appearance filed by Christopher Baldwin Marshall on behalf of Securities And Exchange Commission (Marshall, Christopher) |
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| Tuesday, October 29, 2024 | ||
| 36 | 36
oth_evt
Clerk's Notice ~Util - Set Motion and Deadlines/Hearings
Tue 10/29 10:45 AM
CLERK'S NOTICE Continuing Motion Hearing: Notice is hereby given that the Motion Hearing Re: 20 MOTION to Dismiss the Complaint and 23 MOTION to Dismiss the Complaint set for 12/10/2024 is continued to 1/21/2025 10:00 AM in San Francisco, Courtroom 15, 18th Floor before Judge Rita F. Lin. (This is a text-only entry generated by the court. There is no document associated with this entry.) (mkl, COURT STAFF) |
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| Wednesday, October 23, 2024 | ||
| 35 | 35
motion
Stipulation and Proposed Order
Wed 10/23 9:44 AM
STIPULATION WITH PROPOSED ORDER Regarding Initial Disclosures, Joint Case Management Statement, and Initial Case Management Conference filed by Abraham Shafi, Barbara Woortmann. (Nawaday, Jaimie) |
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| Thursday, October 17, 2024 | ||
| 34 | 34
adr
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
Thu 10/17 2:47 PM
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options re Barbara Woortmann (Nawaday, Jaimie) |
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| 33 | 33
adr
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
Thu 10/17 2:46 PM
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options re Abraham Shafi (Nawaday, Jaimie) |
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| 32 | 32
adr
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options
Thu 10/17 10:57 AM
ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options (Katz, Marc) |
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| Thursday, October 03, 2024 | ||
| 31 | 31
3
pgs
order
Order on Stipulation
Thu 10/03 12:10 PM
ORDER by Judge Rita F. Lin granting 30 Stipulation Regarding Briefing Schedule. (mkl, COURT STAFF) |
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utility
Set Motion and Deadlines/Hearings
Thu 10/03 12:11 PM
Set/Reset Deadlines as to20 MOTION to Dismiss the Complaint and23 MOTION to Dismiss the Complaint . Responses due by 11/1/2024. Replies due by 11/22/2024. Motion Hearing set for 12/10/2024 10:00 AM in San Francisco, Courtroom 15, 18th Floor before Judge Rita F. Lin. (mkl, COURT STAFF) |
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| Wednesday, October 02, 2024 | ||
| 30 | 30
motion
Stipulation and Proposed Order
Wed 10/02 11:48 AM
STIPULATION WITH PROPOSED ORDER Regarding Briefing Schedule filed by Securities And Exchange Commission. (O'Callaghan, Sheila) |
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| Tuesday, October 01, 2024 | ||
| 29 | 29
1
pgs
order
Order Reassigning Case ~Util - Case Assigned/Reassigned
Tue 10/01 3:02 PM
ORDER REASSIGNING CASE. Case reassigned using a proportionate, random, and blind system pursuant to General Order No. 44 to Judge Rita F. Lin for all further proceedings. Magistrate Judge Thomas S. Hixson no longer assigned to case, Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras.. Signed by Clerk on 10/01/2024.(ark, COURT STAFF) |
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Att: 1
Notice of Eligibility for Video Recording
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| 28 | 28
oth_evt
Clerk's Notice of Impending Reassignment - Text Only
Tue 10/01 1:40 PM
CLERK'S NOTICE OF IMPENDING REASSIGNMENT TO A U.S. DISTRICT COURT JUDGE: The Clerk of this Court will now randomly reassign this case to a District Judge because either (1) a party has not consented to the jurisdiction of a Magistrate Judge, or (2) time is of the essence in deciding a pending judicial action for which the necessary consents to Magistrate Judge jurisdiction have not been secured. You will be informed by separate notice of the district judge to whom this case is reassigned. ALL HEARING DATES PRESENTLY SCHEDULED BEFORE THE CURRENT MAGISTRATE JUDGE ARE VACATED AND SHOULD BE RE-NOTICED FOR HEARING BEFORE THE JUDGE TO WHOM THIS CASE IS REASSIGNED. This is a text only docket entry; there is no document associated with this notice. (rmm2, COURT STAFF) |
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| 27 | 27
notice
Notice of Appearance/Substitution/Change/Withdrawal of Attorney
Tue 10/01 11:27 AM
NOTICE of Appearance filed by Britt H. Evangelist on behalf of Abraham Shafi, Barbara Woortmann (Evangelist, Britt) |
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| 26 | 26
notice
Notice of Appearance/Substitution/Change/Withdrawal of Attorney
Tue 10/01 11:21 AM
NOTICE of Appearance filed by Mary McNamara on behalf of Abraham Shafi, Barbara Woortmann (McNamara, Mary) |
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| Monday, September 30, 2024 | ||
| 25 | 25
misc
Consent/Declination to Proceed Before a US Magistrate Judge
Mon 09/30 5:44 PM
CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by Barbara Woortmann.. (Nawaday, Jaimie) |
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| 24 | 24
notice
Certificate of Interested Entities, Corporate Disclosure Statement, or Rule 7.1 Disclosures
Mon 09/30 5:40 PM
Certificate of Interested Entities by Barbara Woortmann (Nawaday, Jaimie) |
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| 23 | 23
motion
Dismiss
Mon 09/30 5:36 PM
MOTION to Dismiss the Complaint, filed by Barbara Woortmann. Motion to Dismiss Hearing set for 12/19/2024 10:00 AM in San Francisco, Courtroom E, 15th Floor. Responses due by 10/15/2024. Replies due by 10/22/2024.(Moustakis, Philip) |
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Att: 1
Proposed Order
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| 22 | 22
misc
Consent/Declination to Proceed Before a US Magistrate Judge
Mon 09/30 5:31 PM
CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by Abraham Shafi.. (Nawaday, Jaimie) |
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| 21 | 21
notice
Certificate of Interested Entities, Corporate Disclosure Statement, or Rule 7.1 Disclosures
Mon 09/30 5:28 PM
Certificate of Interested Entities by Abraham Shafi (Nawaday, Jaimie) |
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| 20 | 20
motion
Dismiss
Mon 09/30 5:23 PM
MOTION to Dismiss the Complaint, filed by Abraham Shafi. Motion to Dismiss Hearing set for 12/19/2024 10:00 AM in San Francisco, Courtroom E, 15th Floor. Responses due by 10/15/2024. Replies due by 10/22/2024.(Nawaday, Jaimie) |
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Att: 1
Declaration of Jaimie L. Nawaday in Support Thereto,
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Att: 2
Exhibit A - Questionnaire,
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Att: 3
Proposed Order
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| 19 | 19
notice
Notice of Appearance/Substitution/Change/Withdrawal of Attorney
Mon 09/30 1:20 PM
NOTICE of Appearance filed by Sheila Ellen O'Callaghan on behalf of Securities And Exchange Commission (O'Callaghan, Sheila) |
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| 18 | 18
3
pgs
order
Order on Motion for Pro Hac Vice
Mon 09/30 10:56 AM
ORDER by Magistrate Judge Thomas S.Hixson granting 16 Motion for Pro Hac Vice. (rmm2, COURT STAFF) |
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| 17 | 17
3
pgs
order
Order on Motion for Pro Hac Vice
Mon 09/30 10:47 AM
ORDER by Magistrate Judge Thomas S.Hixson granting 15 Motion for Pro Hac Vice. (rmm2, COURT STAFF) |
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| Friday, September 27, 2024 | ||
| 16 | 16
motion
Pro Hac Vice
Fri 09/27 12:00 PM
MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 328, receipt number ACANDC-19893490.) filed by Barbara Woortmann. (Moustakis, Philip) |
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| 15 | 15
motion
Pro Hac Vice
Fri 09/27 11:48 AM
MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 328, receipt number ACANDC-19893340.) filed by Barbara Woortmann. (Nawaday, Jaimie) |
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| Wednesday, September 25, 2024 | ||
| 14 | 14
3
pgs
order
Order on Motion for Pro Hac Vice
Wed 09/25 5:37 PM
ORDER by Magistrate Judge Thomas S. Hixson granting 12 Motion for Pro Hac Vice. (rmm2, COURT STAFF) |
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| 13 | 13
3
pgs
order
Order on Motion for Pro Hac Vice
Wed 09/25 5:36 PM
ORDER by Magistrate Judge Thomas S. Hixson granting 11 Motion for Pro Hac Vice. (rmm2, COURT STAFF) |
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| 12 | 12
motion
Pro Hac Vice
Wed 09/25 9:59 AM
MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 328, receipt number ACANDC-19883434.) filed by Abraham Shafi. (Moustakis, Philip) |
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| 11 | 11
motion
Pro Hac Vice
Wed 09/25 8:55 AM
MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 328, receipt number ACANDC-19882834.) filed by Abraham Shafi. (Nawaday, Jaimie) |
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| Tuesday, August 27, 2024 | ||
| 10 | 10
service
Waiver of Service Executed
Tue 08/27 1:35 PM
WAIVER OF SERVICE Returned Executed filed by Securities And Exchange Commission. Service waived by Barbara Woortmann waiver sent on 8/1/2024, answer due 9/30/2024. (Meyerhofer, Matthew) |
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| 9 | 9
1
pgs
service
Waiver of Service Executed
Tue 08/27 1:31 PM
WAIVER OF SERVICE Returned Executed filed by Securities And Exchange Commission. Service waived by Abraham Shafi waiver sent on 8/1/2024, answer due 9/30/2024. (Meyerhofer, Matthew) |
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| Thursday, August 01, 2024 | ||
| 8 | 8
service
Summons Issued
Thu 08/01 11:00 AM
Summons Issued as to Abraham Shafi, Barbara Woortmann. (far, COURT STAFF) |
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| 7 | 7
order
Initial Case Management Scheduling Order with ADR Deadlines
Thu 08/01 10:59 AM
Initial Case Management Scheduling Order with ADR Deadlines: Case Management Statement due by 10/31/2024. Initial Case Management Conference set for 11/7/2024 10:00 AM in San Francisco, Courtroom E, 15th Floor. (far, COURT STAFF) |
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| 6 | 6
utility
~Util - Case Assigned by Intake
Thu 08/01 10:42 AM
Case assigned to Magistrate Judge Thomas S. Hixson. Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E-Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening. Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. Consent/Declination due by 8/15/2024. (mbc, COURT STAFF) |
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| Wednesday, July 31, 2024 | ||
| 5 | 5
Proposed Summons. (Meyerhofer, Matthew)
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| 4 | 4
Proposed Summons. (Meyerhofer, Matthew)
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| 3 | 3
Proposed Summons. (Meyerhofer, Matthew)
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| 2 | 2
CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by Securities And Exchange Commission.. (Meyerhofer, Matthew)
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| 1 | 1
16
pgs
COMPLAINT against Abraham Shafi, Barbara Woortmann. Filed by Securities And Exchange Commission.(Meyerhofer, Matthew)
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Att: 1
Civil Cover Sheet
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| [LINK:Electronic filing error] . ONLY ONE SUMMONS TO BE ISSUED PER CASE, USE AN ATTACHMENT TO SUMMONS IF NEEDED TO LIST ADDITIONAL DEFENDANTS INFORMATION [err201].This filing will not be processed by the clerks office.Please re-file in its entirety. Re:4 Proposed Summons filed by Securities And Exchange Commission,3 Proposed Summons filed by Securities And Exchange Commission (far, COURT STAFF) | ||