Name: United States v. Middendorf :: New York Southern District Court :: Criminal Case No. 1:18-cr-00036-JPO-1
Creator: New York Southern District Court
Published: 2018-01-17
License: https://creativecommons.org/publicdomain/mark/1.0/
Keywords: court documents, legal case, docket, PACER, New York Southern District Court

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538	Filed: 8/21/2024, Entered: None	Letter

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517	Filed: 9/20/2022, Entered: None	Letter Motion

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516	Filed: 5/5/2022, Entered: None	Order on Motion to Withdraw as Attorney

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513	Filed: 3/14/2022, Entered: None	Order on Letter Motion

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512	Filed: 3/10/2022, Entered: None	Letter Motion

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510	Filed: 11/23/2021, Entered: None	Letter Motion

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507	Filed: 2/10/2021, Entered: None	Notice of Attorney Appearance - Defendant

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500	Filed: 12/4/2020, Entered: None	Notice of Filing Transcript

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499	Filed: 12/4/2020, Entered: None	Transcript

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496	Filed: 11/24/2020, Entered: None	Withdraw as Attorney

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494	Filed: 11/17/2020, Entered: None	Letter - Sentencing

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493	Filed: 11/4/2020, Entered: None	Order

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492	Filed: 10/30/2020, Entered: None	Sentencing Submission

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491	Filed: 10/29/2020, Entered: None	Notice of Filing Transcript

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490	Filed: 10/29/2020, Entered: None	Transcript

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487	Filed: 10/13/2020, Entered: None	Notice of Filing Transcript

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486	Filed: 10/13/2020, Entered: None	Transcript

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470	Filed: 3/31/2020, Entered: None	Order on Motion to Withdraw as Attorney

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469	Filed: 3/30/2020, Entered: None	Declaration in Support of Motion

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468	Filed: 3/30/2020, Entered: None	Withdraw as Attorney

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466	Filed: 3/12/2020, Entered: None	Letter

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462	Filed: 1/14/2020, Entered: None	Order on Motion to Withdraw as Attorney

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461	Filed: 12/23/2019, Entered: None	Declaration in Support of Motion

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460	Filed: 12/23/2019, Entered: None	Withdraw as Attorney

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459	Filed: 12/19/2019, Entered: None	Order on Motion to Withdraw as Attorney

	Request

456	Filed: 12/17/2019, Entered: None	Endorsed Letter

	Request

451	Filed: 11/5/2019, Entered: 11/5/2019	Letter
	LETTER by David Middendorf addressed to Judge J. Paul Oetken from Amy Lester dated November 5, 2019 re: Restitution (Clark, Alexandra)
	Request

447	Filed: 10/30/2019, Entered: 10/30/2019	Appeal Transcript Request
	TRANSCRIPT REQUEST by Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada No transcript ordered. (Cook, Stephen)
	Request

446	Filed: 10/22/2019, Entered: 10/22/2019	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes dated October 22, 2019 re: Restitution Document filed by USA. (Attachments: # (1) Exhibit 1)(Estes, Jordan)
	Request

445	Filed: 10/22/2019, Entered: 10/22/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, Nelson A. Boxer, Alexandera R. Clark, Gregory S. Bruch, Khiran Sidhu dated 10/17/2019 re: Defense counsel writes to request permission for travel. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 10/22/2019) (ap)
	Request

435	Filed: 10/7/2019, Entered: 10/7/2019	Appeal Transcript Request
	TRANSCRIPT REQUEST by David Middendorf No transcript ordered. (Clark, Alexandra)
	Request

433	Filed: 10/3/2019, Entered: 10/4/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, dated 10/3/2019, re: Defense counsel writes to request permission for the Defendant to travel as set forth in this letter. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 10/3/2019) (lnl)
	Request

419	Filed: 9/23/2019, Entered: 9/23/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf. Notice is hereby given that an official transcript of a Sentence proceeding held on 9/11/19 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.... (McGuirk, Kelly)
	Request

418	Filed: 9/23/2019, Entered: 9/23/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf re: Sentence held on 9/11/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Martha Martin, (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 10/15/2019. Redacted Transcript Deadline set for 10/24/2019. Release of Transcript Restriction set for 12/23/2019. (McGuirk, Kelly)
	Request

404	Filed: 9/18/2019, Entered: 9/18/2019	NOTICE OF APPEAL- Final Judgment
	NOTICE OF APPEAL by David Middendorf from [403] Judgment. Filing fee $ 505.00, receipt number 465401244189. (tp)
	Request

	Filed: None, Entered: None	Note Regarding Deleted Document
	***DELETED DOCUMENT. Deleted document number 405 Notice of Appeal, as to David Middendorf. The document was incorrectly filed in this case. (nd)


	Filed: None, Entered: None	Appeal Record Sent to USCA - Electronic File
	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files as to David Middendorf re: [404] Notice of Appeal - Final Judgment were transmitted to the U.S. Court of Appeals. (tp)


	Filed: None, Entered: None	transmission of notice of appeal and docket sheet to USCA
	Transmission of Notice of Appeal and Certified Copy of Docket Sheet as to David Middendorf to US Court of Appeals re: [404] Notice of Appeal - Final Judgment. (tp)


403	Filed: 9/16/2019, Entered: 9/16/2019	judgment
	JUDGMENT IN A CRIMINAL CASE as to David Middendorf (1). The Defendant was found guilty on counts 2, 3, 4 and 5 after a plea of not guilty. The Defendant has been found not guilty on count 1. IMPRISONMENT: 12 months and 1 day. SUPERVISED RELEASE: 3 years. ASSESSMENT: $400.00 due immediately. Restitution will be ordered in an amount that the Court will set at a later date. (Signed by Judge J. Paul Oetken on 9/12/2019) (lnl)
	Request

	Filed: None, Entered: None	sentencing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Sentencing held on 9/11/2019 for David Middendorf (1) Count 2,3-5. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; AUSAs Jordan Estes, Martin Bell and Margaret Graham present; Court Reporter present. Defendant is sentenced to 12 months and 1 day on counts 2, 3, 4 and 5 to run concurrent with each other and 3 years of supervised release on each count to run concurrent with each other. Defendant is to pay a special assessment of $400. Defendant's bail is continued pending his appeal. (See transcript for complete details.) (lnl)


399	Filed: 9/10/2019, Entered: 9/10/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


398	Filed: 9/9/2019, Entered: 9/9/2019	Memorandum and Opinion
	OPINION AND ORDER as to David Middendorf, Jeffrey Wada: Defendants' motions for judgment of acquittal under Rule 29 and for a new trial under Rule 33 are denied. SO ORDERED. (Signed by Judge J. Paul Oetken on 9/9/2019) (See OPINION AND ORDER as set forth) (lnl)


394	Filed: 9/4/2019, Entered: 9/4/2019	Sentencing Submission
	SENTENCING SUBMISSION by USA as to David Middendorf. (Estes, Jordan)
	Request

391	Filed: 8/27/2019, Entered: 8/27/2019	Order
	ORDER GRANTING WITHDRAWAL AS COUNSEL as to David Middendorf. IT IS HEREBY ORDERED that Noam Greenspan is hereby withdrawn as counsel of record for Mr. Middendorf and shall be removed from all future notices in this action. (Signed by Judge J. Paul Oetken on 8/27/19)(jw)
	Request

	Filed: None, Entered: None	Add and Terminate Attorneys
	Attorney update in case as to David Middendorf. Attorney Noam B Greenspan terminated (jw)


387	Filed: 8/16/2019, Entered: 8/16/2019	Declaration in Support of Motion
	DECLARATION of Noam Greenspan in Support as to David Middendorf re: [386] MOTION to Withdraw Noam Greenspan as Counsel.. (Greenspan, Noam)
	Request

386	Filed: 8/16/2019, Entered: 8/16/2019, Terminated: 8/27/2019	Motion to Withdraw
	MOTION to Withdraw Noam Greenspan as Counsel. Document filed by David Middendorf. (Attachments: # (1) Text of Proposed Order Granting Withdrawal)(Greenspan, Noam)
	Request

385	Filed: 8/15/2019, Entered: 8/15/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer, Amy Lester, Alexandra R. Clark, dated 8/1/2019; re: Defense counsel writes to request that Defendant's sentencing be adjourned. ENDORSEMENT: Granted. Sentencing as to defendant Middendorf is rescheduled for September 11, 2019, at 10:30 am. So Ordered. (Sentencing set for 9/11/2019 at 10:30 AM before Judge J. Paul Oetken) (Signed by Judge J. Paul Oetken on 8/15/2019) (lnl)
	Request

384	Filed: 8/8/2019, Entered: 8/8/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Cynthia Holder, Jeffrey Wada. Notice is hereby given that an official transcript of a Conference proceeding held on 8/1/19 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.... (McGuirk, Kelly)
	Request

383	Filed: 8/8/2019, Entered: 8/8/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Cynthia Holder, Jeffrey Wada re: Conference held on 8/1/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Lisa Picciano Franko, (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 8/29/2019. Redacted Transcript Deadline set for 9/9/2019. Release of Transcript Restriction set for 11/6/2019. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	set/reset hearings
	Set/Reset Hearings as to David Middendorf: Sentencing set for 9/6/2019 at 03:00 PM before Judge J. Paul Oetken. (jbo)


	Filed: None, Entered: None	Oral Argument
	Minute Entry for proceedings held before Judge J. Paul Oetken: Oral Argument as to David Middendorf, Cynthia Holder, Jeffrey Wada held on 8/1/2019. Defendant David Middendorf present with attorney Nelson Boxer, Amy Lester and Gregory Bruch; Defendant Cynthia Holder present with attorney Norman Bloch and Emily Mathieu; Defendant Jeffrey Wada present with attorney Stephen Cook, Justin Weddle and Selvie Jason; AUSA Jorden Estes and Martin Bell present; court Reporter present. Oral argument held. Defendant Middendorf's sentencing date is adjourned to September 6, 2019 at 3:00 pm. Defendant Holder's sentencing date is set for August 9, 2019 at 11:00 am. Bail continued as to all defendants. (See transcript for complete details.) (jbo)


380	Filed: 7/30/2019, Entered: 7/30/2019	Reply to Response to motion
	LETTER REPLY TO RESPONSE to Motion by David Middendorf, Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from Nelson A. Boxer dated July 30, 2019 re [370] LETTER MOTION addressed to Judge J. Paul Oetken from Nelson A. Boxer dated July 10, 2019 re: the loss amount under the Guidelines and the PCAOB's restitution request .. (Greenspan, Noam)
	Request

379	Filed: 7/26/2019, Entered: 7/26/2019	Sentencing Submission
	SENTENCING SUBMISSION by David Middendorf. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K, # (12) Exhibit L, # (13) Exhibit M, # (14) Exhibit N, # (15) Exhibit O, # (16) Exhibit P, # (17) Exhibit Q, # (18) Exhibit R, # (19) Exhibit S, # (20) Exhibit T, # (21) Exhibit U, # (22) Exhibit V, # (23) Exhibit W, # (24) Exhibit X, # (25) Exhibit Y)(Greenspan, Noam)
	Request

378	Filed: 7/26/2019, Entered: 7/26/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from AUSA Margaret Graham dated 7/26/19 re: [370] LETTER MOTION addressed to Judge J. Paul Oetken from Nelson A. Boxer dated July 10, 2019 re: the loss amount under the Guidelines and the PCAOB's restitution request . . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Graham, Margaret)
	Request

	Filed: None, Entered: None	Docket Annotation
	ORDER: THE GOVERNMENT IS DIRECTED TO RESPOND TO DEFENDANT'S JULY 10, 2019 LETTER BY NO LATER THAN JULY 26, 2019. A HEARING ON THE AMOUNT OF LOSS AND RESTITUTION IS SCHEDULED FOR AUGUST 1, 2019 at 11:30 AM. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh) (bh)


376	Filed: 7/18/2019, Entered: 7/18/2019	notice of attorney appearance - USA
	NOTICE OF ATTORNEY APPEARANCE Martin Bell appearing for USA. (Bell, Martin)
	Request

375	Filed: 7/16/2019, Entered: 7/17/2019	Memo Endorsement
	MEMO ENDORSED granting [373] Letter re: Attorney Withdrawal as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada...ENDORSEMENT: GRANTED. SO ORDERED. (Signed by Judge J. Paul Oetken on 7/16/19)(jbo)
	Request

	Filed: None, Entered: None	Add and Terminate Attorneys
	Attorney update in case as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. AUSA Amanda Kay Kramer terminated. (jbo)


373	Filed: 7/15/2019, Entered: 7/15/2019	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSA Amanda Kramer dated July 15, 2019 re: Attorney Withdrawal Document filed by USA. (Kramer, Amanda)
	Request

372	Filed: 7/11/2019, Entered: 7/11/2019	notice of attorney appearance - USA
	NOTICE OF ATTORNEY APPEARANCE Margaret Graham appearing for USA. (Graham, Margaret)
	Request

370	Filed: 7/10/2019, Entered: 7/10/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Nelson A. Boxer dated July 10, 2019 re: the loss amount under the Guidelines and the PCAOB's restitution request . Document filed by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Greenspan, Noam)
	Request

363	Filed: 6/10/2019, Entered: 6/11/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


362	Filed: 6/10/2019, Entered: 6/10/2019	Order on Letter Motion
	MEMO ENDORSEMENT as to David Middendorf (1), Thomas Whittle (2), Cynthia Holder (4), Jeffrey Wada (5) granting [357] THIRD PARTY LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated June 4, 2019 re: Sealing Exhibits in Support of the PCAOBs Victim Impact Statement. Document filed by Public Company Accounting Oversight Board ("PCAOB"). ENDORSEMENT: Granted. In connection with its victim impact statement, the PCAOB shall be permitted to file under seal Exhibits 2 through 7 to the Cook Declaration. (Signed by Judge J. Paul Oetken on 6/10/2019) (ap)
	Request

360	Filed: 6/7/2019, Entered: 6/7/2019	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to David Middendorf re: [335] MOTION to Set Aside Verdict . MOTION for New Trial . . (Greenspan, Noam)
	Request

358	Filed: 6/4/2019, Entered: 6/4/2019	Sentencing Submission
	SENTENCING SUBMISSION by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, Cynthia Holder, Jeffrey Wada. (Attachments: # (1) Affidavit of Justin V. Shur, # (2) Affidavit of John Cook, # (3) Exhibit 1 to the Affidavit of John Cook)(Shur, Justin)
	Request

357	Filed: 6/4/2019, Entered: 6/4/2019, Terminated: 6/10/2019	Letter Motion
	THIRD PARTY LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated June 4, 2019 re: Sealing Exhibits in Support of the PCAOBs Victim Impact Statement . Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, Cynthia Holder, Jeffrey Wada. (Shur, Justin)
	Request

354	Filed: 6/3/2019, Entered: 6/3/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


353	Filed: 5/29/2019, Entered: 5/29/2019	response in opposition to motion
	RESPONSE in Opposition by USA as to David Middendorf, Jeffrey Wada re: [335] MOTION to Set Aside Verdict . MOTION for New Trial ., [337] MOTION for Acquittal and Alternatively, MOTION for a New Trial.. (Estes, Jordan)
	Request

352	Filed: 5/29/2019, Entered: 5/29/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from Rebecca Mermelstein and Amanda Kramer and Jordan Estes dated 5/24/2019 re: The Government writes with respect to its opposition brief filed on May 17, 2019. The Government requests that the previous filing be sealed and that it be permitted to file a redacted version of its brief, consistent with the Court's April 3, 2019 order....ENDORSEMENT: GRANTED. The Government's May 17, 2019 submission shall be placed under seal. The Government is directed to file a redacted version of its opposition brief on the public docket. SO ORDERED. (Signed by Judge J. Paul Oetken on 5/28/2019)(jw)
	Request

351	Filed: 5/22/2019, Entered: 5/22/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken, from Amy Lester, Nelson A. Boxer and Alexandra R. Clark dated 5/22/2019 re: Defense counsel writes to request the Court's leave to each file separate reply briefs of up to 25 pages in length, with a deadline of June 7, 2019. ENDORSEMENT: Granted. Defendants Middendorf and Wada may file separate reply briefs of up to 25 pages in length. The reply briefs shall be due on June 7, 2019. (Replies due by 6/7/2019) (Signed by Judge J. Paul Oetken on 5/22/2019) (ap)
	Request

350	Filed: 5/17/2019, Entered: 5/17/2019	response in opposition to motion
	RESPONSE in Opposition by USA as to David Middendorf, Jeffrey Wada re: [335] MOTION to Set Aside Verdict . MOTION for New Trial ., [337] MOTION for Acquittal and Alternatively, MOTION for a New Trial.. (Estes, Jordan)
	Request

347	Filed: 5/9/2019, Entered: 5/9/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf re [335] MOTION to Set Aside Verdict . MOTION for New Trial .. (Attachments: # (1) Exhibit A)(Clark, Alexandra)
	Request

346	Filed: 5/7/2019, Entered: 5/7/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


345	Filed: 5/7/2019, Entered: 5/7/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


344	Filed: 5/7/2019, Entered: 5/7/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


343	Filed: 5/2/2019, Entered: 5/2/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken, from Amy Lester, Nelson A. Boxer and Alexandra R. Clark, Gregory S. Bruch Khiran Sidhu dated 4/30/2019 re: Defense counsel writes to request permission for Defendant to travel. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 5/2/2019) (ap)
	Request

349	Filed: 4/24/2019, Entered: 5/16/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada as follows: The Court is in receipt of a letter from counsel for Mr. Jay Hanson dated April 4, 2019 regarding the Court's sealed order of April 3, 2019.The Court declines to reconsider its decision. The Government is directed to produce to counsel for Defendant David Middendorf and Defendant Jeffrey Wada a copy of the Government's ex parte letter dated March 3, 2019. The letter shall remain under seal, and Defendants and their counsel shall treat the contents of the letter as strictly confidential on pain of contempt. (Filed under seal on 4/8/19). (Signed by Judge J. Paul Oetken on 4/8/19)(jm)


348	Filed: 4/24/2019, Entered: 5/16/2019	Order
	ORDER as to David Middendorf as follows: On March 12, 2019, Defendant David Middendorf requested the production of the ex parte letters submitted by the Government and counsel for Jay Hanson regarding Mr. Hanson'stestimony at trial. On March 20, 2019, the Court directed the Government and counsel for Mr. Hanson to show cause why the ex parte letters should not be produced.The Court concludes that there is no basis for requiring Mr. Hanson's counsel to produce his ex parte letter dated March 1, 2019, because this letter was never seen by the Government.However, the Court directs the Government to produce to counsel for Defendant Middendorf and Defendant Jeffrey Wada a copy of the Government's ex parte letter dated March 3, 2019. Defendants and their counsel shall treat the contents of the letter as strictly confidential and the letter shall remain under seal. If the parties quote from the letter-or reference the letter in a way that reveals its contents-in any post-trial submissions, the versions of the submissions filed on the public docket must redact those quotations or references, and the parties must file unredacted versions of the post-trial submissions under seal. (Filed under seal on 4/3/19) (Signed by Judge J. Paul Oetken on 4/3/19)(jm)


342	Filed: 4/24/2019, Entered: 4/24/2019	Order
	ORDER as to David Middendorf: On April 16, 2019, the Court received a letter from Defendant David Middendorf, (1) seeking permission to file a more lightly redacted version of the memorandum in support of his post-trial motion (Dkt. No. 336) along with an unredacted exhibit, and (2) requesting that the Court's Orders of April 3, 2019 and April 8, 2019, be unsealed. The Government did not respond to this letter. These requests are hereby GRANTED. Defendant Middendorf may publicly file the unredacted Exhibit A and the proposed redacted version of his post-trial memorandum with the additional redactions described in a sealed order dated April 24, 2019. The Court will unseal its Orders of April 3, 2019 and April 8, 2019 and file them on the public docket. (Signed by Judge J. Paul Oetken on 4/24/2019) (ap)
	Request

341	Filed: 4/19/2019, Entered: 4/19/2019	Order on Letter Motion
	MEMO ENDORSEMENT as to David Middendorf (1), Jeffrey Wada (5) granting [340] LETTER MOTION addressed to Judge J. Paul Oetken. ENDORSEMENT: Granted. The Government shall file its response to Defendants Middendorf and Wada's post-trial motions on or before May 17, 2019. The Government may file a single oversized response to both motions. (Signed by Judge J. Paul Oetken on 4/19/2019) (ap)
	Request

	Filed: None, Entered: None	***Set/Reset Deadlines
	Set/Reset Deadlines as to David Middendorf, Jeffrey Wada: Responses due by 5/17/2019. (ap)


340	Filed: 4/18/2019, Entered: 4/18/2019, Terminated: 4/19/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken . Document filed by USA as to David Middendorf, Jeffrey Wada. (Kramer, Amanda)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf, Jeffrey Wada: Notice to Attorney Kramer, Amanda to RE-FILE Document [339] MOTION for Extension of Time to File Response/Reply as to [338] Memorandum in Support of Motion, [337] MOTION for Acquittal and Alternatively, MOTION for a New Trial. Use the event type Letter Motion found under the event list Motions. (ka)


339	Filed: 4/17/2019, Entered: 4/17/2019	Motion for Extension of Time to File Response/Reply
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Extension of Time to File Response/Reply as to [338] Memorandum in Support of Motion, [337] MOTION for Acquittal and Alternatively, MOTION for a New Trial. . Document filed by USA as to David Middendorf, Jeffrey Wada. (Kramer, Amanda) Modified on 4/18/2019 (ka).
	Request

336	Filed: 4/12/2019, Entered: 4/12/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf re [335] MOTION to Set Aside Verdict . MOTION for New Trial .. (Clark, Alexandra)
	Request

335	Filed: 4/12/2019, Entered: 4/12/2019, Terminated: 9/9/2019	Motion to Set Aside Verdict
	MOTION to Set Aside Verdict ., MOTION for New Trial .( Return Date set for 5/3/2019 at 05:00 PM.) Document filed by David Middendorf. (Clark, Alexandra)
	Request

333	Filed: 4/11/2019, Entered: 4/12/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer, Amy Lester, Alexandra R. Clark, Gregory S. Bruch, Khiran Sidhu and Bruch Hanna LLP dated 4/11/2019 re: To requests the Court's leave to file a memorandum of law of up to 50 pages. We have conferred with the government, who has no objection to this request....ENDORSEMENT: Granted. Defendant Middendorf may file a memorandum in support of his post-trial brief of up to 50 pages. (Signed by Judge J. Paul Oetken on 4/11/19)(jw)
	Request

332	Filed: 4/11/2019, Entered: 4/11/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


331	Filed: 4/5/2019, Entered: 4/8/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


330	Filed: 4/5/2019, Entered: 4/8/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


328	Filed: 3/20/2019, Entered: 3/20/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, dated 3/20/2019, re: Defense counsel writes to request permission for Defendant to travel. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 3/20/2019) (lnl)
	Request

327	Filed: 3/18/2019, Entered: 3/18/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


326	Filed: 3/18/2019, Entered: 3/18/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


325	Filed: 3/13/2019, Entered: 3/13/2019	Remark
	VERDICT FORM as to David Middendorf, Jeffrey Wada. (ap)
	Request

324	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/11/19 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.... (McGuirk, Kelly)
	Request

323	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/11/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

322	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/8/19 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.... (McGuirk, Kelly)
	Request

321	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/8/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

320	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/7/19 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.... (McGuirk, Kelly)
	Request

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319	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/7/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

318	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/6/19 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.... (McGuirk, Kelly)
	Request

230	Filed: 2/11/2019, Entered: 2/11/2019	Reply to Response to motion
	LETTER REPLY TO RESPONSE to Motion by Thomas Whittle addressed to Judge J. Paul Oetken from Bradley J. Bondi dated February 11, 2019 re [214] LETTER MOTION addressed to Judge J. Paul Oetken from Bradley J. Bondi dated February 7, 2019 re: Quash Subpoena .. (Attachments: # (1) Letter dated October 10, 2017)(Bondi, Bradley)
	Request

317	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/6/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

316	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/5/19 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.... (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Deficient Docket Entry Error
	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR as to David Middendorf: Notice to Attorney Estes, Jordan to RE-FILE Document [227] Memorandum in Opposition to Motion. ERROR(S): Link to incorrect filing of document #225. (ka)


315	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/5/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Deficient Docket Entry Error
	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR as to David Middendorf: Notice to Attorney Greenspan, Noam to RE-FILE Document [226] Declaration in Support of Motion. ERROR(S): Link to incorrect filing of document#225. (ka)


314	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/5/19 CORRECTED TRIAL 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.... (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf: Notice to Attorney Greenspan, Noam to RE-FILE Document [225] MOTION in Limine To Preclude Evidence Regarding The Middendorf Cellphone. Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents.***NOTE: First, file Motion In Limine, then re-file and link supporting memorandum. Separate docket entry for each. (ka)


313	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/5/19 CORRECTED TRIAL before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice Regarding Deficient Motion to Appear Pro Hac Vice
	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada to RE-FILE Document No. [224] MOTION for Eric Richard Nitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number NYSDC-16322759. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Proposed Order;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)


312	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 3/4/19 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.... (McGuirk, Kelly)
	Request

311	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 3/4/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

310	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/28/19 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.... (McGuirk, Kelly)
	Request

309	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/28/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

308	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/27/19 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.... (McGuirk, Kelly)
	Request

307	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/27/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

306	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/26/19 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.... (McGuirk, Kelly)
	Request

305	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/26/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

221	Filed: 2/8/2019, Entered: 2/8/2019	Letter
	LETTER by Jeffrey Wada addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02.08.2019 re: Update to Letter Motion to Preclude Testimony (Weddle, Justin)
	Request

304	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/25/19 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.... (McGuirk, Kelly)
	Request

303	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/25/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

302	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/22/19 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.... (McGuirk, Kelly)
	Request

301	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/22/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Vincent Bologna, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

300	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/21/19 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.... (McGuirk, Kelly)
	Request

299	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/21/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

298	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/21/19 CORRECTED TRIAL 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.... (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Deficient Docket Entry Error
	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR as to David Middendorf: Notice to Attorney Mermelstein, Rebecca to RE-FILE Document [222] LETTER MOTION addressed to Judge J. Paul Oetken from AUSA Rebecca Mermelstein, Jordan Estes, and Amanda Kramer dated 2/8/2019 re: Opposition to Middendorf Motion for Adjournment .. ERROR(S): Incorrect Date of Letter. Letter date reads November 21, 2018, docket entry reads 2/8/19. (ka)


297	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/21/19 CORRECTED TRIAL before Judge J. Paul Oetken. Court Reporter/Transcriber: Thomas Murray, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

296	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/20/19 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.... (McGuirk, Kelly)
	Request

295	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/20/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

212	Filed: 2/7/2019, Entered: 2/7/2019	Letter Motion
	AMENDED LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02.07.2019 re: Application to bring personal electronic devices and general computing devices into the courthouse on February 11, 2019 and for the duration of the trial . Document filed by Jeffrey Wada. (Attachments: # (1) Text of Proposed Order re: the authorization to bring Personal Ectronic Devices adn General Purpose Computing Devices)(Weddle, Justin)
	Request

294	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/12/19 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.... (McGuirk, Kelly)
	Request

293	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/12/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

292	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/19/19 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.... (McGuirk, Kelly)
	Request

209	Filed: 2/6/2019, Entered: 2/6/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02.06.2019 re: Application to bring personal electronic device and general computing device into the courthouse on February 11, 2019 and for the duration of the trial . Document filed by Jeffrey Wada. (Attachments: # (1) Text of Proposed Order re: permission to bring electronics into the Courthouse)(Weddle, Justin)
	Request

291	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/19/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

208	Filed: 2/6/2019, Entered: 2/6/2019, Terminated: 2/7/2019	Letter Motion
	JOINT LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02.06.2019 re: Application to use and install courtroom technology . Document filed by Jeffrey Wada. (Attachments: # (1) Text of Proposed Order re: the use and installation of courtroom technology)(Weddle, Justin)
	Request

290	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/19/19 CORRECTED TRIAL 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.... (McGuirk, Kelly)
	Request

289	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/19/19 CORRECTED TRIAL before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

206	Filed: 2/5/2019, Entered: 2/5/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02/05/2019 re: Require compliance with discovery obligations . Document filed by Jeffrey Wada. (Attachments: # (1) Exhibit A)(Weddle, Justin)
	Request

288	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/14/19 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.... (McGuirk, Kelly)
	Request

287	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/14/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

286	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/14/19 CORRECTED TRIAL 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.... (McGuirk, Kelly)
	Request

285	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/14/19 CORRECTED TRIAL before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

284	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/13/19 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.... (McGuirk, Kelly)
	Request

201	Filed: 2/1/2019, Entered: 2/1/2019	Letter
	LETTER by David Britt addressed to Judge J. Paul Oetken from Robert M. Stern dated February 1, 2019 re: Waiving Appearance at the Final Pretrial Conference (Stern, Robert)
	Request

283	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/13/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

282	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/12/19 CORRECTED TRIAL 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.... (McGuirk, Kelly)
	Request

199	Filed: 1/30/2019, Entered: 1/30/2019	Letter
	LETTER by David Britt addressed to Judge J. Paul Oetken from Robert M. Stern dated January 30, 2019 re: 179 LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated January 22, 2019 re: Request for Pre-trial Ruling on Willfulness and 194 LETTER by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated January 28, 2019 re: Proposed Jury Instructions (Stern, Robert)
	Request

281	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/12/19 CORRECTED TRIAL before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

280	Filed: 3/13/2019, Entered: 3/13/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Trial proceeding held on 2/11/19 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.... (McGuirk, Kelly)
	Request

279	Filed: 3/13/2019, Entered: 3/13/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Trial held on 2/11/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 4/3/2019. Redacted Transcript Deadline set for 4/15/2019. Release of Transcript Restriction set for 6/11/2019. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf, Jeffrey Wada: Notice to Attorney Greenspan, Noam to RE-FILE Document [193] Proposed Voir Dire Questions. Use the event type Letter found under the event list Other Documents. (ka)


	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf: Notice to Attorney Greenspan, Noam to RE-FILE Document [192] Proposed Jury Instructions. Use the event type Request to Charge found under the event list Trial Documents. (ka)


	Filed: None, Entered: None	jury verdict
	JURY VERDICT as to David Middendorf (1) Not Guilty on Count 1. (lnl)


	Filed: None, Entered: None	set/reset deadlines/hearings
	Set/Reset Deadlines/Hearings as to David Middendorf: Sentencing set for 8/9/2019 at 11:00 AM before Judge J. Paul Oetken (jw)


195	Filed: 1/28/2019, Entered: 1/28/2019	response in opposition to motion
	LETTER RESPONSE in Opposition by Jeffrey Wada addressed to Judge J. Paul Oetken from Justin Weddle dated 01.28.2019 re: [179] LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated January 22, 2019 re: Request for Pre-trial Ruling on Willfulness .. (Weddle, Justin)
	Request

	Filed: None, Entered: None	set deadlines/hearings
	Minute Entry for proceedings held before Judge J. Paul Oetken as to David Middendorf, Jeffrey Wada; Motions due by 4/12/2019. Replies due by 5/17/2019. Responses due by 5/3/2019 (jw)


	Filed: None, Entered: None	Order of Referral to Probation for Presentence Investigation and Report
	Order of Referral to Probation for Presentence Investigation and Report as to David Middendorf, Jeffrey Wada (Signed by Judge J. Paul Oetken on 3/11/2019)(jw)


	Filed: None, Entered: None	jury verdict
	JURY VERDICT as to David Middendorf (1) Guilty on Count 2,3-5 and Jeffrey Wada (5) Guilty on Count 2,4-5. (jw)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/11/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch;Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selbie Jason and Jason Ohta;AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Vincent Bologna. Jury verdict of GUILTY as to defendant Middendorf on counts 2, 3, 4 and 5 and GUILTY as to Wada on counts 2, 4 and 5. Defendants motions due by 4/12/2019 with response by 5/3/2019 and replies by 5/17/2019. Sentencing set for 8/9/2019 at 11:00 a.m. as to Middendorf and 8/9/2019 at 12:00 pm as to Wada. Defendants sentencing submissions are due by 7/26/2019 and the governments submissions are due by 8/2/2019. PSI Ordered. Bail continued as to both defendants. (See transcript for complete details.) (jw)


278	Filed: 3/8/2019, Entered: 3/8/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


191	Filed: 1/28/2019, Entered: 1/28/2019	Request to Charge
	Request To Charge by Jeffrey Wada. (Weddle, Justin)
	Request

277	Filed: 3/8/2019, Entered: 3/8/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


190	Filed: 1/25/2019, Entered: 1/25/2019	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken from Melinda Haag dated 1/25/2019 re: Modification of Release. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 1/25/2019)(ft)
	Request

276	Filed: 3/8/2019, Entered: 3/8/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/8/2019. Trial to resume on March 11, 2019 at 9:30am. (See transcript for complete details) (jw)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/7/2019. (jw)


273	Filed: 3/6/2019, Entered: 3/6/2019	Letter
	LETTER by USA as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes dated March 6, 2019 re: Jury Instruction on Wire Fraud Document filed by USA. (Estes, Jordan)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/6/2019. (jw)


272	Filed: 3/5/2019, Entered: 3/5/2019	Letter
	LETTER by David Middendorf addressed to Judge J. Paul Oetken from Amy Lester dated March 5, 2019 re: Jury Instructions (Attachments: # (1) Exhibit A, # (2) Exhibit B)(Greenspan, Noam)
	Request

184	Filed: 1/23/2019, Entered: 1/23/2019	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken, from Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated [Not Dated] re: The Government writes to request an adjournment of trial and exclusion of time. ENDORSEMENT: Granted. Trial as to defendant David Britt is adjourned to October 21, 2019, with jury selection to commence at 9:30 a.m. on that date. Time is excluded through October 21, 2019, under the Speedy Trial Act, 18 USC 3161(h)(7)(A), the Court finding that the ends of justice outweigh the interests of the public and the defendant in a speedy trial. (Jury Selection set for 10/21/2019 at 09:30AM before Judge J. Paul Oetken. Jury Trial set for 10/21/2019 at 09:30 AM before Judge J. Paul Oetken) (Signed by Judge J. Paul Oetken on 1/23/2019) (ap)
	Request

271	Filed: 3/5/2019, Entered: 3/5/2019	Order on Letter Motion
	ORDER as to David Middendorf (1), Jeffrey Wada (5): ORDERED that, DOAR Litigation Consulting, as a consultant to Defendant Jeffrey Wada, DOAR's technology vendor, Aquipt, and the Courts Courtroom Technology personnel are authorized to deliver to and install in Courtroom 110, Thurgood Marshall Courthouse, 40 Foley Square, New York, NY 10007, the following equipment during the week of March 4, 2019. (See ORDER as set forth) (Signed by Judge J. Paul Oetken on 3/5/20118) (lnl)
	Request

183	Filed: 1/23/2019, Entered: 1/23/2019	Declaration in Support
	DECLARATION of Robert M. Stern in Support as to David Britt re: [177] Reply Memorandum of Law in Support of Motion. (Attachments: # (1) Exhibit 1 (redacted), # (2) Exhibit 2 (redacted), # (3) Exhibit 3 (redacted), # (4) Exhibit 4 (redacted))(Stern, Robert)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Britt: Notice to Attorney Stern, Robert to RE-FILE Document [178] Reply Affirmation in Support of Motion. Use the event type Declaration in Support(non-motion) found under the event list Other Documents. (ka)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/5/2019. (jw)


268	Filed: 3/4/2019, Entered: 3/4/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Amy Lester dated March 4, 2019 re: Objections to Court's draft Jury Charge . Document filed by David Middendorf. (Greenspan, Noam)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken:Jury Trial as to David Middendorf, Jeffrey Wada held on 3/4/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selbie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Pamela Utter and Vincent Bologna. (jw)


267	Filed: 3/1/2019, Entered: 3/1/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. The attached PDF document represents the Court's current draft of jury instructions. The parties should be prepared to discuss any objections they have to these instructions at a charge conference on Monday, March 4, 2019. SO ORDERED. (Signed by Judge J. Paul Oetken on 3/1/19)(jbo)
	Request

264	Filed: 2/28/2019, Entered: 2/28/2019	Letter
	LETTER by USA as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes dated February 28, 2019 re: Jury Instruction on Willfulness Document filed by USA. (Estes, Jordan)
	Request

178	Filed: 1/22/2019, Entered: 1/22/2019	Reply Affirmation in Support of Motion
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REPLY AFFIRMATION of Robert M. Stern in Support as to David Britt re: [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind.. (Attachments: # (1) Exhibit 1 (redacted), # (2) Exhibit 2 (redacted), # (3) Exhibit 3 (redacted), # (4) Exhibit 4 (redacted))(Stern, Robert) Modified on 1/23/2019 (ka).
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/28/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. Trial to resume on March 4, 2019 at 9:30am. (See transcript for complete details.) (bw)


263	Filed: 2/27/2019, Entered: 2/27/2019	Letter
	LETTER by USA as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes dated February 27, 2019 re: Jury Instruction on Intent to Defraud SEC Document filed by USA. (Estes, Jordan)
	Request

177	Filed: 1/22/2019, Entered: 1/22/2019	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to David Britt re: [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind. . (Stern, Robert)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/27/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


262	Filed: 2/26/2019, Entered: 2/26/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. On February 20, 2019, the Public Company Accounting Oversight Board ("PCAOB") moved to quash a subpoena issued on February 1, 2019 by Defendant David Middendorf. (Dkt. No. 246.) On February 22, 2019, the PCAOB also moved to quash or modify a subpoena issued by Defendant Jeffrey Wada on February 18, 2019. (Dkt. No. 249.) On February 24, 2019, Defendant Middendorf filed a letter in opposition to the motion to quash his subpoena. (Dkt. No. 253.) Defendant Wada also filed an opposition to the motion to quash, and cross-moved to compel compliance with both the February 18 subpoena and a subpoena issued to the PCAOB on January 24, 2019. (Dkt. No. 250.) Additionally, counsel for Ernst & Young LLP (EY) filed a letter in support of the PCAOB's motion to quash the February 18 subpoena as it pertains to the request for an EY document. (Dkt. No. 256.) The PCAOB filed a reply in opposition to Defendant Wada's cross-motion on February 25, 2019. (Dkt. No. 260.) The subpoenas from Defendant Wada that are subject to the pending motion to quash and cross-motion to compel seek six categories of information: (1) communications between the PCAOB and the Government regarding the PCAOB's March 10, 2017 interview with Defendant Wada, and documents regarding the waiver of privilege as to the March 10, 2017 interview; (2) documents regarding the PCAOB's approval of a 2016 disclosure to KPMG LLP, as reflected in certain e-mails; (3) information about former PCAOB employee Jeffrey Lutz; (4) documents regarding all ethics-related inquiries against PCAOB employees from 2015 to present; (5) an EY 2017 planning document that was found on Defendant Wada's PCAOB computer and the version of the document that was shown to Ms. Stephanie Rodriguez in advance of her testimony; and (6) all communications between PCAOB's counsel and the Government. (Dkt. No. 250 at 1213. The subpoena from Defendant Middendorf seeks an additional category of information: (7) internal PCAOB e-mails involving eight individuals and referencing the ten issuers subject to the replacement inspections of KPMG's 2016 audits. (Dkt. No. 253 at 3.) Having reviewed the parties' submissions, the Court hereby GRANTS in part and DENIES in part the PCAOB's motions to quash and Defendant Wada's cross-motion to compel. Federal Rule of Criminal Procedure 17(c)(2) permits courts to "quash or modify [a] subpoena if compliance would be unreasonable or oppressive." Fed. R. Crim. P. 17(c)(2). Under United States v. Nixon, 418 U.S. 683, 699700 (1974), the party requesting the subpoena has the burden of showing "that the materials requested are relevant, specifically identified, admissible, and not otherwise procurable by the exercise of due diligence." United States v. Pena, No. 15 Crim. 551, 2016 WL 8735699, at *2 (S.D.N.Y. Feb. 12, 2016) (quoting United States v. Barnes, 560 F. App'x 36, 3940 (2d Cir. 2014)). "[P]retrial subpoenas are not intended to function as a broad discovery device, and courts must be vigilant to ensure that Rule 17(c) is not used for the purpose of 'a general fishing expedition.'" Id. (quoting Nixon, 418 U.S. at 700) (internal quotation marks and citation omitted). (1) Defendant Wada's January 24 subpoena sought information in connection with the PCAOB's March 10, 2017 interview of Wada. It is the Court's understanding from representations at trial, however, that the parties no longer intend to offer evidence regarding this interview. As a result, the request for this information appears to be moot. The Court thus denies this aspect of the cross-motion to compel as moot, without prejudice to renewal.... [See this Order]... (7) Finally, Defendant Middendorf's request for over 9,200 e-mails from the PCAOB is insufficiently specific and thus fails to satisfy the Nixon standard. Furthermore, to require a third-party victim of fraud to review and produce that magnitude of internal communicationsin addition to the thousands of pages of documents already produced in response to this subpoenawould be unduly burdensome and unreasonable. The PCAOB's motion to quash the Middendorf subpoena is thus granted. SO ORDERED. (Signed by Judge J. Paul Oetken on 2/26/2019)(bw)
	Request

261	Filed: 2/26/2019, Entered: 2/26/2019	response in opposition to motion
	LETTER RESPONSE in Opposition by David Middendorf addressed to Judge J. Paul Oetken from Amy Lester dated February 26, 2019 re: [251] LETTER MOTION addressed to Judge J. Paul Oetken from AUSA Amanda Kramer dated February 24, 2019 .. (Greenspan, Noam)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/26/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


260	Filed: 2/25/2019, Entered: 2/25/2019	Reply to Response to motion
	LETTER REPLY TO RESPONSE to Motion by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Justin V. Shur dated 2/25/2019 re [249] LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated 2/22/2019 re: Motion to Quash Wada Subpoena .. (Shur, Justin)
	Request

259	Filed: 2/25/2019, Entered: 2/25/2019	Order on Motion for Special Appearance
	MEMO ENDORSEMENT as to David Middendorf (1), Thomas Whittle (2), David Britt (3), Cynthia Holder (4), Jeffrey Wada (5) granting [257] MOTION for Special Appearance of Brenton Culpepper on behalf of Interested Party Ernst & Young LLP. ENDORSEMENT: Granted. The Clerk of Court is directed to add Ernst & Young LLP as an interested party in this case, and to enter the appearances of George S. Canellos and Brenton Culpepper (Dkt. No. 257) of Milbank LLP as counsel on its behalf. So ordered. (Signed by Judge J. Paul Oetken on 2/25/2019) (lnl)
	Request

	Filed: None, Entered: None	set/reset hearings
	Set/Reset Hearings as to David Britt: Jury Trial set for 9/9/2019 at 09:30 AM before Judge J. Paul Oetken. (jbo)


258	Filed: 2/25/2019, Entered: 2/25/2019	response in opposition to motion
	LETTER RESPONSE in Opposition by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSA Amanda Kramer dated February 25, 2019 re: [252] LETTER MOTION addressed to Judge J. Paul Oetken from Stephen R. Cook dated 02/24/2019 re: Request to Limit the Testimony of Barbara Hannigan .. (Kramer, Amanda)
	Request

	Filed: None, Entered: None	Pretrial Conference
	Minute Entry for proceedings held before Judge J. Paul Oetken: Pretrial Conference as to David Middendorf, David Britt, Jeffrey Wada held on 1/14/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester & Gregory Bruch; Defendant David Britt present with attorneys Robert Stern, Melinda Haag & Rita Glavin; Defendant Jeffrey Wada present with attorneys Stephen Cook and Jason Ohta present. AUSA Rebecca Mermelstein and Jordan Estes present. Court Reporter present. Pretrial conference held: Defendant David Britt is severed from the trial. Trial for defendant Britt is scheduled for 9/9/2019 at 9:30am. Trial as to defendants Middendorf and Wada scheduled for 2/11/2019. Final pretrial conference scheduled for 2/1/2019 at 2:30 pm. Bail as to all defendants is continued. (See sealed transcript for complete details.) (Pretrial Conference set for 2/1/2019 at 02:30 PM before Judge J. Paul Oetken.) (jbo)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/25/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


257	Filed: 2/24/2019, Entered: 2/24/2019, Terminated: 2/25/2019	Motion for Special Appearance
	MOTION for Special Appearance of Brenton Culpepper on behalf of Interested Party Ernst & Young LLP. Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Canellos, George)
	Request

256	Filed: 2/24/2019, Entered: 2/24/2019	Letter
	LETTER by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from George S. Canellos dated 2/24/2019 re: counsel to Interested Party Ernst & Young LLP (EY), write in support of the PCAOBs request to quash or modify the subpoena issued by Defendant Jeffrey Wada (the Wada Subpoena), Dkt. 249. Document filed by Public Company Accounting Oversight Board ("PCAOB"). (Canellos, George)
	Request

	Filed: None, Entered: None	Docket Annotation
	NOTICE: THE GOVERNMENT AND COUNSEL FOR DEFENDANTS MIDDENDORF, BRITT, AND WADA ARE DIRECTED TO APPEAR FOR A STATUS CONFERENCE ON JANUARY 14, 2019 AT 5:00 P.M. ANY PRODUCTION DEADLINES SCHEDULED FOR JANUARY 14, 2019 ARE ADJOURNED UNTIL AFTER THE CONFERENCE. (bh)


255	Filed: 2/24/2019, Entered: 2/24/2019	Motion for Special Appearance
	MOTION for Special Appearance of George Canellos on behalf of Interested Party Ernst & Young LLP ("EY"). Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Canellos, George)
	Request

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169	Filed: 1/10/2019, Entered: 1/10/2019	Endorsed Letter
	ENDORSED LETTER as to Cynthia Holder addressed to Judge J. Paul Oetken, from Emily J. Mathieu dated 1/9/2019 re: Defense counsel writes to request permission for travel. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 1/10/2019) (ap)
	Request

254	Filed: 2/24/2019, Entered: 2/24/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Amy Lester dated February 24, 2019 re: Preclude Admission of Documentary Evidence Relating to PCAOB's Purported Costs for Replanning the 2017 Inspection List and Conducting the Ten Replacement Inspections . Document filed by David Middendorf as to David Middendorf, Jeffrey Wada. (Greenspan, Noam)
	Request

253	Filed: 2/24/2019, Entered: 2/24/2019	response in opposition to motion
	LETTER RESPONSE in Opposition by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated February 24, 2019 re: [246] LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated 2/20/2019 re: Request to Quash Middendorf Subpoena .. (Greenspan, Noam)
	Request

251	Filed: 2/24/2019, Entered: 2/24/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from AUSA Amanda Kramer dated February 24, 2019 . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Attachments: # (1) Exhibit)(Kramer, Amanda)
	Request

249	Filed: 2/22/2019, Entered: 2/22/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated 2/22/2019 re: Motion to Quash Wada Subpoena . Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Jeffrey Wada. (Attachments: # (1) Affidavit of Eric R. Nitz)(Shur, Justin)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/22/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. Trial to resume on February 25, 2019 at 9:30am. (See transcript for complete details.) (bw)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/21/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


246	Filed: 2/20/2019, Entered: 2/20/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Justin V. Shur dated 2/20/2019 re: Request to Quash Middendorf Subpoena . Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Jeffrey Wada. (Attachments: # (1) Affidavit of Eric R. Nitz)(Shur, Justin)
	Request

245	Filed: 2/20/2019, Entered: 2/20/2019	Notice - Other
	NOTICE of Appearance of Counsel for Interested Party as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada (Ortiz, Jessica)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/20/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


243	Filed: 2/19/2019, Entered: 2/19/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: On February 14, 2019, Defendant Jeffrey Wada submitted an ex parte letter regarding a subpoena issued to Brian Sweet, requesting in part that the Court compel Sweet to comply with the subpoena. In an order dated February 15, 2019, the Court directed counsel for Brian Sweet to respond to the motion to compel. Counsel for Brian Sweet submitted an ex parte letter in response on February 15, 2019, which the Court has filed under seal. The Court agrees with the reasoning provided in the letter filed by Sweet's counsel on February 15, 2019. Therefore, Defendant Wadas request to compel further disclosure pursuant to the subpoena is hereby DENIED.SO ORDERED. (Signed by Judge J. Paul Oetken on 2/15/2019) (lnl)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/19/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Tom Murray and Vincent Bologna. (bw)


242	Filed: 2/18/2019, Entered: 2/18/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 2/18/2019 re: [239] LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02/17/2019 re: Request to Strike Rodriguez Hearsay Testimony . re: Opposition to Defendants' Motion to Strike Testimony . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Mermelstein, Rebecca)
	Request

241	Filed: 2/18/2019, Entered: 2/18/2019	response in opposition to motion
	LETTER RESPONSE in Opposition by USA as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes, Amanda Kramer, Rebecca Mermelstein dated February 18, 2019 re: [240] LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02/18/2019 re: Request to Ensure that Prejudicial Hearsay is Not Admitted Against Mr. Wada .. (Estes, Jordan)
	Request

238	Filed: 2/15/2019, Entered: 2/15/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: On February 14, 2019, Defendant Jeffrey Wada submitted an ex parte letter regarding a subpoena issued to Brian Sweet. The letter requests that the Court: (1) compel Sweet to comply with the subpoena by noon on February 15, 2019; (2) file Defendant Wada's letter under seal; and (3) order that the contents of the letter not be revealed to any third party, including KPMG and the Government. Defendant Wada's requests are hereby GRANTED in part. The letter shall be accepted ex parte and filed under seal. Brian Sweet, his counsel, and anyone acting on his behalf are hereby directed not to reveal the letter or the substance of its contents to any third party, including but not limited to KPMG, its counsel, or the Government. With respect to the request to compel compliance with the subpoena, the Court will defer ruling until the target of the subpoena has an opportunity to respond. Accordingly, counsel for Defendant Wada are directed to deliver a copy of the February 14, 2019 letter to counsel for Brian Sweet. Counsel for Sweet are directed to submit a letter to the Court by 5:00 p.m. today, February 15, 2019, providing their position regarding the disputes identified in the February 14, 2019 letter. SO ORDERED. (Signed by Judge J. Paul Oetken on 2/15/2019) (lnl)


155	Filed: 1/7/2019, Entered: 1/7/2019	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Alyssa M. Barnard appearing for David Britt. Appearance Type: Retained. (Barnard, Alyssa)
	Request

237	Filed: 2/15/2019, Entered: 2/15/2019	protective order
	PROTECTIVE ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge J. Paul Oetken on 2/15/2019) (lnl)
	Request

236	Filed: 2/14/2019, Entered: 2/14/2019	Response to motion
	LETTER RESPONSE to Motion by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Justin V. Shur dated February 14, 2019 re: [234] LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated February 12, 2019 re: Sealing Certain Exhibits .. (Shur, Justin)
	Request

	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/14/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Pamela Utter and Vincent Bologna. Trial to resume on February 19, 2019 at 9:30am. (See transcript for complete details.) (jbo)


234	Filed: 2/13/2019, Entered: 2/13/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated February 12, 2019 re: Sealing Certain Exhibits . Document filed by USA as to David Middendorf, Jeffrey Wada. (Estes, Jordan)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: Notice to Attorney Estes, Jordan to RE-FILE Document [149] Reply Memorandum of Law in Support of Motion. Use the event type Letter found under the event list Other Documents. (ka)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/13/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Pamela Utter and Vincent Bologna. (jbo)


233	Filed: 2/12/2019, Entered: 2/12/2019	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Jeffrey Wada. Notice is hereby given that an official transcript of a Conference proceeding held on 2/1/19 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.... (McGuirk, Kelly)
	Request

232	Filed: 2/12/2019, Entered: 2/12/2019	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Jeffrey Wada re: Conference held on 2/1/19 before Judge J. Paul Oetken. Court Reporter/Transcriber: Khristine Sellin, (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 3/5/2019. Redacted Transcript Deadline set for 3/15/2019. Release of Transcript Restriction set for 5/13/2019. (McGuirk, Kelly)
	Request

231	Filed: 2/12/2019, Entered: 2/12/2019	Order on Letter Motion
	ORDER [214] LETTER MOTION On February 7 and 8, 2019, counsel for Thomas Whittle and Brian Sweet filed motions to quash defense subpoenas issued by Defendant David Middendorf to their respective law firms. (Dkt. Nos. 214 & 216.) The subpoenas seek two categories of information: (1) correspondence between counsel for Sweet and Whittle and counsel for the Government; and (2) notes and documents reflecting statements made by Sweet and Whittle to the Government, the SEC, and the PCAOB. (Dkt. No. 214-1 at 4; Dkt. No. 217-1 at 5.) Defendant Middendorf filed a response in opposition to the motions to quash. (Dkt. No. 228.) as to David Middendorf (1), Thomas Whittle (2), David Britt (3), Cynthia Holder (4), Jeffrey Wada (5); granting [216] Motion to Quash. The Clerk of Court is directed to close the motions at Docket Numbers 214 and 216. SO ORDERED(Signed by Judge J. Paul Oetken on 2/12/2019) (jw)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Event Type Error
	NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR as to David Middendorf, David Britt, Jeffrey Wada: Notice to Attorney Mermelstein, Rebecca to RE-FILE Document [146] MOTION in Limine. Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents.***NOTE: First, file Motion in Limine, then re-file and link supporting Memorandum. SEPARATE DOCKET ENTRY FOR EACH. (ka)


	Filed: None, Entered: None	Jury Trial
	Minute Entry for proceedings held before Judge J. Paul Oetken: Jury Trial as to David Middendorf, Jeffrey Wada held on 2/12/2019. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta. AUSA Rebecca Mermelstein, Amanda Kramer and Jordan Estes present. Court Reporter: Pamela Utter and Vincent Bologna. (jbo)


229	Filed: 2/11/2019, Entered: 2/11/2019	Motion to Appear Pro Hac Vice
	AMENDED MOTION for Eric Richard Nitz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Attachments: # (1) Affidavit Declaration of Eric Nitz, # (2) Exhibit DC Certificate of Good Standing, # (3) Exhibit VA Certificate of Good Standing, # (4) Text of Proposed Order)(Nitz, Eric)
	Request

147	Filed: 12/21/2018, Entered: 12/21/2018	response in opposition to motion
	LETTER RESPONSE in Opposition by David Britt addressed to Judge J. Paul Oetken from Rita M. Glavin dated December 21, 2018 re: [142] LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 12/17/2018 re: Motion to Quash .. (Attachments: # (1) Exhibit Exhibit A)(Glavin, Rita)
	Request

	Filed: None, Entered: None	Voir Dire
	Minute Entry for proceedings held before Judge J. Paul Oetken: Voir Dire held on 2/11/2019 as to David Middendorf, Jeffrey Wada. Defendant David Middendorf present with attorneys Nelson Boxer, Amy Lester, Alexandra Clark & Gregory Bruch; Defendant Jeffrey Wada present with attorneys Stephen Cook, Justin Weddle, Selvie Jason and Jason Ohta AUSA Rebecca Mermelstein, Amanda K. Kramer and Jordan Estes present. Court Reporter present. Jury Selection Began: Testimony to begin on 2/12/2019 (See transcript for complete details.) (jbo)


145	Filed: 12/21/2018, Entered: 12/21/2018	Endorsed Letter
	ENDORSED LETTER as to Cynthia Holder addressed to Judge J. Paul Oetken, from Emily J. Mathieu dated 12/20/2018 re: Defense counsel writes to request permission for defendant to travel to Michigan from January 3 through January 7. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 12/21/2018) (ap)
	Request

	Filed: None, Entered: None	Notice to Attorney to Re-File Document - Deficient Docket Entry Error
	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR as to David Middendorf: Notice to Attorney Estes, Jordan to RE-FILE Document [227] Memorandum in Opposition to Motion. ERROR(S): Link to incorrect filing of document #225. (ka)
	Request From Archives (Scanning Fees/Delay May Apply)

228	Filed: 2/10/2019, Entered: 2/10/2019	Response to motion
	LETTER RESPONSE to Motion by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated February 10, 2019 re: [216] MOTION to Quash Subpoena Directed to Orrick, Herrington & Sutcliffe LLP., [214] LETTER MOTION addressed to Judge J. Paul Oetken from Bradley J. Bondi dated February 7, 2019 re: Quash Subpoena .. (Greenspan, Noam)
	Request

227	Filed: 2/10/2019, Entered: 2/10/2019	MEMORANDUM in Opposition to Motion
	FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM in Opposition by USA as to David Middendorf, Jeffrey Wada re [225] MOTION in Limine To Preclude Evidence Regarding The Middendorf Cellphone.. (Attachments: # (1) Exhibit A, # (2) Exhibit B)(Estes, Jordan) Modified on 2/11/2019 (ka).
	Request

226	Filed: 2/9/2019, Entered: 2/9/2019	Declaration in Support of Motion
	FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Amy Lester in Support as to David Middendorf re: [225] MOTION in Limine To Preclude Evidence Regarding The Middendorf Cellphone.. (Attachments: # (1) Exhibit A, # (2) Exhibit B (Under Seal), # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E (Under Seal), # (6) Exhibit F (Under Seal), # (7) Exhibit G, # (8) Exhibit H (Under Seal), # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K (Under Seal))(Greenspan, Noam) Modified on 2/11/2019 (ka).
	Request

	Filed: None, Entered: None	Pro Hac Vice Fee Payment
	Pro Hac Vice Fee Payment: for [139] MOTION for Jason M. Ohta to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00, receipt number ANYSDC-15990541. (Ohta, Jason)


225	Filed: 2/9/2019, Entered: 2/9/2019, Terminated: 2/9/2019	Motion in Limine
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION in Limine To Preclude Evidence Regarding The Middendorf Cellphone. Document filed by David Middendorf. (Greenspan, Noam) Modified on 2/11/2019 (ka).
	Request

	Filed: None, Entered: None	Notice Regarding Pro Hac Vice Motion
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [139] MOTION for Jason M. Ohta to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)


224	Filed: 2/8/2019, Entered: 2/8/2019, Terminated: 2/11/2019	Motion to Appear Pro Hac Vice
	FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Eric Richard Nitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number NYSDC-16322759. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Nitz, Eric) Modified on 2/11/2019 (wb).
	Request

139	Filed: 11/30/2018, Entered: 11/30/2018, Terminated: 12/7/2018	Motion to Appear Pro Hac Vice
	MOTION for Jason M. Ohta to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jeffrey Wada. $200.00 ANYSDC-15990541 (Attachments: # (1) Affidavit Affidavit of Jason M. Ohta, # (2) Exhibit Certificate of Good Standing (CA), # (3) Text of Proposed Order Text of Proposed Order of Admission)(Ohta, Jason) Modified on 12/3/2018 (bcu).
	Request

223	Filed: 2/8/2019, Entered: 2/8/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: Accordingly, Defendant Wada's motion to compel an additional search of and further production of discovery from the phones of Holder and Sweet is DENIED as moot, and Defendants requests to adjourn the trial are DENIED. (Signed by Judge J. Paul Oetken on 2/8/2019) (See ORDER set forth) (ap)
	Request

222	Filed: 2/8/2019, Entered: 2/8/2019, Terminated: 2/8/2019	Letter Motion
	FILING ERROR - DEFICIENT DOCKET ENTRY - LETTER MOTION addressed to Judge J. Paul Oetken from AUSA Rebecca Mermelstein, Jordan Estes, and Amanda Kramer dated 2/8/2019 re: Opposition to Middendorf Motion for Adjournment . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Mermelstein, Rebecca) Modified on 2/8/2019 (ka).
	Request

220	Filed: 2/8/2019, Entered: 2/8/2019, Terminated: 2/8/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Nelson A. Boxer dated February 8, 2019 re: adjournment . Document filed by David Middendorf. (Clark, Alexandra)
	Request

136	Filed: 11/13/2018, Entered: 11/13/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to Thomas Whittle. Notice is hereby given that an official transcript of a Plea proceeding held on 10/29/18 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.... (McGuirk, Kelly)
	Request

219	Filed: 2/8/2019, Entered: 2/8/2019	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSAs Jordan Estes, Amanda Kramer and Rebecca Mermelstein dated 2/8/2019 re: Opposition to Adjournment and Motion to Compel Production of ESI Document filed by USA. (Mermelstein, Rebecca)
	Request

135	Filed: 11/13/2018, Entered: 11/13/2018	transcript
	TRANSCRIPT of Proceedings as to Thomas Whittle re: Plea held on 10/29/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 12/4/2018. Redacted Transcript Deadline set for 12/14/2018. Release of Transcript Restriction set for 2/11/2019. (McGuirk, Kelly)
	Request

218	Filed: 2/8/2019, Entered: 2/8/2019	memorandum in support of motion
	MEMORANDUM in Support by Brian Sweet as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [216] MOTION to Quash Subpoena Directed to Orrick, Herrington & Sutcliffe LLP.. (Morvillo, Richard)
	Request

217	Filed: 2/8/2019, Entered: 2/8/2019	Declaration in Support of Motion
	DECLARATION of Richard J. Morvillo in Support by Brian Sweet as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [216] MOTION to Quash Subpoena Directed to Orrick, Herrington & Sutcliffe LLP.. (Attachments: # (1) Exhibit 1 - Subpoena directed to Orrick, Herrington & Sutcliffe LLP)(Morvillo, Richard)
	Request

133	Filed: 11/7/2018, Entered: 11/7/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to Thomas Whittle. Notice is hereby given that an official transcript of a Plea proceeding held on 10/29/18 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.... (McGuirk, Kelly)
	Request

216	Filed: 2/8/2019, Entered: 2/8/2019, Terminated: 2/12/2019	motion to quash
	MOTION to Quash Subpoena Directed to Orrick, Herrington & Sutcliffe LLP. Document filed by Brian Sweet as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Morvillo, Richard)
	Request

132	Filed: 11/7/2018, Entered: 11/7/2018	transcript
	TRANSCRIPT of Proceedings as to Thomas Whittle re: Plea held on 10/29/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 11/28/2018. Redacted Transcript Deadline set for 12/10/2018. Release of Transcript Restriction set for 2/5/2019. (McGuirk, Kelly)
	Request

215	Filed: 2/8/2019, Entered: 2/8/2019	Endorsed Letter
	ENDORSED LETTER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from 2/7/2019, dated 2/7/2019, re: Counsel writes: I represent Brian Sweet, a cooperating witness in this case. On February 5, 2018, defendant David Middendorf served a document subpoena on Orrick, Herrington, & Sutcliffe LLP seeking all documents concerning or comprising communications between attorneys for Brian Sweet and attorneys for the United States relating to any of the allegations in U.S. v. Sweet, No. 18 Cr. 8 (JPO) and all documents reflecting statements made by or on behalf of Mr. Sweet to the government. We respectfully request to appear and file a motion to quash the subpoena pursuant to Federal Rule of Criminal Procedure 17(c)(2), as it is unreasonable and oppressive. ENDORSEMENT: Granted. The Clerk of Court is directed to add Brian Sweet to this matter as an interested party. So ordered. (Signed by Judge J. Paul Oetken on 2/7/2019) (lnl)
	Request

	Filed: None, Entered: None	Order of Referral to Probation for Presentence Investigation and Report
	Order of Referral to Probation for Presentence Investigation and Report as to Thomas Whittle (Signed by Judge J. Paul Oetken on 10/29/2018)(jw)


214	Filed: 2/7/2019, Entered: 2/7/2019, Terminated: 2/12/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Bradley J. Bondi dated February 7, 2019 re: Quash Subpoena . Document filed by Thomas Whittle as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Attachments: # (1) Subpoena)(Bondi, Bradley)
	Request

	Filed: None, Entered: None	Change of Not Guilty Plea
	Change of Not Guilty Plea to Guilty Plea as to Thomas Whittle (2) Count 1,2,3-5. (jw)


213	Filed: 2/7/2019, Entered: 2/7/2019	Order on Letter Motion
	ORDER as to Jeffrey Wada (5) on [208] JOINT LETTER MOTION addressed to Judge J. Paul Oetken from Justin S. Weddle dated 02.06.2019 re: Application to use and install courtroom technology. ORDERED that Defendants David Middendorf and Jeffrey Wada (the "Defendants") are authorized to use technological equipment for the duration of trial scheduled to begin on February 11, 2019 included in this order. (Signed by Judge J. Paul Oetken on 2/7/2019) (See ORDER set forth) (ap) Modified on 2/8/2019 (ap).
	Request

	Filed: None, Entered: None	Change of Plea Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken:Change of Plea Hearing as to Thomas Whittle held on 10/29/2018., Plea entered by Thomas Whittle (2) Guilty as to Count 1,2,3-5 ( Replies due by 9/6/2019., Government Responses due by 8/30/2019, Sentencing set for 9/13/2019 at 10:00 AM before Judge J. Paul Oetken.) Defendant present with attorneys Bradley Bondi and Nola Heller; AUSA Rebecca Mermelstein, Jordan Estes and Amanda Kramer present; Court Reporter present. Defendant is sworn and the Court accepts the defendants change of plea to Guilty as to counts 1, 2, 3, 4 and 5. The sentencing date is set for September 13, 2019 at 10:00 am. The Governments submission is due August 30, 2019 and the defendants sentencing submission is due by September 6, 2019. The PSR was ordered and bail is continued. (See transcript) (jw)


211	Filed: 2/7/2019, Entered: 2/7/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Amy Lester dated February 7, 2019 re: Application to bring personal electronic devices and general computing devices into the courthouse on February 11, 2019 and for the duration of the trial . Document filed by David Middendorf. (Attachments: # (1) Text of Proposed Order re electronic devices)(Greenspan, Noam)
	Request

210	Filed: 2/6/2019, Entered: 2/6/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Nelson A. Boxer dated February 6, 2019 re: Application to bring personal electronic devices and general computing devices into the courthouse on February 11, 2019 and for the duration of the trial . Document filed by David Middendorf. (Attachments: # (1) Text of Proposed Order re electronic devices)(Greenspan, Noam)
	Request

129	Filed: 10/22/2018, Entered: 10/22/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to Cynthia Holder. Notice is hereby given that an official transcript of a Plea proceeding held on 10/16/18 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.... (McGuirk, Kelly)
	Request

207	Filed: 2/6/2019, Entered: 2/6/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: The Court has reviewed the parties' letters regarding Defendant David Middendorf's objection to disclosing all potential defense witnesses and their Rule 26.2 statements to the Government. (Dkt. Nos. 202 & 205.) The Court clarifies that the deadline of February 4, 2019, as established in the Court's pretrial scheduling order (Dkt. No. 140), applies to any witness the Defendants contemplated calling at trial. Defendant Middendorf is directed to provide to the Government a list of any defense witnesses that he may call, and their Rule 26.2 statements, before the end of today. SO ORDERED. (Signed by Judge J. Paul Oetken on 2/5/2019) (lnl)
	Request

128	Filed: 10/22/2018, Entered: 10/22/2018	transcript
	TRANSCRIPT of Proceedings as to Cynthia Holder re: Plea held on 10/16/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Pamela Utter, (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 11/13/2018. Redacted Transcript Deadline set for 11/23/2018. Release of Transcript Restriction set for 1/20/2019. (McGuirk, Kelly)
	Request

205	Filed: 2/4/2019, Entered: 2/4/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Jordan Estes and Amanda Kramer dated 2/4/2019 re: Opposition to Middendorf Motion to Avoid Compliance with Pretrial Schedule . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Mermelstein, Rebecca)
	Request

	Filed: None, Entered: None	Change of Not Guilty Plea
	Change of Not Guilty Plea to Guilty Plea as to Cynthia Holder (4) Count 1,2,4-5. (jw)


204	Filed: 2/4/2019, Entered: 2/4/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


	Filed: None, Entered: None	Change of Plea Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken:Change of Plea Hearing as to Cynthia Holder held on 10/16/2018., Plea entered by Cynthia Holder (4) Guilty as to Count 1,2,4-5 ( Sentencing set for 4/5/2019 at 10:30 AM before Judge J. Paul Oetken.) Defendant Cynthia Holder present with attorney Norman Bloch and Emily Mathieu, AUSA Amanda Kramer present. Court Reporter present. Defendant is sworn and the Court accepts the defendants change of plea to Guilty as to counts 1, 2, 4and 5. The sentencing date is set for April 5, 2019 at 10:30 am. The defendants sentencing submission is due by March 22, 2019 and the Governments submission is due March 29, 2019 The PSR was ordered and bail is continued. (See transcript) (jw)


203	Filed: 2/4/2019, Entered: 2/4/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


202	Filed: 2/4/2019, Entered: 2/4/2019	Letter
	LETTER by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated February 4, 2019 re: Production of Defense Witness List (Greenspan, Noam)
	Request

126	Filed: 9/14/2018, Entered: 9/14/2018	Endorsed Letter
	ENDORSED LETTER as to Thomas Whittle addressed to Judge J. Paul Oetken, from Bradley J. Bondi, Nola B. Heller and Seal P. Tonolli (pro hac vice) dated 9/13/2018 re: Defense counsel writes to request modifications to terms of pretrial release. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 9/14/2018)(ap)
	Request

	Filed: None, Entered: None	Pretrial Conference
	Minute Entry for proceedings held before Judge J. Paul Oetken:Pretrial Conference as to David Middendorf, David Britt, Jeffrey Wada held on 2/1/2019. Defendant David Middendorf present with attorney, Nelson Boxer, Amy Lester and Gregory Bruch; Defendant Jeffrey Wada present with attorney Stephen Cook, Justin Weddle and Jason Ohta present; attorney Robert Stern, Matthew Shahabian, Alyssa Barnard and Rita Glavin present. Appearance for David Britt waived; AUSA Amanda Kramer, Jorden Estes and Rebecca Mermelstein present. Court Reporter present. Bail continued as to all defendants. (See transcript for complete details.) (jw)


200	Filed: 1/30/2019, Entered: 1/30/2019	Response in Support of Motion
	LETTER RESPONSE in Support of Motion by USA as to David Middendorf, David Britt, Jeffrey Wada addressed to Judge J. Paul Oetken from Jordan Estes dated January 30, 2019 re: [179] LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated January 22, 2019 re: Request for Pre-trial Ruling on Willfulness .. (Estes, Jordan)
	Request

198	Filed: 1/29/2019, Entered: 1/29/2019	Letter
	LETTER by David Middendorf as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Nelson A. Boxer dated January 28, 2019 re: Defendants' Proposed Voir Dire Document filed by David Middendorf. (Greenspan, Noam)
	Request

197	Filed: 1/29/2019, Entered: 1/29/2019	Request to Charge
	Request To Charge by David Middendorf. (Greenspan, Noam)
	Request

121	Filed: 8/15/2018, Entered: 8/15/2018	Endorsed Letter
	ENDORSED LETTER as to Thomas Whittle addressed to Judge J. Paul Oetken from Bradley J. Bondi/Nola B. Heller/Sean P. Tonolli, dated 8/14/2018, re: Defense counsel writes to request the modifications of the terms of Mr. Whittle's pretrial release as set forth. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 8/15/2018) (See ENDORSED LETTER as set forth) (lnl)
	Request

196	Filed: 1/28/2019, Entered: 1/28/2019	Response to motion
	LETTER RESPONSE to Motion by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated January 28, 2019 re: [179] LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated January 22, 2019 re: Request for Pre-trial Ruling on Willfulness .. (Greenspan, Noam)
	Request

	Filed: None, Entered: None	Status Conference
	Minute Entry for proceedings held before Judge J. Paul Oetken: Status Conference as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada held on 8/1/2018. Defendant David Middendorf present with attorneys Gregory Bruch, Nelson Boxer & Amy Lester;Defendant Thomas Whittle not present. Attorney Bradley Bondi and Nola Heller present; Defendant David Britt present with attorneys Robert Stern, Melinda Haag & Rita Glavin; Defendant Cynthia Holder present with attorneys Norman Bloch and Emily Mathieu; Defendant Jeffrey Wada Not present. Attorney Stephen Cook and Selvie Jason present. AUSA Amanda Kramer and Jessica Greenwood present. Court Reporter Michael McDaniel present. Oral Argument on all pending motions held: Decision reserved. The trial is adjourned to 2/11/2019.Time is excluded. Bail as to all defendants continued. (See transcript for complete details.) (jbo)


194	Filed: 1/28/2019, Entered: 1/28/2019	Letter
	LETTER by David Middendorf addressed to Judge J. Paul Oetken from Nelson A. Boxer dated January 28, 2019 re: Proposed Jury Instructions (Greenspan, Noam)
	Request

119	Filed: 7/30/2018, Entered: 7/30/2018	Endorsed Letter
	ENDORSED LETTER as to Jeffrey Wada addressed to Judge J. Paul Oetken from Stephen R. Cook, dated 7/27/2018, re: Defense counsel writes to request that Mr. Wada be excused from attending the oral argument on pending motions scheduled for August 1, 2018 at 10:30 A.M. as set by the Court on July 23, 2018; for the reason set forth in this letter. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 7/30/2018) (lnl)
	Request

193	Filed: 1/28/2019, Entered: 1/28/2019	Proposed Voir Dire Questions
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - Proposed Voir Dire Questions by David Middendorf as to David Middendorf, Jeffrey Wada. (Greenspan, Noam) Modified on 1/29/2019 (ka).
	Request

192	Filed: 1/28/2019, Entered: 1/28/2019	proposed jury instructions
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - Proposed Jury Instructions by David Middendorf. (Greenspan, Noam) Modified on 1/29/2019 (ka).
	Request

189	Filed: 1/25/2019, Entered: 1/25/2019	Order
	ORDER as to David Middendorf, David Britt, Jeffrey Wada: Defendant David Britt requested to adjourn the upcoming trial in this case. Defendant Jeffrey Wada consented to the adjournment, and Defendant David Middendorf opposed the adjournment. The Court held a sealed hearing on January 14, 2019 regarding this matter. As determined at that hearing, Defendant Britt is severed for purposes of trial. Trial as to Defendant Britt will begin on October 21, 2019. (See Dkt. No. 184.) Trial as to Defendants Wada and Middendorf will proceed as scheduled on February 11, 2019. (Signed by Judge J. Paul Oetken on 1/25/2019) (ap)
	Request

188	Filed: 1/24/2019, Entered: 1/24/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


	Filed: None, Entered: None	Docket Annotation
	NOTICE: ORAL ARGUMENT ON ALL PENDING MOTIONS IS SCHEDULED FOR 8/1/2018 AT 10:30 A.M. (bh)


187	Filed: 1/24/2019, Entered: 1/24/2019	Declaration in Support of Motion
	DECLARATION of Alexandra R. Clark in Support as to David Middendorf re: [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC., [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs., [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB., [152] MOTION in Limine Regarding Expert Testimony., [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind.. (Attachments: # (1) Exhibit A (Under Seal), # (2) Exhibit B (Under Seal), # (3) Exhibit C, # (4) Exhibit D (Under Seal))(Greenspan, Noam)
	Request

115	Filed: 7/19/2018, Entered: 7/19/2018	Endorsed Letter
	ENDORSED LETTER as to Thomas Whittle addressed to Judge J. Paul Oetken from Bradley J. Bondi/Nola B. Heller/Sean P. Tonolli, dated 7/13/2018, re: Counsel writes to request modification of the terms of Mr. Whittle's pretrial release as set forth in this letter. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 7/16/2018) (lnl)
	Request

186	Filed: 1/24/2019, Entered: 1/24/2019	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to David Middendorf re: [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind. . (Greenspan, Noam)
	Request

185	Filed: 1/24/2019, Entered: 1/24/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: On January 23, 2019, Defendant David Middendorf filed a letter requesting to redact certain information from his reply brief in support of motion in limine #2 (Dkt. No. 181) and to file under seal Exhibit D of the accompanying declaration (Dkt. No. 182-4.) Those requests are hereby GRANTED. Defendant Middendorf shall refile a redacted version of the reply brief and refile Exhibit D of the accompanying declaration under seal. Additionally, the Court will file Defendants letter under seal. (Signed by Judge J. Paul Oetken on 1/23/2019) (ap)
	Request

113	Filed: 7/13/2018, Entered: 7/13/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to David Britt re: [95] MOTION to Compel Rule 16, Brady, and Order Discovery. . (Haag, Melinda)
	Request

182	Filed: 1/22/2019, Entered: 1/22/2019	Declaration in Support of Motion
	DECLARATION of Alexandra R. Clark in Support as to David Middendorf re: [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC., [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs., [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB., [152] MOTION in Limine Regarding Expert Testimony., [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind.. (Attachments: # (1) Exhibit A (Under Seal), # (2) Exhibit B (Under Seal), # (3) Exhibit C, # (4) Exhibit D)(Greenspan, Noam)
	Request

112	Filed: 7/13/2018, Entered: 7/13/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to Cynthia Holder re: [85] MOTION for Bill of Particulars . . (Bloch, Norman)
	Request

181	Filed: 1/22/2019, Entered: 1/22/2019	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support as to David Middendorf re: [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind. . (Greenspan, Noam)
	Request

180	Filed: 1/22/2019, Entered: 1/22/2019	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support by David Middendorf as to David Middendorf, David Britt, Jeffrey Wada re: [152] MOTION in Limine Regarding Expert Testimony., [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC., [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB., [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs. . (Greenspan, Noam)
	Request

179	Filed: 1/22/2019, Entered: 1/22/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from Jordan Estes dated January 22, 2019 re: Request for Pre-trial Ruling on Willfulness . Document filed by USA as to David Middendorf, Jeffrey Wada. (Estes, Jordan)
	Request

109	Filed: 7/3/2018, Entered: 7/3/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Laura Elizabeth Miller appearing for David Britt. Appearance Type: Retained. (Miller, Laura)
	Request

176	Filed: 1/22/2019, Entered: 1/22/2019	Request to Charge
	Request To Charge by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Mermelstein, Rebecca)
	Request

108	Filed: 7/3/2018, Entered: 7/3/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Rita Marie Glavin appearing for David Britt. Appearance Type: Retained. (Glavin, Rita)
	Request

175	Filed: 1/22/2019, Entered: 1/22/2019	Proposed Examination of Jurors
	PROPOSED EXAMINATION OF JURORS by USA as to David Middendorf, Jeffrey Wada. (Estes, Jordan)
	Request

174	Filed: 1/18/2019, Entered: 1/18/2019	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


106	Filed: 6/29/2018, Entered: 6/29/2018	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken from Melinda Haag dated 6/27/18 re: To request a one week extension of the time to file a reply brief in support of his motion to compel the production of discovery....ENDORSEMENT: Granted. Defendants' time to file reply briefs in support of their respective discovery motions is extended to July 13, 2018 ( Brief due by 7/13/2018.) (Signed by Judge J. Paul Oetken on 6/29/18)(jw)
	Request

173	Filed: 1/15/2019, Entered: 1/15/2019	response in opposition to motion
	RESPONSE in Opposition by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC., [152] MOTION in Limine Regarding Expert Testimony., [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs., [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB., [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind., [163] MOTION in Limine to Exclude Wealth Evidence.. (Estes, Jordan)
	Request

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105	Filed: 6/28/2018, Entered: 6/28/2018	Endorsed Letter
	ENDORSED LETTER as to Jeffrey Wada addressed to Judge J. Paul Oetken, from Stephen R. Cook dated 6/27/2018 re: Defense counsel writes to request modification to the terms of Mr. Wada's pretrial release. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 6/28/2018)(ap)
	Request

172	Filed: 1/15/2019, Entered: 1/15/2019	Sealed document
	SEALED DOCUMENT placed in vault. (mhe)


103	Filed: 6/13/2018, Entered: 6/13/2018, Terminated: 8/17/2018	~Motion for Joinder
	MOTION for Joinder with [98] MOTION to Compel production and compliance with disclosure obligations under Brady. . Document filed by Jeffrey Wada. (Cook, Stephen)
	Request

171	Filed: 1/11/2019, Entered: 1/15/2019	Remark
	APPEARANCE OF COUNSEL filed by Public Company Accounting Oversight Board ("PCAOB") as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. Dated: 01/11/2019. (bw)
	Request

170	Filed: 1/11/2019, Entered: 1/11/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. The Government's motion to quash the Rule 17 subpoenas to Citibank and TD Ameritrade is hereby GRANTED. The Government also requested notice and an opportunity to object to any future Rule 17(c) subpoenas. (Dkt. No. 142.) The request to impose such a condition is DENIED. The Clerk of Court is directed to close the motion at Docket Number 42. (Signed by Judge J. Paul Oetken on 1/11/2019) (See ORDER set forth) (ap)
	Request

168	Filed: 1/8/2019, Entered: 1/8/2019	Order
	ORDER as to David Middendorf: On January 7, 2019, Defendant David Middendorf submitted a letter asking the Court to modify the Order (Dkt. No. 151) directing the Government to respond to Defendant Middendorf's order to show cause. Defendant Middendorf's request to file this letter under seal is hereby GRANTED. The Court will file the letter under seal. Furthermore, Defendant Middendorf's request to modify the Order is GRANTED. The Government and the Public Company Accounting Oversight Board ("PCAOB") shall submit responses to Defendant Middendorf's request for injunctive relief to the Court by January 11, 2019. Defendant Middendorf is directed to serve this order on counsel for the PCAOB. (Signed by Judge J. Paul Oetken on 1/7/2019) (ap)
	Request

167	Filed: 1/7/2019, Entered: 1/7/2019	Declaration in Support of Motion
	DECLARATION of Robert M. Stern in Support as to David Middendorf, David Britt, Jeffrey Wada re: [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB., [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind., [163] MOTION in Limine to Exclude Wealth Evidence., [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs., [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC.. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2 (redacted), # (3) Exhibit 3 (redacted))(Stern, Robert)
	Request

166	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, David Britt, Jeffrey Wada re [165] MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs.. (Stern, Robert)
	Request

97	Filed: 6/8/2018, Entered: 6/8/2018	Declaration in Support of Motion
	DECLARATION of Melinda Haag in Support as to David Britt re: [95] MOTION to Compel Rule 16, Brady, and Order Discovery.. (Attachments: # (1) Exhibit 1 - Declaration of Melinda Haag, # (2) Exhibit 2 - Declaration of Melinda Haag, # (3) Exhibit 3 - Declaration of Melinda Haag, # (4) Exhibit 4 - Declaration of Melinda Haag, # (5) Exhibit 5 - Declaration of Melinda Haag, # (6) Exhibit 6 - Declaration of Melinda Haag, # (7) Exhibit 7 - Declaration of Melinda Haag, # (8) Exhibit 8 - Declaration of Melinda Haag)(Haag, Melinda)
	Request

165	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine to Exclude Evidence of PCAOB's Remedial Costs. Document filed by David Middendorf, David Britt, Jeffrey Wada. (Stern, Robert)
	Request

96	Filed: 6/8/2018, Entered: 6/8/2018	memorandum in support of motion
	MEMORANDUM in Support by David Britt re [95] MOTION to Compel Rule 16, Brady, and Order Discovery.. (Haag, Melinda)
	Request

164	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, David Britt re [163] MOTION in Limine to Exclude Wealth Evidence.. (Stern, Robert)
	Request

95	Filed: 6/8/2018, Entered: 6/8/2018, Terminated: 8/17/2018	Motion to Compel
	MOTION to Compel Rule 16, Brady, and Order Discovery. Document filed by David Britt. (Haag, Melinda)
	Request

163	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine to Exclude Wealth Evidence. Document filed by David Middendorf, David Britt. (Stern, Robert)
	Request

162	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, David Britt, Jeffrey Wada re [161] MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB.. (Stern, Robert)
	Request

161	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine to Preclude Testimony and Argument About the SEC's Oversight and Supervision of the PCAOB. Document filed by David Middendorf, David Britt, Jeffrey Wada. (Stern, Robert)
	Request

92	Filed: 5/31/2018, Entered: 5/31/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Selbie Lee Jason appearing for Jeffrey Wada. Appearance Type: Retained. (Jason, Selbie)
	Request

160	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, David Britt, Jeffrey Wada re [159] MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC.. (Stern, Robert)
	Request

	Filed: None, Entered: None	Oral Argument
	Minute Entry for proceedings held before Judge J. Paul Oetken:Oral Argument as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada held on 5/31/2018. Defendant David Middendorf present with attorneys Gregory Bruch, Nelson Boxer & Amy Lester; Defendant Thomas Whittle present with attorney Bradley Bondi and Nola Heller; Defendant David Britt present with attorneys Robert Stern, Melinda Haag & Matthew Shahabian; Defendant Cynthia Holder present with attorneys Norman Bloch and Emily Mathieu; Defendant Jeffrey Wada present with attorney Stephen Cook and Selvie Jason AUSA Amanda Kramer and Jessica Greenwood present. Court Reporter Michael McDaniel present. Oral Argument on motions to dismiss held: Decision reserved. Bail as to all defendants continued. (See transcript for complete details.) (jw)


159	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine to Exclude Reference to Other Duties Owed to PCAOB or SEC. Document filed by David Middendorf, David Britt, Jeffrey Wada. (Stern, Robert)
	Request

158	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, David Britt re [157] MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind.. (Stern, Robert)
	Request

157	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine to Admit Portions of Interview Statements for Completeness and State of Mind. Document filed by David Middendorf, David Britt. (Stern, Robert)
	Request

89	Filed: 5/25/2018, Entered: 5/25/2018	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken from Melinda Haag & Robert Stern dated 5/23/2018 re: We write to request a two-week extension of time to file a motion to compel the production of discovery. ENDORSEMENT: Granted. Any motions to compel production of discovery by any of the Defendants shall be filed by June 8, 2018. So Ordered. (Signed by Judge J. Paul Oetken on 5/25/2018)(ft)
	Request

156	Filed: 1/7/2019, Entered: 1/7/2019	Memorandum of Law in Opposition
	MEMORANDUM OF LAW in Opposition by David Middendorf, David Britt, Jeffrey Wada (Opposition to Government's Omnibus Motion in Limine). (Stern, Robert)
	Request

154	Filed: 1/7/2019, Entered: 1/7/2019	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf as to David Middendorf, David Britt, Jeffrey Wada re [152] MOTION in Limine Regarding Expert Testimony.. (Clark, Alexandra)
	Request

153	Filed: 1/7/2019, Entered: 1/7/2019	Declaration in Support of Motion
	DECLARATION of Alexandra R. Clark in Support by David Middendorf as to David Middendorf, David Britt, Jeffrey Wada re: [152] MOTION in Limine Regarding Expert Testimony.. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D)(Clark, Alexandra)
	Request

152	Filed: 1/7/2019, Entered: 1/7/2019	Motion in Limine
	MOTION in Limine Regarding Expert Testimony. Document filed by David Middendorf as to David Middendorf, David Britt, Jeffrey Wada. (Clark, Alexandra)
	Request

151	Filed: 1/7/2019, Entered: 1/7/2019	Scheduling Order
	ORDER as to David Middendorf: On January 4, 2019, Defendant David Middendorf requested that the Court file under seal an order to show cause, along with accompanying memorandum, declaration, and exhibits. Defendant Middendorf's request is hereby GRANTED. The Court will file the submissions under seal. The Government shall submit a response to Defendant Middendorf's request for injunctive relief to the Court by January 11, 2019. Insofar as Defendant Middendorf's order to show cause also seeks the preclusion of certain evidence, the parties shall comply with the established briefing schedule for motions in limine. (Dkt. No. 140.) (Responses due by 1/11/2019) (Signed by Judge J. Paul Oetken on 1/7/2019) (ap)
	Request

	Filed: None, Entered: None	set/reset deadlines/hearings
	Set/Reset Deadlines/Hearings as to David Britt: Motions due by 6/8/2018. (ft)


150	Filed: 1/4/2019, Entered: 1/4/2019	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. In connection with the Government's motion to quash certain Rule 17 subpoenas (Dkt. No. 142), counsel for Defendants shall submit for in camera review on or before January 8, 2019 any subpoenas issued to Citibank, JP Morgan, TD Ameritrade, and Fresno Management Company. Counsel for Defendants may also file a supplemental ex parte submission explaining the defense's basis for issuing these subpoenas. SO ORDERED. (Signed by Judge J. Paul Oetken on 1/4/2019)(bw)
	Request

83	Filed: 5/24/2018, Entered: 5/24/2018	Reply Memorandum of Law in Support of Motion
	SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support by David Britt as to Thomas Whittle, David Britt re: [56] JOINT MOTION to Dismiss the Indictment. . (Stern, Robert)
	Request

149	Filed: 1/3/2019, Entered: 1/3/2019	Reply Memorandum of Law in Support of Motion
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REPLY MEMORANDUM OF LAW in Support by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [142] LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 12/17/2018 re: Motion to Quash . . (Estes, Jordan) Modified on 1/7/2019 (ka).
	Request

148	Filed: 12/21/2018, Entered: 12/21/2018	response in opposition to motion
	LETTER RESPONSE in Opposition by David Middendorf as to David Middendorf, Jeffrey Wada addressed to Judge J. Paul Oetken from Nelson A. Boxer dated December 21, 2018 re: [142] LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 12/17/2018 re: Motion to Quash .. (Greenspan, Noam)
	Request

146	Filed: 12/21/2018, Entered: 12/21/2018, Terminated: 12/21/2018	Motion in Limine
	FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION in Limine . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Attachments: # (1) Exhibit, # (2) Exhibit)(Mermelstein, Rebecca) Modified on 1/2/2019 (ka).
	Request

144	Filed: 12/21/2018, Entered: 12/21/2018	Order
	ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: On December 17, 2018, the Government filed a motion to quash defense subpoenas to Citibank, JP Morgan, TD Ameritrade, and Fresno Management Company, and any other similar Rule 17 subpoenas. (Dkt. No. 142). Any response to the Governments motion shall be filed on or before December 27, 2018. (Responses due by 12/27/2018) (Signed by Judge J. Paul Oetken on 12/21/2018) (ap)
	Request

143	Filed: 12/20/2018, Entered: 12/20/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Noam B Greenspan appearing for David Middendorf. Appearance Type: Retained. (Greenspan, Noam)
	Request

142	Filed: 12/17/2018, Entered: 12/17/2018, Terminated: 1/11/2019	Letter Motion
	LETTER MOTION addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 12/17/2018 re: Motion to Quash . Document filed by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Mermelstein, Rebecca)
	Request

76	Filed: 5/23/2018, Entered: 5/23/2018	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken, from Melinda Haag dated 5/22/2018 re: Defense counsel writes to request modifications of bail conditions. ENDORSEMENT: Granted. Defendant is to notify pretrial services of the specific travel dates and locations as to the pre and post college enrollment functions as soon as possible. So Ordered. (Signed by Judge J. Paul Oetken on 5/23/2018)(ap) Modified on 5/24/2018 (ap).
	Request

141	Filed: 12/7/2018, Entered: 12/7/2018	Order on Motion to appear pro hac vice
	ORDER granting [139] Motion to Appear Pro Hac Vice as to Jeffrey Wada (5). GRANTED. (Signed by Judge J. Paul Oetken on 12/7/2018) (bh)


75	Filed: 5/17/2018, Entered: 5/17/2018	Endorsed Letter
	ENDORSED LETTER as to Cynthia Holder addressed to Judge J. Paul Oetken from Emily J. Mathieu dated 5/16/2018 re: Permission to Travel. ENDORSEMENT: Granted. Defendant is to notify pretrial services of the specific travel dates as soon as possible. (Signed by Judge J. Paul Oetken on 5/17/2018)(ft)
	Request

140	Filed: 12/6/2018, Entered: 12/6/2018	Order
	ORDER as to David Middendorf, David Britt, Jeffrey Wada. The following schedule shall govern pretrial matters in this case. All disclosures shall be based on a good faith assessment by each party at the time of the pertinent disclosure. (* See this Order for complete details *) (Signed by Judge J. Paul Oetken on 12/6/2018)(bw)
	Request

138	Filed: 11/30/2018, Entered: 11/30/2018	Letter
	LETTER by David Middendorf as to David Middendorf, David Britt, Jeffrey Wada addressed to Judge J. Paul Oetken from Amy Lester, Esq. dated November 30, 2018 re: pretrial scheduling Document filed by David Middendorf. (Lester, Amy)
	Request

73	Filed: 5/1/2018, Entered: 5/1/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to Cynthia Holder. Notice is hereby given that an official transcript of a Hearing proceeding held on 4/5/18 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.... (McGuirk, Kelly)
	Request

137	Filed: 11/26/2018, Entered: 11/26/2018	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer and Jordan Estes dated 11/26/2018 re: pretrial scheduling Document filed by USA. (Mermelstein, Rebecca)
	Request

72	Filed: 5/1/2018, Entered: 5/1/2018	transcript
	TRANSCRIPT of Proceedings as to Cynthia Holder re: Hearing held on 4/5/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Jerry Harrison, (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 5/22/2018. Redacted Transcript Deadline set for 6/1/2018. Release of Transcript Restriction set for 7/30/2018. (McGuirk, Kelly)
	Request

134	Filed: 11/13/2018, Entered: 11/13/2018	Letter
	LETTER by David Middendorf, David Britt, Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken dated November 13, 2018 re: Trial Deadlines Document filed by David Middendorf, David Britt, Jeffrey Wada. (Boxer, Nelson)
	Request

71	Filed: 4/27/2018, Entered: 4/27/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to Thomas Whittle. Notice is hereby given that an official transcript of a Conference proceeding held on 4/3/18 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.... (McGuirk, Kelly)
	Request

131	Filed: 11/6/2018, Entered: 11/6/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken, from Amy Lester, Nelson A. Boxer and Alexandra R. Clark dated 11/6/2018 re: Defense counsel writes to request permission for defendant to travel by car between Atlanta, Georgia, and Wake Forest, High Point, and Charlotte, North Carolina, on November 19, 2018, in order to visit three colleges with one of his daughters. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 11/6/2018) (ap)
	Request

70	Filed: 4/27/2018, Entered: 4/27/2018	transcript
	TRANSCRIPT of Proceedings as to Thomas Whittle re: Conference held on 4/3/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Kelly Surina, (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 5/18/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/26/2018. (McGuirk, Kelly)
	Request

130	Filed: 10/23/2018, Entered: 10/23/2018	notice of attorney appearance - USA
	NOTICE OF ATTORNEY APPEARANCE Jordan Lancaster Estes appearing for USA. (Estes, Jordan)
	Request

69	Filed: 4/27/2018, Entered: 4/27/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Britt. Notice is hereby given that an official transcript of a Conference proceeding held on 4/3/18 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.... (McGuirk, Kelly)
	Request

127	Filed: 9/25/2018, Entered: 9/25/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken, from Amy Lester, Nelson Boxer, Alexandra R. Clark, Gregory S. Bruch and Khiran Sidhu dated 9/24/2018 re: Defense counsel writes to request permission for Defendant to travel. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 9/25/2018) (ap)
	Request

68	Filed: 4/27/2018, Entered: 4/27/2018	transcript
	TRANSCRIPT of Proceedings as to David Britt re: Conference held on 4/3/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Kelly Surina, (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 5/18/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/26/2018. (McGuirk, Kelly)
	Request

125	Filed: 8/22/2018, Entered: 8/22/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken, from Amy Lester, Nelson A. Boxer, Alexandra R. Clark, Gregory S. Bruch and Khiran Sidhu dated 8/22/2018 re: Defense counsel writes to request permission for him to travel from Atlanta, Georgia to Los Angeles, California, from August 31 through September 3, 2018. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 8/22/2018) (ap)
	Request

124	Filed: 8/21/2018, Entered: 8/21/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. Notice is hereby given that an official transcript of a Arraignment proceeding held on 8/1/18 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.... (McGuirk, Kelly)
	Request

123	Filed: 8/21/2018, Entered: 8/21/2018	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: Arraignment held on 8/1/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Jennifer Thun, (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 9/11/2018. Redacted Transcript Deadline set for 9/21/2018. Release of Transcript Restriction set for 11/19/2018. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Cash Bail Returned
	CASH BAIL RETURNED as to David Middendorf as per [51] Order,,,, dated 4/2/2018, from Judge J. Paul Oetken, in the amount of $50,000.00, Check No. 01901013, Check Dated 4/23/2018, payable to David Middendorf. (cla)


122	Filed: 8/17/2018, Entered: 8/17/2018	Memorandum and Opinion
	OPINION AND ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. For the foregoing reasons, Defendants' motions for a bill of particulars and motions to compel disclosure of Brady material and Rule 16 discovery are DENIED. The Clerk of Court is directed to close the motions at Docket Numbers 79, 85, 95, 98, and 103. (Signed by Judge J. Paul Oetken on 8/17/2018) (See ORDER set forth) (ap)
	Request

120	Filed: 8/8/2018, Entered: 8/8/2018	Letter
	LETTER by David Britt as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from Robert Stern and Melinda Haag dated June 5, 2018 re: Government's letter dated June 1, 2018 Document filed by David Britt. (Stern, Robert)
	Request

118	Filed: 7/27/2018, Entered: 7/27/2018	Order
	FEDERAL RULE OF EVIDENCE 502(d) ORDER REGARDING INFORMATION DISCLOSED BY NON-PARTY as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. This disclosure, whether inadvertent or otherwise, of information that may be provided by non-party KPMG LLP (the "Non-Party") in response to any subpoena or other legal process from any party in connection with this action (i) shall not constitute under Federal Rule of Evidence 502(a) a waiver of any attorney-client privilege. (Signed by Judge J. Paul Oetken on 7/27/2018) (See ORDER set forth) (ap)
	Request

117	Filed: 7/25/2018, Entered: 7/25/2018	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSAs Rebecca Mermelstein, Amanda Kramer, and Jessica Greenwood dated 7/25/2018 re: Opp. to Adjournment Document filed by USA. (Mermelstein, Rebecca)
	Request

116	Filed: 7/24/2018, Entered: 7/24/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, dated 7/19/2018, re: Counsel writes to request permission for defendant David Middendorf to travel as set forth. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 7/24/2018) (lnl)
	Request

114	Filed: 7/17/2018, Entered: 7/17/2018	Memorandum and Opinion
	OPINION AND ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada: Defendants' motions to dismiss the Indictment are DENIED. The Clerk of Court is directed to close the motions at Docket Numbers 53, 56, and 60. (Signed by Judge J. Paul Oetken on 7/17/2018) (See OPINION AND ORDER as set forth) (lnl)
	Request

111	Filed: 7/13/2018, Entered: 7/13/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support by Thomas Whittle as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [98] MOTION to Compel production and compliance with disclosure obligations under Brady. . (Bondi, Bradley)
	Request

110	Filed: 7/13/2018, Entered: 7/13/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars . . (Boxer, Nelson)
	Request

107	Filed: 6/29/2018, Entered: 6/29/2018	MEMORANDUM in Opposition to Motion
	MEMORANDUM in Opposition by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [85] MOTION for Bill of Particulars ., [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars ., [98] MOTION to Compel production and compliance with disclosure obligations under Brady., [103] MOTION for Joinder with [98] MOTION to Compel production and compliance with disclosure obligations under Brady. ., [95] MOTION to Compel Rule 16, Brady, and Order Discovery.. (Attachments: # (1) Exhibit)(Kramer, Amanda)
	Request

104	Filed: 6/21/2018, Entered: 6/21/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken, from Amy Lester, Nelson Boxer, Alexandra R. Clark, Gregory S. Bruch, Khiran Sidhu dated 6/21/2018 re: Defense counsel writes to request permission for defendant to travel with his wife from Atlanta to Boston, Massachusetts, from July 4 through 7, 2018. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 6/21/2018) (ap)
	Request

102	Filed: 6/11/2018, Entered: 6/11/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. Notice is hereby given that an official transcript of a Arraignment proceeding held on 5/31/18 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.... (McGuirk, Kelly)
	Request

101	Filed: 6/11/2018, Entered: 6/11/2018	transcript
	TRANSCRIPT of Proceedings as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: Arraignment held on 5/31/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Michael McDaniel, (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 7/2/2018. Redacted Transcript Deadline set for 7/12/2018. Release of Transcript Restriction set for 9/10/2018. (McGuirk, Kelly)
	Request

	Filed: None, Entered: None	Curcio Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Curcio Hearing as to Cynthia Holder held on 4/5/2018. Defendant present with attorney Norman Bloch and Emily Mathieu; conflict counsel Edward McDonald present; AUSA Jessica Greenwood present; Court Reporter Jerry Harrison. Curcio Hearing held. Bail continued. (See transcript for complete details.) (jbo)


100	Filed: 6/8/2018, Entered: 6/8/2018	Declaration in Support of Motion
	DECLARATION of Nola B. Heller in Support by Thomas Whittle as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [98] MOTION to Compel production and compliance with disclosure obligations under Brady.. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Exhibit J, # (11) Exhibit K, # (12) Exhibit L, # (13) Exhibit M, # (14) Exhibit N, # (15) Exhibit O)(Heller, Nola)
	Request

99	Filed: 6/8/2018, Entered: 6/8/2018	memorandum in support of motion
	MEMORANDUM in Support by Thomas Whittle as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [98] MOTION to Compel production and compliance with disclosure obligations under Brady.. (Heller, Nola)
	Request

	Filed: None, Entered: None	Curcio Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken:Curcio Hearing as to David Britt held on 4/3/2018. Defendant David Britt present with attorneys Robert Stern & Matthew Shahabian. AUSA Rebecca Mermelstein present. Court Reporter Kelly Surina present. Bail continued. (See transcript for complete details.) (jw)


98	Filed: 6/8/2018, Entered: 6/8/2018, Terminated: 8/17/2018	Motion to Compel
	MOTION to Compel production and compliance with disclosure obligations under Brady. Document filed by Thomas Whittle as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Heller, Nola)
	Request

	Filed: None, Entered: None	Curcio Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Curcio Hearing as to Thomas Whittle held on 4/3/2018. Defendant Thomas Whittle present with attorney Nola Heller, AUSA Rebecca Mermelstein present. Court Reporter Kelly Surina present. Bail continued. (See transcript for complete details) (jw)


94	Filed: 6/4/2018, Entered: 6/4/2018	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken Document filed by USA. (Kramer, Amanda)
	Request

	Filed: None, Entered: None	Curcio Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken:Curcio Hearing as to David Middendorf held on 4/3/2018. Defendant David Middendorf present with attorney Gregory Bruch, Khiran Sidhu & Nelson Boxer. AUSA Rebecca Mermelstein present. Court Reporter Kelly Surina present. Bail continued. (See transcript for complete details) (jw)


93	Filed: 6/1/2018, Entered: 6/1/2018	Letter
	LETTER by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from AUSA Jessica Greenwood dated 06/01/2018 re: Oral Argument on Motions to Dismiss Document filed by USA. (Greenwood, Jessica)
	Request

91	Filed: 5/25/2018, Entered: 5/25/2018	Notice - Other
	NOTICE of Omnibus Notice of Joinder of Defendant Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [81] Declaration in Support of Motion, [85] MOTION for Bill of Particulars ., [80] Memorandum in Support of Motion, [84] Memorandum in Support of Motion, [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars ., [86] Memorandum in Support of Motion. (Cook, Stephen)
	Request

90	Filed: 5/25/2018, Entered: 5/25/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support by Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [60] MOTION to Dismiss / DEFENDANT JEFFREY WADA'S MOTION TO DISMISS INDICTMENT. . (Cook, Stephen)
	Request

	Filed: None, Entered: None	Order on Motion to appear pro hac vice
	ORDER granting [48] Motion to Appear Pro Hac Vice as to Thomas Whittle (2). GRANTED. (Signed by Judge J. Paul Oetken on 3/26/2018) (Oetken, J.)


88	Filed: 5/25/2018, Entered: 5/25/2018	Reply to Response to motion
	REPLY TO RESPONSE to Motion by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [53] MOTION to Dismiss Counts 1, 2, 4 and 5 of the Indictment.. (Bloch, Norman)
	Request

48	Filed: 3/20/2018, Entered: 3/20/2018, Terminated: 3/26/2018	Motion to Appear Pro Hac Vice
	MOTION for Sean P. Tonolli to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Whittle. (Attachments: # (1) Affidavit of Sean P. Tonolli, # (2) Certificate of Good Standing (DC), # (3) Certificate of Good Standing (VA), # (4) Text of Proposed Order)(Tonolli, Sean)
	Request

87	Filed: 5/25/2018, Entered: 5/25/2018	Affirmation in Support of Motion
	AFFIRMATION of Norman A. Bloch in Support by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [85] MOTION for Bill of Particulars .. (Attachments: # (1) Exhibit A, # (2) Exhibit B)(Bloch, Norman)
	Request

	Filed: None, Entered: None	Notice Regarding Pro Hac Vice Motion
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [48] MOTION for Sean P. Tonolli to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)


86	Filed: 5/25/2018, Entered: 5/25/2018	memorandum in support of motion
	MEMORANDUM in Support by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [85] MOTION for Bill of Particulars .. (Bloch, Norman)
	Request

47	Filed: 3/15/2018, Entered: 3/15/2018, Terminated: 3/15/2018	Motion to Appear Pro Hac Vice
	FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Sean P. Tonolli to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14814763. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Whittle. (Attachments: # (1) Affidavit of Sean P. Tonolli, # (2) Certificate of Good Standing (DC), # (3) Certificate of Good Standing (VA), # (4) Text of Proposed Order)(Tonolli, Sean) Modified on 3/15/2018 (wb).
	Request

85	Filed: 5/25/2018, Entered: 5/25/2018, Terminated: 8/17/2018	Motion for Bill of Particulars
	MOTION for Bill of Particulars . Document filed by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Bloch, Norman)
	Request

	Filed: None, Entered: None	Pretrial Conference
	Minute Entry for proceedings held before Judge J. Paul Oetken:Pretrial Conference as to David Middendorf, Thomas Whittle, Cynthia Holder held on 3/15/2018, as to David Middendorf, Thomas Whittle, Cynthia Holder( Motions due by 4/13/2018., Replies due by 5/25/2018., Responses due by 5/12/2018, Curcio Hearing set for 4/3/2018 at 02:00 PM before Judge J. Paul Oetken., Oral Argument set for 5/31/2018 at 03:00 PM before Judge J. Paul Oetken.) Defendant David Middendorf present with attorneys Gregory Bruch, Nelson Boxer & Amy Lester; Defendant Thomas Whittle present with attorney Bradley Bondi and Nola Heller; Defendant David Britt not present with attorneys Robert Stern, Melinda Haag & Matthew Shahabian; Defendant Cynthia Holder present with attorneys Norman Bloch and Emily Mathieu; Defendant Jeffrey Wada not present with attorney Stephen Cook and Justin Weddle. AUSA Amanda Kramer and Rebecca Mermelstein present. Court Reporter Jerry Harrison present. PTC held: Curcio Hearings scheduled for 4/3/2018 at 2:00 p.m. Motions to dismiss to be filed by4/13/2018, response by 5/12/2018, reply by 5/25/2018. Oral argument scheduled for 5/31/2018 at 3:00p.m. Pretrial motions to be filed by 5/25/2018. Time is excluded to 10/15/2018. Bail as to all defendants continued. (See transcript for complete details.) (jw)


84	Filed: 5/25/2018, Entered: 5/25/2018	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars .. (Boxer, Nelson)
	Request

	Filed: None, Entered: None	Order on Motion to appear pro hac vice
	ORDER granting [46] Motion to Appear Pro Hac Vice as to Jeffrey Wada (5) GRANTED.. (Signed by Judge J. Paul Oetken on 3/15/2018) (Oetken, J.)


82	Filed: 5/24/2018, Entered: 5/24/2018	Reply Memorandum of Law in Support of Motion
	JOINT REPLY MEMORANDUM OF LAW in Support by David Britt as to David Middendorf, Thomas Whittle, David Britt re: [56] JOINT MOTION to Dismiss the Indictment. . (Stern, Robert)
	Request

	Filed: None, Entered: None	Order on Motion to appear pro hac vice
	ORDER granting [37] Motion to Appear Pro Hac Vice as to David Middendorf (1) GRANTED. (Signed by Judge J. Paul Oetken on 3/15/2018) (Oetken, J.)


81	Filed: 5/24/2018, Entered: 5/24/2018	Declaration in Support of Motion
	DECLARATION of Alexandra R. Clark in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars .. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E)(Boxer, Nelson)
	Request

	Filed: None, Entered: None	Notice Regarding Deficient Motion to Appear Pro Hac Vice
	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada to RE-FILE Document No. [47] MOTION for Sean P. Tonolli to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14814763. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Virginia;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)


80	Filed: 5/24/2018, Entered: 5/24/2018	memorandum in support of motion
	FILING ERROR - DEFICIENT DOCKET ENTRY (SEE [84] Memorandum) - MEMORANDUM in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [79] MOTION for Release of Brady Materials . MOTION for Bill of Particulars .. (Boxer, Nelson) Modified on 5/29/2018 (db).
	Request

46	Filed: 3/13/2018, Entered: 3/13/2018, Terminated: 3/15/2018	Motion to Appear Pro Hac Vice
	MOTION for Stephen Robert Cook to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jeffrey Wada. (Attachments: # (1) Declaration of Stephen Cook, # (2) Certificate of Good Standing (CA), # (3) Certificate of Good Standing (DC), # (4) Text of Proposed Order)(Cook, Stephen)
	Request

79	Filed: 5/24/2018, Entered: 5/24/2018, Terminated: 8/17/2018	Motion for Release of Brady Materials
	MOTION for Release of Brady Materials ., MOTION for Bill of Particulars . Document filed by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Boxer, Nelson)
	Request

	Filed: None, Entered: None	Notice Regarding Pro Hac Vice Motion
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [46] MOTION for Stephen Robert Cook to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)


78	Filed: 5/24/2018, Entered: 5/24/2018	Reply Memorandum of Law in Support of Motion
	REPLY MEMORANDUM OF LAW in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: [56] JOINT MOTION to Dismiss the Indictment. . (Boxer, Nelson)
	Request

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45	Filed: 3/12/2018, Entered: 3/12/2018	Notice of change of address
	NOTICE of Change of Address as to Thomas Whittle. New Address: Cahill Gordon & Reindel LLP, 80 Pine Street, New York, NY, USA 10005, 212-701-3000. (Heller, Nola)
	Request

77	Filed: 5/24/2018, Entered: 5/24/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada addressed to Judge J. Paul Oetken from Melinda Haag dated 5/18/18 re: We write seeking clarification of the Court's order from the bench on March 15, 2018, directing that Pretrial motions be filed by May 25, 2018. We request that the Court clarify that the May 25, 2018 deadline does not apply....ENDORSEMENT: The Court hereby clarifies that defense counsel's understanding is correct. (Signed by Judge J. Paul Oetken on 5/23/18)(jw)
	Request

44	Filed: 3/8/2018, Entered: 3/8/2018	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken from Melinda Haag dated 3/7/2018 re: Modification of Release. ENDORSEMENT: Granted Nunc Pro Tunc. (Signed by Judge J. Paul Oetken on 3/8/2018)(ft)
	Request

74	Filed: 5/11/2018, Entered: 5/11/2018	MEMORANDUM in Opposition to Motion
	MEMORANDUM in Opposition by USA as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [60] MOTION to Dismiss / DEFENDANT JEFFREY WADA'S MOTION TO DISMISS INDICTMENT., [53] MOTION to Dismiss Counts 1, 2, 4 and 5 of the Indictment., [56] JOINT MOTION to Dismiss the Indictment.. (Greenwood, Jessica)
	Request

	Filed: None, Entered: None	Notice Regarding Deficient Motion to Appear Pro Hac Vice
	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice as to Jeffrey Wada to RE-FILE Document No. [43] MOTION for Stephen R. Cook to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14780238. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)


67	Filed: 4/27/2018, Entered: 4/27/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf. Notice is hereby given that an official transcript of a Conference proceeding held on 4/3/18 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.... (McGuirk, Kelly)
	Request

43	Filed: 3/6/2018, Entered: 3/6/2018, Terminated: 3/8/2018	Motion to Appear Pro Hac Vice
	FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Stephen R. Cook to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14780238. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jeffrey Wada. (Attachments: # (1) Declaration of Stephen Cook, # (2) Exhibit Certificate of Good Standing (CA), # (3) Exhibit Certificate of Good Standing (DC), # (4) Text of Proposed Order Proposed Order for Admisssion Pro Hac Vice)(Cook, Stephen) Modified on 3/8/2018 (wb).
	Request

66	Filed: 4/27/2018, Entered: 4/27/2018	transcript
	TRANSCRIPT of Proceedings as to David Middendorf re: Conference held on 4/3/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Kelly Surina, (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 5/18/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/26/2018. (McGuirk, Kelly)
	Request

41	Filed: 3/6/2018, Entered: 3/6/2018	Order on Motion to withdraw as attorney
	MEMO ENDORSEMENT as to Thomas Whittle (2) granting [39] MOTION for James H. Bicks to Withdraw as Attorney. ENDORSEMENT: Granted. So Ordered. (James Herron Bicks withdrawn from case) (Signed by Judge J. Paul Oetken on 3/6/2018) (lnl)
	Request

65	Filed: 4/20/2018, Entered: 4/20/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester dated 4/20/18 re: To request permission for the following travel arrangements. Travel by car between Atlanta and Athens, Georgia, from May 4 through May 20, in order for Mr. Middendorf to attend his daughter's college graduation and assist her in moving from her campus residence; andTravel by car between Atlanta and Cincinnati, Ohio, from May 11 through May 13, for a family wedding...ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge J. Paul Oetken on 4/20/18)(jw)
	Request

40	Filed: 3/5/2018, Entered: 3/5/2018, Terminated: 3/6/2018	Motion to withdraw as attorney
	MOTION for James I. Glasser to Withdraw as Attorney for Thomas Whittle. Document filed by Thomas Whittle. (Glasser, James)
	Request

64	Filed: 4/16/2018, Entered: 4/17/2018	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


63	Filed: 4/16/2018, Entered: 4/17/2018	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


62	Filed: 4/16/2018, Entered: 4/17/2018	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


61	Filed: 4/16/2018, Entered: 4/17/2018	Sealed document
	SEALED DOCUMENT placed in vault. (rz)


	Filed: None, Entered: None	Pro Hac Vice Fee Payment
	Pro Hac Vice Fee Payment: for [37] MOTION for Khiran Sidhu to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00, receipt number 0208-14694397. (Sidhu, Khiran)


60	Filed: 4/13/2018, Entered: 4/13/2018, Terminated: 7/17/2018	Motion to Dismiss
	MOTION to Dismiss / DEFENDANT JEFFREY WADA'S MOTION TO DISMISS INDICTMENT. Document filed by Jeffrey Wada as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. (Cook, Stephen)
	Request

	Filed: None, Entered: None	Notice Regarding Deficient Motion to Appear Pro Hac Vice
	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re: Document No. [37] MOTION for Khiran Sidhu to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): the filing fee was not paid;.. Pay the filing fee using the event Pro Hac Vice Fee Payment found under the event list Other Documents. (wb)


59	Filed: 4/13/2018, Entered: 4/13/2018	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [56] JOINT MOTION to Dismiss the Indictment.. (Boxer, Nelson)
	Request

58	Filed: 4/13/2018, Entered: 4/13/2018	memorandum in support of motion
	MEMORANDUM in Support by Thomas Whittle, David Britt as to David Middendorf, Thomas Whittle, David Britt re [56] JOINT MOTION to Dismiss the Indictment.. [Supplemental] (Stern, Robert)
	Request

57	Filed: 4/13/2018, Entered: 4/13/2018	memorandum in support of motion
	MEMORANDUM in Support by David Middendorf, Thomas Whittle, David Britt re [56] JOINT MOTION to Dismiss the Indictment.. (Stern, Robert)
	Request

34	Filed: 2/12/2018, Entered: 2/12/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Nola Breglio Heller appearing for Thomas Whittle. Appearance Type: Retained. (Heller, Nola)
	Request

56	Filed: 4/13/2018, Entered: 4/13/2018, Terminated: 7/17/2018	Motion to Dismiss
	JOINT MOTION to Dismiss the Indictment. Document filed by David Middendorf, Thomas Whittle, David Britt. Return Date set for 5/31/2018 at 03:00 PM. (Stern, Robert)
	Request

33	Filed: 2/12/2018, Entered: 2/12/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Bradley Joseph Bondi appearing for Thomas Whittle. Appearance Type: Retained. (Bondi, Bradley)
	Request

55	Filed: 4/13/2018, Entered: 4/13/2018	Affirmation in Support of Motion
	AFFIRMATION of Norman A. Bloch in Support by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [53] MOTION to Dismiss Counts 1, 2, 4 and 5 of the Indictment.. (Bloch, Norman)
	Request

54	Filed: 4/13/2018, Entered: 4/13/2018	memorandum in support of motion
	MEMORANDUM in Support by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada re [53] MOTION to Dismiss Counts 1, 2, 4 and 5 of the Indictment.. (Bloch, Norman)
	Request

29	Filed: 2/2/2018, Entered: 2/2/2018	Bond Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Bond Hearing as to Jeffrey Wada held on 2/2/2018. Bail continued as previously set in the Central District of California: $100.000 PBB secured by $10,000 Regular Pretrial Supervision: defendant to surrender passport and make no new passport applications. Travel restricted to California, NY and NJ. Maintain and seek employment to be approved by pretrial. (ft)
	Request

53	Filed: 4/13/2018, Entered: 4/13/2018, Terminated: 7/17/2018	Motion to Dismiss
	MOTION to Dismiss Counts 1, 2, 4 and 5 of the Indictment. Document filed by Cynthia Holder as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada. Return Date set for 5/31/2018 at 03:00 PM. (Bloch, Norman)
	Request

52	Filed: 4/3/2018, Entered: 4/6/2018	bond
	PRB Bond Entered as to David Middendorf in amount of $ 50,000.00 surety bond; Defendant to be supervised by the probation office in the NDGA; Regular PTS; Surrender of passport and no new applications; Travel limits include the NDGA and the SDNY for court appearances, and to california between January 25, 2018 and January 31, 2018; Deft is not to possess a firearm, destructive device or other weapon; No excessive use of alcohol; No unlawful use or possession of narcotics or controlled substances. Modified by Order of Judge Oetken as follows: It is hereby ORDERED that the defendant, David Middendorf, be subject to the following conditions while on pretrial release: that he execute a personal recognizance bond in the Southern District of NY in the amount of $400,000, to be co-signed within one week thereafter by his wife, Sheila Middendorf, in the Northern District of Georgia; that his travel is restricted to the Northern District of Georgia, the Southern District of NY, the District of Columbia, and all points in between for travel purposes only; that he surrender his passport and that he not make application for any additional travel documents; and that he is subject to regular supervision by the Pretrial Services Office. (jw)
	Request

25	Filed: 1/26/2018, Entered: 1/26/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Justin S. Weddle appearing for Jeffrey Wada. Appearance Type: Retained. (Weddle, Justin)
	Request

51	Filed: 4/2/2018, Entered: 4/2/2018	Order
	ORDER as to David Middendorf. IT IS HEREBY ORDERED that the defendant, DAVID MIDDENDORF, be subject to the following conditions while on pretrial release: that he execute a personal recognizance bond in the Southern District of New York in the amount of $400,000, to be co-signed within one week thereafter by his wife, Sheila Middendorf, in the Northern District of Georgia; that his travel is restricted to the Northern District of Georgia, the Southern District of New York, the District of Columbia, and all points in between for travel purposes only; that he surrender his passport and that he not make application for any additional travel documents; and that he is subject to regular supervision by the Pretrial Services office. IT IS FURTHER ORDERED that the Cashier for the Southern District of New York release to the defendant, DAVID MIDDENDORF, upon his signing of a $400,000 personal recognizance bond, the cash surety previously posted in the amount of $50,000, in the form of a check to be mailed to DAVID MIDDENDORF at his home address. (Signed by Judge J. Paul Oetken on 4/2/18)(jw)
	Request

24	Filed: 1/26/2018, Entered: 1/26/2018	Endorsed Letter
	ENDORSED LETTER as to David Britt addressed to Judge J. Paul Oetken from Melinda Haag, Robert Stern, dated 1/25/2018; re: Counsel writes with the consent of the government and Pretrial Services to request a modification to the terms of Mr. Britt's pretrial release. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 1/26/2018) (lnl)
	Request

50	Filed: 3/26/2018, Entered: 3/26/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf. Notice is hereby given that an official transcript of a Conference proceeding held on 3/15/18 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.... (McGuirk, Kelly)
	Request

49	Filed: 3/26/2018, Entered: 3/26/2018	transcript
	TRANSCRIPT of Proceedings as to David Middendorf re: Conference held on 3/15/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Jerry Harrison, (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 4/16/2018. Redacted Transcript Deadline set for 4/26/2018. Release of Transcript Restriction set for 6/25/2018. (McGuirk, Kelly)
	Request

30	Filed: 1/25/2018, Entered: 2/2/2018	Bond Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Bond Hearing as to Cynthia Holder held on 1/25/2018. Bail continued as previously set in the Southern District of Texas $100,000 PRB secured by $5,000 Defendant is to maintain or seek employment; surrender passport; make no new passport applications; travel to SD to Texas, NY and NJ. No contact with potential witnesses. Defendant is not to possess a firearm; destructive device or weapon, no excessive use of alcohol, no unlawful use or possession of narcotics or controlled substances. Defendant is not to work in the are of instant offence. Regular PTS. (ft)
	Request

	Filed: None, Entered: None	Pretrial Conference
	Minute Entry for proceedings held before Judge J. Paul Oetken: Pretrial Conference as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada held on 1/25/2018 ( Discovery due by 2/22/2018., Motions due by 3/30/2018., Pretrial Conference set for 3/15/2018 at 02:30 PM before Judge J. Paul Oetken) Defendant David Middendorf present with attorneys Gregory Bruch, Nelson Boxer & Amy Lester;Defendant Thomas Whittle present with attorney James Bicks; Defendant David Britt present with attorneys Robert Stern, Melinda Haag & Matthew Shahabian; Defendant Cynthia Holder present with attorneys Norman Bloch and Emily Mathieu;Defendant Jeffrey Wada present with attorney Stephen Cook. AUSA Amanda Kramer, Jessica Greenwood and Rebecca Mermelstein present. Court Reporter Alena Lynch present. (jw)


	Filed: None, Entered: None	Plea Entered
	Minute Entry for proceedings held before Judge J. Paul Oetken: Plea entered by David Middendorf (1) Count 1,2,3-5 and Cynthia Holder (4) Count 1,2,4-5 and Jeffrey Wada (5) Count 1,2,4-5 Not Guilty. (jw)


	Filed: None, Entered: None	arraignment
	Minute Entry for proceedings held before Judge J. Paul Oetken: Arraignment as to David Middendorf (1) Count 1,2,3-5 and Cynthia Holder (4) Count 1,2,4-5 and Jeffrey Wada (5) Count 1,2,4-5 held on 1/25/2018. Defendant David Middendorf arraigned and enters a plea of NOT GUILTY; Defendant Cynthia Holder arraigned and enters a plea of NOT GUILTY; Defendant Jeffrey Wada arraigned and enters a plea of NOT GUILTY. Document discovery to be completed by 2/22/2018. Motions to dismiss the indictment to be filed by 3/30/2018. Trial set for 10/15/2018. Next PTC scheduled for 3/15/2018 at 2:30 p.m. Time is excluded to 3/15/2018. Bail as to all defendants continued; bail as to defendants Whittle and Britt extended to allow travel in between previously permitted states. (See transcript for complete details.) (jw) Modified on 4/4/2018 (jw).


	Filed: None, Entered: None	Order on Motion to appear pro hac vice
	ORDER granting [23] Motion to Appear Pro Hac Vice as to David Britt (3) GRANTED. (Signed by Judge J. Paul Oetken on 1/25/2018) (Oetken, J.)


	Filed: None, Entered: None	Notice Regarding Pro Hac Vice Motion
	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [23] MOTION for Melinda Haag to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14616629. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)


23	Filed: 1/24/2018, Entered: 1/24/2018, Terminated: 1/25/2018	Motion to Appear Pro Hac Vice
	MOTION for Melinda Haag to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14616629. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by David Britt. (Attachments: # (1) Delaration of Melinda Haag in Support of Motion for Admission Pro Hac Vice, # (2) Certificate of Good Standing, # (3) Text of Proposed Order)(Haag, Melinda)
	Request

42	Filed: 3/6/2018, Entered: 3/6/2018	Order on Motion to withdraw as attorney
	MEMO ENDORSEMENT as to Thomas Whittle (2) granting [40] MOTION for James I. Glasser to Withdraw as Attorney for Thomas Whittle. ENDORSEMENT: Granted. So Ordered. (James Glasser withdrawn from case) (Signed by Ju dge J. Paul Oetken on 3/6/2018) (lnl)
	Request

39	Filed: 3/5/2018, Entered: 3/5/2018, Terminated: 3/6/2018	Motion to withdraw as attorney
	MOTION for James H. Bicks to Withdraw as Attorney. Document filed by Thomas Whittle as to Thomas Whittle (Bicks, James)
	Request

21	Filed: 1/23/2018, Entered: 1/24/2018	Rule 5 (c)(3) Documents Received
	Rule 5(c)(3) Documents Received as to Cynthia Holder from the United States District Court - Southern District of Texas. (jm)
	Request

38	Filed: 2/16/2018, Entered: 2/16/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, dated 2/16/2018, re: Counsel writes to request permission for her client to travel to and from Clermson, South Carolina, from March 2 through 4, 2018. The Government and Pretrial Services Office Lias Chan have no objection to this application. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 2/16/2018) (lnl)
	Request

37	Filed: 2/13/2018, Entered: 2/13/2018, Terminated: 3/15/2018	Motion to Appear Pro Hac Vice
	MOTION for Khiran Sidhu to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by David Middendorf. (Attachments: # (1) Affidavit of K. Sidhu, # (2) Exhibit Certificate of Good Standing (DC), # (3) Exhibit Certificate of Good Standing (MD), # (4) Text of Proposed Order)(Sidhu, Khiran)
	Request

17	Filed: 1/23/2018, Entered: 1/23/2018	Notice of change of address
	NOTICE of Change of Address as to David Britt. New Address: Orrick, Herrington & Sutcliffe LLP, 1152 15th Street, N.W., Washington, D.C., United States 20005, (202) 339-8542. (Stern, Robert)
	Request

36	Filed: 2/12/2018, Entered: 2/12/2018	Notice of Filing Transcript
	NOTICE OF FILING OF OFFICIAL TRANSCRIPT as to David Middendorf. Notice is hereby given that an official transcript of a Conference proceeding held on 1/25/18 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.... (McGuirk, Kelly)
	Request

14	Filed: 1/23/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Emily Joy Mathieu appearing for Cynthia Holder. Appearance Type: Retained. (Mathieu, Emily)
	Request

35	Filed: 2/12/2018, Entered: 2/12/2018	transcript
	TRANSCRIPT of Proceedings as to David Middendorf re: Conference held on 1/25/18 before Judge J. Paul Oetken. Court Reporter/Transcriber: Alena Lynch, (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 3/5/2018. Redacted Transcript Deadline set for 3/15/2018. Release of Transcript Restriction set for 5/14/2018. (McGuirk, Kelly)
	Request

13	Filed: 1/23/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Norman Arthur Bloch appearing for Cynthia Holder. Appearance Type: Retained. (Bloch, Norman)
	Request

32	Filed: 2/7/2018, Entered: 2/7/2018	Endorsed Letter
	ENDORSED LETTER as to David Middendorf addressed to Judge J. Paul Oetken from Amy Lester, dated 2/7/2018, re: Counsel writes to request two modifications to the conditions of Mr. Middendorf's pre-trial release, as set forth in this letter. ENDORSEMENT: Granted. So Ordered. (Signed by Judge J. Paul Oetken on 2/7/2018) (lnl)
	Request

26	Filed: 1/22/2018, Entered: 1/31/2018	bond
	PRB Bond Entered as to David Britt in amount of $200,000.00. $200,000 PERSONAL RECOGNIZANCE BOND TO BE COSIGNED BY DEFT'S WIFE; TRAVEL LIMITED TO SDNY/EDNY; DISTRICT OF NEW JERSEY; DISTRICT OF CONNECTICUT & DISTRICT OF NORTH CAROLINA; SURRENDER TRAVEL DOCUMENTS (&NO NEW APPLICATIONS); REGULAR PRETRIAL SUPERVISION; DEFT TO SUBMIT TO URINALYSIS, IF POSITIVE, ADD CONDITION OF DRUG TESTING/TREATMENT; DEFT TO BE RELEASED ON OWN SIGNATURE; REMAINING CONDITIONS TO BE MET BY 1/29/18. (ft)
	Request

28	Filed: 2/1/2018, Entered: 2/1/2018	protective order
	PROTECTIVE ORDER as to David Middendorf, Thomas Whittle, David Britt, Cynthia Holder, Jeffrey Wada...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge J. Paul Oetken on 2/1/2018)(ft)
	Request

16	Filed: 1/22/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Matthew Raffi Shahabian appearing for David Britt. (jbo)
	Request

27	Filed: 1/31/2018, Entered: 1/31/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Alexandra Rebecca Clark appearing for David Middendorf. Appearance Type: Retained. (Clark, Alexandra)
	Request

15	Filed: 1/22/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Robert M. Stern appearing for David Britt. (jbo)
	Request

31	Filed: 1/25/2018, Entered: 2/2/2018	Bond Hearing
	Minute Entry for proceedings held before Judge J. Paul Oetken: Bond Hearing as to David Middendorf held on 1/25/2018. Bail continued as previously set in the Northern District of Georgia; $50,000 surety bond, defendant to be supervised by Probation Office in the ND of Georgia. Regular PTS. Surrender passport and no new applications. Travel limited to the N.D. of Georgia; the S.D. of New York for court appearances and to California between January 25, 2018 and January 31, 2018. Defendant is not to possess a firearm, destructive device or other weapon. No excessive use of alcohol. No unlawful use or possession of narcotics or controlled substances. (ft)
	Request

12	Filed: 1/22/2018, Entered: 1/22/2018	bond
	PRB Bond Entered as to Thomas Whittle in amount of $ 200,000, $200,000 PRB cosigned by wife; travel restricted to SDNY/EDMY/DNJ/DCT & Florida; surrender travel documents & no new applications; regular pretrial supervision;; deft. to submit to urine analysis & if positive add condition of drug testing/treatment; release on own signature with remaining conditions to be met by 1/29/18. (jm) (Main Document 12 replaced on 2/6/2018) (dif).
	Request

11	Filed: 1/22/2018, Entered: 1/22/2018	initial appearance
	Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck:Initial Appearance as to David Britt held on 1/22/2018. Deft. present with attys. AUSA Kramer is also present. Deft. is to be released on a $200,000 PRB cosigned by wife; travel limited to SDNY/EDNY/DFCT/DNJ & DNC; surrender travel documents & no new applications; regular PSA supervision; deft. to submit to urine analysis & if positive add condition of drug testing/treatment; release on own signature with remaining conditions to be met by 1/29/18. (jm)
	Request

10	Filed: 1/22/2018, Entered: 1/22/2018	initial appearance
	Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck:Initial Appearance as to Thomas Whittle held on 1/22/2018. Defendant is present with attorneys Glasser and Bicks; AUSA Kramer is also present. Defendant is to be released on a $200,000 PRB cosigned by wife; travel restricted to SDNY/EDMY/DNJ/DCT & Florida; surrender travel documents & no new applications; regular pretrial supervision;; deft. to submit to urine analysis & if positive add condition of drug testing/treatment; release on own signature with remaining conditions to be met by 1/29/18. (jm)
	Request

9	Filed: 1/22/2018, Entered: 1/22/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: James Herron Bicks appearing for Thomas Whittle. (jm)
	Request

8	Filed: 1/22/2018, Entered: 1/22/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: James Glasser appearing for Thomas Whittle. (jm)
	Request

22	Filed: 1/24/2018, Entered: 1/24/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Gregory Scott Bruch appearing for David Middendorf. Appearance Type: Retained. (Bruch, Gregory)
	Request

20	Filed: 1/23/2018, Entered: 1/24/2018	Rule 5 (c)(3) Documents Received
	Rule 5(c)(3) Documents Received as to David Middendorf from the United States District Court - Northern District of Georgia. (jm)
	Request

	Filed: None, Entered: None	Arrest - Other District
	Arrest of Cynthia Holder in the United States District Court - Southern District of Texas. (jm)


19	Filed: 1/23/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Nelson Andrew Boxer appearing for David Middendorf. Appearance Type: Retained. (Boxer, Nelson)
	Request

	Filed: None, Entered: None	Arrest - Other District
	Arrest of David Middendorf in the United States District Court - Northern District of Georgia. (jm)


18	Filed: 1/23/2018, Entered: 1/23/2018	notice of attorney appearance - defendant
	NOTICE OF ATTORNEY APPEARANCE: Amy Ruth Lester appearing for David Middendorf. Appearance Type: Retained. (Lester, Amy)
	Request

	Filed: None, Entered: None	arraignment
	Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Deft. present with counsel; AUSA Kramer is also present. Arraignment as to David Britt (3) Count 1,2,3-5 David Britt (3) Count 1,2,3-5 held on 1/22/2018., Plea entered by David Britt (3) Count 1,2,3-5 David Britt (3) Count 1,2,3-5 Not Guilty., As to David Britt( Status Conference set for 1/25/2018 at 11:00 AM before Judge J. Paul Oetken.) (jm)


2	Filed: 1/22/2018, Entered: 1/22/2018	Order to Unseal Indictment
	Order to Unseal Indictment as to Sealed Defendant 1, Sealed Defendant 2, Sealed Defendant 3, Sealed Defendant 4, Sealed Defendant 5. (Signed by Magistrate Judge Andrew J. Peck on 1/22/18)(jm)
	Request

	Filed: None, Entered: None	arraignment
	Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Deft. is present with attys Glasser and Bicks. AUSA Kramer is also present. Arraignment as to Thomas Whittle (2) Count 1,2,3-5Thomas Whittle (2) Count 1,2,3-5 held on 1/22/2018., Plea entered by Thomas Whittle (2) Count 1,2,3-5Thomas Whittle (2) Count 1,2,3-5 Not Guilty., As to Thomas Whittle( Status Conference set for 1/25/2018 at 11:00 PM before Judge J. Paul Oetken.) (jm)


	Filed: None, Entered: None	arrest
	Arrest/Surrender of Thomas Whittle, David Britt. (jm)


	Filed: None, Entered: None	Add and Terminate Attorneys
	Attorney update in case as to David Middendorf, Thomas Whittle, David Brit, Cynthia Holder, Jeffrey Wada. Attorney Amanda Kay Kramer,Rebecca Gabrielle Mermelstein,Jessica Greenwood for USA added. (jm)


	Filed: None, Entered: None	Case Assigned/Reassigned
	Case as to David Middendorf, Thomas Whittle, David Brit, Cynthia Holder, Jeffrey Wada ASSIGNED to Judge Judge J. Paul Oetken. Judge Judge Unassigned no longer assigned to the case. (jm)


	Filed: None, Entered: None	Case Designated ECF.
	Case Designated ECF as to David Middendorf, Thomas Whittle, David Brit, Cynthia Holder, Jeffrey Wada. (jm)


	Filed: None, Entered: None	Indictment Unsealed
	INDICTMENT UNSEALED as to David Middendorf, Thomas Whittle, David Brit, Cynthia Holder, Jeffrey Wada. (jm)


1	Filed: 1/17/2018, Entered: 1/22/2018	Indictment (Sealed)
	SEALED INDICTMENT as to Sealed Defendant 1 (1) count(s) 1, 2, 3-5, Sealed Defendant 2 (2) count(s) 1, 2, 3-5, Sealed Defendant 3 (3) count(s) 1, 2, 3-5, Sealed Defendant 4 (4) count(s) 1, 2, 4-5, Sealed Defendant 5 (5) count(s) 1, 2, 4-5. (jm)

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