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Filed: 6/28/2017, Entered: 6/28/2017 |
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Terminate Transcript Deadlines (cf)
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 23 |
Filed: 1/30/2017, Entered: 1/30/2017 |
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FINAL JUDGMENT AS TO 601CBC0: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 [17 C.F.R. § 240.10b-5] thereunder, by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, as further set forth in this Judgment. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $38,530,000, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $1,169,645.20, for a total of $39,699,645.20, which is deemed satisfied by the criminal forfeiture order entered against Defendant in US. v. 601CBC0, 16-CR-414 (S.D.N.Y.). (Signed by Judge Richard M. Berman on 1/30/2017) (cf)
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 Request |
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| 22 |
Filed: 1/27/2017, Entered: 1/27/2017 |
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LETTER addressed to Judge Richard M. Berman from Paul G. Gizzi dated January 27, 2017 re: Resolution of Outstanding Claims. Document filed by Securities and Exchange Commission.(Gizzi, Paul)
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Request |
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| 21 |
Filed: 11/9/2016, Entered: 11/9/2016 |
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ORDER granting 20 Letter Motion to Adjourn Conference. Adjourned to 2/14/17 @ 9:30. Status Conference set for 2/14/2017 at 09:30 AM before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 11/9/2016) (cf)
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Request |
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| 20 |
Filed: 11/8/2016, Entered: 11/8/2016 |
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LETTER MOTION to Adjourn Conference addressed to Judge Richard M. Berman from Paul Shechtman dated November 8, 2016. Document filed by 601CBC0.(Shechtman, Paul)
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Request |
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| 19 |
Filed: 9/20/2016, Entered: 9/20/2016 |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 9/8/16 has been filed by the court reporter/transcriber in the above-captioned matter. The 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...(Siwik, Christine)
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Request |
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| 18 |
Filed: 9/20/2016, Entered: 9/20/2016 |
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TRANSCRIPT of Proceedings re: Conference held on 9/8/2016 before Judge Richard M. Berman. Court Reporter/Transcriber: Eve Giniger, (212) 805-0300. 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. Redaction Request due 10/14/2016. Redacted Transcript Deadline set for 10/24/2016. Release of Transcript Restriction set for 12/22/2016.(Siwik, Christine)
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Request |
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| 17 |
Filed: 9/9/2016, Entered: 9/12/2016 |
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JUDGMENT AS TO 601CBC0. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, and as further specified and set forth in this Judgment. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. § 523, the allegations in the Complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code. 11 U.S.C. § 523(a)(19). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment and the Consent. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. Motions terminated: 16 MOTION for Judgment as to 601CBC0 filed by Securities and Exchange Commission. (Signed by Judge Richard M. Berman on 9/9/2016) (rjm) (Additional attachment(s) added on 9/12/2016: # 1 Right to Appeal Form #1, # 2 Right to Appeal #2) (rjm).
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Request |
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Filed: 9/8/2016, Entered: 9/8/2016 |
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Minute Entry for proceedings held before Judge Richard M. Berman: Status Conference held on 9/8/2016. Proposed judgment filed. Court will review. Next conference is scheduled for 11/9/16 at 9:30 am. See transcript of proceedings held for a complete record. (Court Reporter Eve Giniger) (CM)
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| 16 |
Filed: 9/7/2016, Entered: 9/7/2016 |
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FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Judgment as to 601CBC0. Document filed by Securities and Exchange Commission.(Gizzi, Paul) Modified on 9/21/2016 (db).
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Request |
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| 15 |
Filed: 7/12/2016, Entered: 7/12/2016 |
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ORDER: The conference currently scheduled for Wednesday, July 13, 2016, at 9:30 a.m. is hereby rescheduled to Thursday, September 8, 2016, at 9:30 a.m. in Courtroom 17B of the Daniel Patrick Moynihan Courthouse at 500 Pearl Street, New York, New York 10007. (Status Conference set for 9/8/2016 at 09:30 AM in Courtroom 17B, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 7/12/2016) (tn)
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Request |
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| 14 |
Filed: 4/25/2016, Entered: 4/25/2016 |
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WAIVER OF SERVICE RETURNED EXECUTED. Irving Place III SPV, LLC waiver sent on 4/5/2016, answer due 6/6/2016. Document filed by Securities and Exchange Commission. (Gizzi, Paul)
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Request |
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| 13 |
Filed: 4/25/2016, Entered: 4/25/2016 |
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WAIVER OF SERVICE RETURNED EXECUTED. 601CBC0 waiver sent on 4/5/2016, answer due 6/6/2016. Document filed by Securities and Exchange Commission. (Gizzi, Paul)
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Request |
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| 12 |
Filed: 4/13/2016, Entered: 4/13/2016 |
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Minute Entry for proceedings held before Judge Richard M. Berman: Initial Pretrial Conference held on 4/13/2016. See transcript of proceedings for a complete record. Next conference is scheduled for July 13, 2016 at 9:30 am. (Court Reporter Andrew Walker) (CM)
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Request |
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| 11 |
Filed: 4/8/2016, Entered: 4/11/2016 |
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ORDER denying 10 Letter Motion to Adjourn Conference. Request denied. SEC is directed to notify Defendants of the date and time of the conference. (Signed by Judge Richard M. Berman on 4/8/2016) (mro)
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Request |
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| 10 |
Filed: 4/8/2016, Entered: 4/8/2016 |
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LETTER MOTION to Adjourn Conference addressed to Judge Richard M. Berman from Paul G. Gizzi dated April 8, 2016. Document filed by Securities and Exchange Commission.(Gizzi, Paul)
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Request |
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Filed: 3/31/2016, Entered: 4/1/2016 |
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Transmission to Case Assignment Clerk. Transmitted re: 9 Endorsed Letter to the Case Assignment Clerk for preparation of notice of case assignment/reassignment. (rjm)
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| 9 |
Filed: 3/31/2016, Entered: 4/1/2016 |
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ENDORSED LETTER (via email) addressed to Case Assignment from United States District Judge Kimba M. Wood dated 3/31/2016 re: Due to the fact that I have family members who have had in the past contact with 601CBC0, I am recusing myself from this case. ENDORSEMENT: So ordered. (Signed by Judge Kimba M. Wood on 3/31/2016) (rjm)
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Request |
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| 8 |
Filed: 3/31/2016, Entered: 3/31/2016 |
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INITIAL PRETRIAL CONFERENCE ORDER: 1. Counsel (or pro se litigants) are to appear for an initial pre-trial conference on April 13, 2016 at 9:30 a.m. in Courtroom 17B (17th floor), 500 Pearl Street, U.S. District Courthouse as further set forth in this order. Initial Conference set for 4/13/2016 at 09:30 AM in Courtroom 17B, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 3/31/2016) (lmb)
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Filed: 3/31/2016, Entered: 3/31/2016 |
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NOTICE OF CASE REASSIGNMENT to Judge Richard M. Berman. Judge Kimba M. Wood is no longer assigned to the case. (wb)
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Filed: 3/29/2016, Entered: 3/29/2016 |
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Case Designated ECF. (rch)
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Filed: 3/29/2016, Entered: 3/29/2016 |
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Magistrate Judge Gabriel W. Gorenstein is so designated. (rch)
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Filed: 3/29/2016, Entered: 3/29/2016 |
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Kimba M. Wood. Please download and review the Individual Practices of the assigned District Judge, located at http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at http://nysd.uscourts.gov/ecf_filing.php. (rch)
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| 7 |
Filed: 3/29/2016, Entered: 3/29/2016 |
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ELECTRONIC SUMMONS ISSUED as to Irving Place III SPV, LLC. (rch)
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Request |
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| 6 |
Filed: 3/29/2016, Entered: 3/29/2016 |
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ELECTRONIC SUMMONS ISSUED as to 601CBC0. (rch)
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Request |
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Filed: 3/29/2016, Entered: 3/29/2016 |
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***NOTICE TO ATTORNEY REGARDING CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Paul G. Gizzi. The following case opening statistical information was erroneously selected/entered: Fee Status code pd (paid). The following correction(s) have been made to your case entry: the Fee Status code has been modified to none (no fee required). (rch)
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Filed: 3/29/2016, Entered: 3/29/2016 |
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Paul G. Gizzi to RE-FILE Document No. 1 Complaint. The filing is deficient for the following reason(s): Complaint not signed by filer. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (rch)
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| 5 |
Filed: 3/28/2016, Entered: 3/28/2016 |
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NOTICE OF APPEARANCE by James K. Hanson on behalf of Securities and Exchange Commission. (Hanson, James)
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Request |
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| 4 |
Filed: 3/28/2016, Entered: 3/28/2016 |
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REQUEST FOR ISSUANCE OF SUMMONS as to Irving Place III SPV, LLC, re: 1 Complaint. Document filed by Securities and Exchange Commission. (Gizzi, Paul)
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Request |
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| 3 |
Filed: 3/28/2016, Entered: 3/28/2016 |
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REQUEST FOR ISSUANCE OF SUMMONS as to 601CBC0, re: 1 Complaint. Document filed by Securities and Exchange Commission. (Gizzi, Paul)
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Request |
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| 2 |
Filed: 3/28/2016, Entered: 3/28/2016 |
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CIVIL COVER SHEET filed. (Gizzi, Paul)
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Request |
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 1 |
Filed: 3/28/2016, Entered: 3/28/2016 |
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FILING ERROR - DEFICIENT PLEADING - SIGNATURE ERROR - COMPLAINT against 601CBC0, Irving Place III SPV, LLC. Document filed by Securities and Exchange Commission.(Gizzi, Paul) Modified on 3/29/2016 (rch).
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