Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_16-cv-01386/USCOURTS-cand-3_16-cv-01386-17/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:77 Securities Fraud

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Stipulation Continue Case Management Conf. Civ. 3:16-cv-01386-EMC

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JINA L. CHOI (N.Y. Bar No. 2699718)

JOHN S. YUN (Cal. Bar No. 112260) yunj@sec.gov

MARC D. KATZ (Cal. Bar No. 189534)

 katzma@sec.gov

JESSICA W. CHAN (Cal. Bar No. 247669)

 chanjes@sec.gov

Attorneys for Plaintiff

SECURITIES AND EXCHANGE COMMISSION

44 Montgomery Street, Suite 2800

San Francisco, CA 94104

Telephone: (415) 705-2500

Facsimile: (415) 705-2501

SECURITIES AND EXCHANGE COMMISSION,

Plaintiff,

v.

JOHN V. BIVONA; SADDLE RIVER 

ADVISORS, LLC; SRA MANAGEMENT 

ASSOCIATES, LLC; FRANK GREGORY 

MAZZOLA,

Defendants, and

SRA I LLC; SRA II LLC; SRA III LLC; 

FELIX INVESTMENTS, LLC; MICHELE 

J. MAZZOLA; ANNE BIVONA; CLEAR 

SAILING GROUP IV LLC; CLEAR 

SAILING GROUP V LLC,

 Relief Defendants.

 

Case No. 3:16-cv-01386-EMC (JCS)

STIPULATION AND PROPOSED ORDER

TO CONTINUE CASE MANAGEMENT

CONFERENCE

Date: March 9, 2017

Time: 10:30 a.m.

Courtroom: 5 (Seventeenth Floor)

Judge: Edward M. Chen

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

Case 3:16-cv-01386-EMC Document 170 Filed 02/27/17 Page 1 of 3
Stipulation Continue Case Management Conf. 1 Civ. 3:16-cv-01386-EMC

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STIPULATION TO CONTINUE CASE MANAGEMENT CONFERENCE

Counsel for plaintiff Securities and Exchange Commission (“Commission”), for defendants 

John V. Bivona, Frank G. Mazzola and Saddle River Advisors, LLC (“Saddle River”) and for relief 

defendants Anne Bivona and Michele J. Mazzola, and for the receivership entities defendant SRA 

Management, LLC and relief defendants SRA I LLC, SRA II LLC, SRA III LLC, Clear Sailing 

Group IV LLC and Clear Sailing Group V LLC, as well as third party affiliated entities Felix MultiOpportunity Fund I LLC, Felix Multi-Opportunity Fund II LLC, Felix Management Associates LLC, 

NYPA Fund I LLC, NYPA Fund II LLC and NYPA Management Associates LLC, hereby submit 

this Stipulation to continue, until after April 25, 2017, the case management conference that is now 

scheduled for Thursday, March 9, 2017. 

The March 9th case management conference was scheduled for one month after the 

anticipated resumption on February 9, 2017 of the mandatory settlement conference before Chief 

Magistrate Judge Joseph Spero. Chief Magistrate Judge Spero recently agreed to continue the

mandatory settlement conference until Tuesday, April 25, 2017. Because the settlement conference 

is being continued, the parties do not believe that a case management conference would be productive 

on March 9, 2017. 

The parties therefore stipulate to continuing the case management conference until after the 

April 25th settlement conference, and are available for the continued case management conference on 

the mornings of Thursday, May 4, May 15, and June 1, 2017. The parties also agree that counsel for 

Frank Gregory Mazzola and Michele J. Mazzola may attend the case management conference by 

telephone.

Dated: February 22, 2017

SECURITIES AND EXCHANGE COMMISSION

John S. Yun 

John S. Yun

Attorneys for Plaintiff

SECURITIES AND EXCHANGE COMMISSION

Case 3:16-cv-01386-EMC Document 170 Filed 02/27/17 Page 2 of 3
Stipulation Continue Case Management Conf. 2 Civ. 3:16-cv-01386-EMC

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Jahan P. Raissi (by email authorization)

Jahan P. Raissi

SHARTSIS FRIESE LLP

Attorneys for Defendants JOHN V. BIVONA and SADDLE 

RIVER ADVISORS, LLC and Relief Defendant ANNE 

BIVONA

John W. Cotton (by email authorization)

John W. Cotton

GARTENBERG, GELFAND & HAYTON LLP

Attorney for the Receiver

SHERWOOD PARTNERS, INC. for Receivership Entities

SRA MANAGEMENT, LLC, SRA I LLC, 

SRA II LLC, SRA III LLC, CLEAR SAILING GROUP IV 

LLC, CLEAR SAILING GROUP V LLC, FELIX 

MANAGEMENT ASSOCIATES LLC, FELIX MULTIOPPORTUNITY FUND I LLC, FELIX MULTIOPPORTUNITY FUND II LLC, NYPA MANAGEMENT 

ASSOCIATES LLC, NYPA FUND I LLC, and NYPA FUND 

II LLC

/s/ Richard Babnick (by email authorization)

Richard J. Babnick Jr., Esq.

SICHENZIA ROSS FRIEDMAN FERENCE LLP

Attorneys for Defendants FRANK G. MAZZOLA and Relief 

Defendant MICHELE J. MAZZOLA

ORDER CONTINUING CASE MANAGEMENT CONFERENCE

Based upon the parties Stipulation, and good cause appearing, the case management 

conference now calendared for Thursday, March 9, 2017, is hereby continued to Thursday,

_________ __, 2017 at 10:30 a.m. The parties shall file an updated joint case management statement 

at least seven calendar days before the case management conference. Counsel for Frank Mazzola and 

Michele Mazzola may appear at the case management conference by telephone.

SO ORDERED.

Dated: February ___, 2017

_________________________

EDWARD M. CHEN, Judge

United States District Court

May 5

27

U

NITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

IT IS SO ORDERED

AS MODIFIED

Judge Edward M. Chen

Case 3:16-cv-01386-EMC Document 170 Filed 02/27/17 Page 3 of 3