Securities and Exchange Commission v. Dow Rockwell LLC
- Maxine Chesney
- 3:22-cv-02069
- U.S. District Court · Northern District of California
- 1
In Securities and Exchange Commission v. Dow Rockwell LLC, Judge Chesney ordered the LLC to obtain counsel or explain why default should not be entered.
Dow Rockwell LLC was required to obtain counsel or explain why default should not be entered. Richard Dow Rockwell filed the answer while appearing without a lawyer.
What happened
In Securities and Exchange Commission v. Dow Rockwell LLC, the Securities and Exchange Commission had filed the action, and Richard Dow Rockwell filed an answer for himself and supposedly for Dow Rockwell LLC while representing himself.
The court explained that a limited liability company must appear through a lawyer. It ordered Dow Rockwell LLC, by November 3, 2022, either to appear through counsel or explain in writing why the court should not enter default against it.
Judge Maxine M. Chesney issued an order to show cause on October 13, 2022. The order addressed the LLC’s representation and did not decide the underlying claims.
The detailed version
- Securities and Exchange Commission v. Dow Rockwell LLC · No. 3:22-cv-02069
- Maxine Chesney
- Oct. 13, 2022
Background
The Securities and Exchange Commission filed the action on March 31, 2022. On October 7, 2022, Richard Dow Rockwell, appearing without a lawyer, filed an answer purportedly on behalf of himself and Dow Rockwell LLC.
Court’s Analysis
The court stated that corporations and other unincorporated associations must appear in court through an attorney. Because Dow Rockwell LLC had not appeared through counsel, the court issued an order to show cause. An order to show cause requires a party to explain why a proposed action should not be taken.
Ruling
The court ordered Dow Rockwell LLC, no later than November 3, 2022, either to appear through counsel or to show cause in writing why its default should not be entered. The order did not rule on the merits of the Securities and Exchange Commission’s claims.
Read the full 1-page opinion on CourtListener, the free public archive maintained by the Free Law Project.