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11-5223 - Securities And Exchange Commission v. Ferrone et al


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11-5223 - Securities And Exchange Commission v. Ferrone et al
October 10, 2014
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Enter MEMORANDUM Opinion and Order Signed by the Honorable Elaine E. Bucklo on 10/10/2014. Mailed notice (jdh)
October 21, 2015
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Enter MEMORANDUM Opinion and Order Signed by the Honorable Elaine E. Bucklo on 10/21/2015. Mailed notice (jdh)
February 11, 2016
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ORDER: Plaintiff Securities and Exchange Commission's Motion to Allow Out-of-Town Investor Witness to Testify by Live Video at the Trial of the SEC's Claims against Defendant Stephen Ferrone [ECF No. 198] is denied. See attached Statement for further details. Signed by the Honorable Jeffrey T. Gilbert on 2/11/2016. Mailed notice (ber, )
February 22, 2016
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MEMORANDUM Opinion and Order: For the reasons stated in the Court's Memorandum Opinion and Order, the Court orders as follows. (1) Ferrone's Motion in Limine to Exclude as Trial Exhibits Privilege-Asserted Documents Produced after Discovery Cut-Off [ECF No. 147] is denied. (2) Ferrone's Motion in Limine to Exclude Evidence Concerning McClain, Sr.'s Alleged Separate Fraud on the Texas Clinic Patients [ECF No. 146] is granted. (3) Ferrone's Daubert Motion to Restrict Testimony of Dr. Peter Rheinstein [ECF No. 149] is granted in part, denied in part, and reserved in part. (4) Ferrone's Motion in Limine to Exclude Testimony of Drs. Hazelwood and Kanter [ECF No. 148] is granted in part, denied in part, and reserved in part. (5) The SEC's Motion in Limine No. 2 for a Pre-Trial Ruling That the SEC Can Introduce into Evidence Two Documents Notwithstanding Flawed Privilege Claims [ECF No. 142] is granted. (6) The SEC's Motion in Limine No. 3 to Preclude Ferrone from Offering Evidence or Argument about Investor Reliance [ECF No. 144] is granted in part and denied in part. (7) The SEC's Motion in Limine No. 1 to Preclude Defendant from Offering Evidence of or Argument at Trial That He Reasonably Relied on Advice of Counsel Or the Involvement of Lawyers Or Other Professionals [ECF No. 140] is denied without prejudice. See attached Memorandum Opinion and Order for further details. Signed by the Honorable Jeffrey T. Gilbert on 2/22/2016. Mailed notice(ber, )