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 107 |
Filed: 5/20/2025, Entered: None |
Withdraw as Attorney |
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 Request |
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| 104 |
Filed: 9/19/2023, Entered: None |
Memorandum & Opinion |
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Request |
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 103 |
Filed: 5/1/2023, Entered: 5/1/2023 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated 05/01/2023 re: SEC Response to April 28, 2023 Letter of Defendant Bill Hwang. Document filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit Exhibit A, # (2) Exhibit Exhibit B).(Kaufman, Jack)
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| 102 |
Filed: 4/28/2023, Entered: 4/28/2023 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Lawrence S. Lustberg, Esq. dated April 28, 2023 re: [DE 99] Plaintiff's March 24, 2023 letter. Document filed by Sung Kook (Bill) Hwang. (Attachments: # (1) Exhibit Tab A, # (2) Exhibit Tab B, # (3) Exhibit Tab C, # (4) Errata Tab D, # (5) Exhibit Tab E).(Lustberg, Lawrence)
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| 101 |
Filed: 4/10/2023, Entered: 4/10/2023 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 4/10/2023 re: parties' request for guidance from the Court that will help them plan their arguments in ways that will be most useful and efficient for the Court. Document filed by Archegos Capital Management LP..(Hirsch, Eric)
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| 100 |
Filed: 4/6/2023, Entered: 4/6/2023 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Christina LaBruno on behalf of Sung Kook (Bill) Hwang..(LaBruno, Christina)
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Request |
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| 99 |
Filed: 3/24/2023, Entered: 3/24/2023 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated 03/24/2023 re: March 23, 2023 Order in United States v. Hwang, 22-cr-240 (AKH) (S.D.N.Y.). Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 98 |
Filed: 2/23/2023, Entered: 2/23/2023 |
Order on Motion to Dismiss |
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ORDER denying as moot [39] Motion to Dismiss: This motion is denied as moot in light of the filing of the Amended Complaint at ECF No. 47. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 97 |
Filed: 2/23/2023, Entered: 2/23/2023 |
Order on Motion to Dismiss |
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ORDER denying as moot [37] Motion to Dismiss: This motion is denied as moot in light of the filing of the Amended Complaint at ECF No. 47. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 96 |
Filed: 2/23/2023, Entered: 2/23/2023 |
Order on Motion to Dismiss |
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ORDER denying as moot [33] Motion to Dismiss: This motion is denied as moot in light of the filing of the Amended Complaint at ECF No. 47. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 95 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Order on Motion for Oral Argument |
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ORDER granting [91] Letter Motion for Oral Argument: Granted. Oral argument on the motions to dismiss the amended complaint in this matter (22-cv-03402) and the related case (22-cv-03401) is scheduled for Thursday, May 4, 2023 at 11:00 A.M in Courtroom 706 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY 10007. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 94 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Mary E. Mulligan dated February 1, 2023 re: joining in request for oral argument. Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 93 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Notice (other) |
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NOTICE of Change of Firm Name. Document filed by Patrick Halligan..(Haggerty, Timothy)
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| 92 |
Filed: 1/31/2023, Entered: 1/31/2023 |
Order on Motion for Leave to File Excess Pages |
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ORDER denying as moot [83] Letter Motion for Leave to File Excess Pages: Denied as moot in light of ECF Nos. 84 and 85. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 91 |
Filed: 1/25/2023, Entered: 1/25/2023, Terminated: 2/1/2023 |
Motion for Oral Argument |
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LETTER MOTION for Oral Argument addressed to Judge J. Paul Oetken from Lawrence S. Lustberg dated January 25, 2023. Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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| 90 |
Filed: 1/23/2023, Entered: 1/23/2023 |
Reply Memorandum of Law in Support of Motion |
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REPLY MEMORANDUM OF LAW in Support re: [59] MOTION to Dismiss the Amended Complaint. . Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 89 |
Filed: 1/23/2023, Entered: 1/23/2023 |
Reply Memorandum of Law in Support of Motion |
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REPLY MEMORANDUM OF LAW in Support re: [54] MOTION to Dismiss the Amended Complaint. (attaching Gorman Order as Exhibit A). Document filed by Archegos Capital Management LP. (Attachments: # (1) Exhibit A - Gorman).(Lawrence, Carmen)
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Request |
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| 88 |
Filed: 1/23/2023, Entered: 1/23/2023 |
Reply Memorandum of Law in Support of Motion |
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REPLY MEMORANDUM OF LAW in Support re: [54] MOTION to Dismiss the Amended Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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Request |
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| 87 |
Filed: 1/23/2023, Entered: 1/23/2023 |
Reply Memorandum of Law in Support of Motion |
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REPLY MEMORANDUM OF LAW in Support re: [57] MOTION to Dismiss the Amended Complaint. . Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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Request |
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| 86 |
Filed: 1/19/2023, Entered: 1/19/2023 |
Memo Endorsement |
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MEMO ENDORSEMENT on re: [51] Notice (Other) filed by Patrick Halligan. ENDORSEMENT: So ordered. The Clerk of Court is directed to terminate Ms. Yang's appearance in this matter. Attorney Dielai Yang terminated. (Signed by Judge J. Paul Oetken on 1/19/2023) (ate)
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Request |
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| 85 |
Filed: 1/19/2023, Entered: 1/19/2023 |
Order on Motion for Leave to File Excess Pages |
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ORDER granting [84] Letter Motion for Leave to File Excess Pages: GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 84 |
Filed: 1/18/2023, Entered: 1/18/2023, Terminated: 1/19/2023 |
Motion for Leave to File Excess Pages |
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AMENDED LETTER MOTION for Leave to File Excess Pages amending earlier filed letter (ECF Doc. 83)and specifically requesting ACM be permitted to file up to a 30-page reply memorandum; (b) Mr. Hwang be permitted to file up to a 25-page reply memorandum; and (c) Mr. Halligan be permitted to file up to a 22-page reply memorandum addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 1/18/2023. Document filed by Archegos Capital Management LP, Patrick Halligan, Sung Kook (Bill) Hwang..(Hirsch, Eric)
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Request |
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| 83 |
Filed: 1/18/2023, Entered: 1/18/2023, Terminated: 1/31/2023 |
Motion for Leave to File Excess Pages |
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LETTER MOTION for Leave to File Excess Pages regarding reply briefs in connection with the pending motions to dismiss without objection by the SEC addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 1/18/2023. Document filed by Archegos Capital Management LP, Patrick Halligan, Sung Kook (Bill) Hwang..(Hirsch, Eric)
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Request |
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| 82 |
Filed: 12/23/2022, Entered: 12/23/2022 |
Memorandum of Law in Opposition to Motion |
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MEMORANDUM OF LAW in Opposition re: [54] MOTION to Dismiss the Amended Complaint., [59] MOTION to Dismiss the Amended Complaint., [57] MOTION to Dismiss the Amended Complaint. . Document filed by Securities and Exchange Commission..(Quinn, Jessica)
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| 81 |
Filed: 12/22/2022, Entered: 12/22/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Jacob David Zetlin-Jones on behalf of Securities and Exchange Commission..(Zetlin-Jones, Jacob)
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Request |
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| 80 |
Filed: 12/19/2022, Entered: 12/19/2022 |
Order on Motion for Leave to File Excess Pages |
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ORDER granting [79] Letter Motion for Leave to File Excess Pages: GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 79 |
Filed: 12/19/2022, Entered: 12/19/2022, Terminated: 12/19/2022 |
Motion for Leave to File Excess Pages |
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LETTER MOTION for Leave to File Excess Pages specifically requesting Plaintiff Securities and Exchange Commission be permitted to file a single memorandum of law, not to exceed 85 pages, in support of its opposition to the Motions to Dismiss the Amended Complaint filed by Defendants Archegos Capital Management, LP, Sung Kook (Bill) Hwang, and Patrick Halligan. addressed to Judge J. Paul Oetken from Jessica T. Quinn dated 12/19/2022. Document filed by Securities and Exchange Commission..(Quinn, Jessica)
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Request |
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| 78 |
Filed: 12/13/2022, Entered: 12/13/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Jessica Taylor Quinn on behalf of Securities and Exchange Commission..(Quinn, Jessica)
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| 77 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Declaration in Opposition to Motion |
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DECLARATION of Timothy Haggerty in Opposition re: [70] MOTION to Intervene and to stay discovery.. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A -Email dated October 26, 2022).(Haggerty, Timothy)
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Request |
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| 76 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Memorandum of Law in Opposition to Motion |
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MEMORANDUM OF LAW in Opposition re: [70] MOTION to Intervene and to stay discovery. . Document filed by Patrick Halligan..(Haggerty, Timothy)
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Request |
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| 75 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Declaration in Opposition to Motion |
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DECLARATION of Thomas R. Valen in Opposition re: [70] MOTION to Intervene and to stay discovery.. Document filed by Sung Kook (Bill) Hwang. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4, # (5) Exhibit 5, # (6) Exhibit 6, # (7) Exhibit 7 (Part 1 of 2), # (8) Exhibit 7 (Part 2 of 2), # (9) Exhibit 8, # (10) Exhibit 9, # (11) Exhibit 10, # (12) Exhibit 11, # (13) Exhibit 12, # (14) Exhibit 13, # (15) Exhibit 14, # (16) Exhibit 15, # (17) Exhibit 16, # (18) Exhibit 17, # (19) Exhibit 18, # (20) Exhibit 19, # (21) Exhibit 20, # (22) Exhibit 21, # (23) Exhibit 22, # (24) Exhibit 23, # (25) Exhibit 24, # (26) Exhibit 25, # (27) Exhibit 26, # (28) Exhibit 27, # (29) Exhibit 28).(Valen, Thomas)
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Request |
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| 74 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Declaration in Opposition to Motion |
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DECLARATION of Eric A. Hirsch in Opposition re: [70] MOTION to Intervene and to stay discovery.. Document filed by Archegos Capital Management LP. (Attachments: # (1) Exhibit 1 - Copy of transcript of April 27, 2022 press conference held at the United States Attorneys Office for the Southern District of New York announcing the unsealing of charges against Bill Hwang and Patrick Halligan, # (2) Exhibit 2 - Copy of the Commodity Futures Trading Commissions April 27, 2022 Press Release (Release Number 8520-22) titled CFTC Charges Archegos Capital Management and Three Employees with Scheme to Defraud Resulting in Swap Counterparty Losses Over $10 Billion., # (3) Exhibit 3 - Copies of unpublished decisions, orders, and other filings cited in the Governments Memorandum of Law in Support of its Application to Intervene and For a Stay of Discovery, # (4) Exhibit 4 - Copies of cases that are cited in the Governments Memorandum of Law in Support of its Application to Intervene and For a Stay of Discovery as unpublished, but are available on Westlaw).(Hirsch, Eric)
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| 73 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Memorandum of Law in Opposition to Motion |
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MEMORANDUM OF LAW in Opposition re: [70] MOTION to Intervene and to stay discovery. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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Request |
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| 72 |
Filed: 11/15/2022, Entered: 11/15/2022 |
Memorandum of Law in Opposition to Motion |
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MEMORANDUM OF LAW in Opposition re: [70] MOTION to Intervene and to stay discovery. . Document filed by Sung Kook (Bill) Hwang..(Valen, Thomas)
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| 71 |
Filed: 11/4/2022, Entered: 11/4/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [70] MOTION to Intervene and to stay discovery. . Document filed by UNITED STATES OF AMERICA. (Attachments: # (1) Exhibit A, # (2) Exhibit B).(Sassoon, Danielle)
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Request |
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| 70 |
Filed: 11/4/2022, Entered: 11/4/2022 |
Motion to Intervene |
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MOTION to Intervene and to stay discovery. Document filed by UNITED STATES OF AMERICA..(Sassoon, Danielle)
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Request |
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Filed: None, Entered: None |
Notice to Attorney to Re-File Document - Event Type Error |
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***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Danielle Renee Sassoon to RE-FILE Document [68] MOTION to Stay discovery and to intervene. Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. ***REMINDER*** - MOTION to Stay WAS NOT FILED. Refile the [67] Notice AS THE MOTION to Stay, then file and link any supporting documents. (db)
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| 69 |
Filed: 11/3/2022, Entered: 11/3/2022 |
Order on Motion for Extension of Time to File Response / Reply |
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ORDER granting [65] Letter Motion for Extension of Time to File Response/Reply : GRANTED. THE SEC SHALL FILE ITS OPPOSITION TO DEFENDANTS' OCTOBER 25, 2022 MOTIONS TO DISMISS BY DECEMBER 23, 2022. DEFENDANTS SHALL FILE THEIR REPLIES BY JANUARY 23, 2022. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 68 |
Filed: 11/1/2022, Entered: 11/1/2022, Terminated: 11/1/2022 |
Motion To Stay |
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FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Stay discovery and to intervene. Document filed by UNITED STATES OF AMERICA. (Attachments: # (1) Exhibit A, # (2) Exhibit B).(Sassoon, Danielle) Modified on 11/4/2022 (db).
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Request |
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| 67 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Notice (other) |
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NOTICE of Motion. Document filed by UNITED STATES OF AMERICA..(Sassoon, Danielle)
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Request |
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| 66 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Danielle Renee Sassoon on behalf of UNITED STATES OF AMERICA..(Sassoon, Danielle)
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Request |
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| 65 |
Filed: 11/1/2022, Entered: 11/1/2022, Terminated: 11/3/2022 |
Motion for Extension of Time to File Response/Reply |
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JOINT LETTER MOTION for Extension of Time to File Response/Reply as to [59] MOTION to Dismiss the Amended Complaint., [57] MOTION to Dismiss the Amended Complaint., [54] MOTION to Dismiss the Amended Complaint. addressed to Judge J. Paul Oetken from Jack Kaufman, Lawrence Lustberg, Carmen Lawrence, and Mary Mulligan dated November 1, 2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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Request |
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Filed: None, Entered: None |
Order on Motion to withdraw as attorney |
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ORDER granting [63] Motion to Withdraw as Attorney: GRANTED. ATTORNEY RUSSELL WAYNE JOHNSTON, JR. TERMINATED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 64 |
Filed: 10/28/2022, Entered: 10/28/2022 |
Declaration in Support of Motion |
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DECLARATION of Russell W. Johnston in Support re: [63] MOTION for Russell W. Johnston to Withdraw as Attorney .. Document filed by Archegos Capital Management LP..(Johnston, Russell)
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Request |
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| 63 |
Filed: 10/28/2022, Entered: 10/28/2022, Terminated: 10/31/2022 |
Motion to withdraw as attorney |
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MOTION for Russell W. Johnston to Withdraw as Attorney . Document filed by Archegos Capital Management LP..(Johnston, Russell)
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Request |
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| 62 |
Filed: 10/26/2022, Entered: 10/26/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Rupita Chakraborty on behalf of Patrick Halligan..(Chakraborty, Rupita)
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Request |
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| 61 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [59] MOTION to Dismiss the Amended Complaint. . Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 60 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Declaration in Support of Motion |
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DECLARATION of Mary E. Mulligan in Support re: [59] MOTION to Dismiss the Amended Complaint.. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A: ISDA Agreement between Credit Suisse and Archegos, dated December 15, 2020, # (2) Exhibit B: Amendment Agreement to the PSA between Credit Suisse and Archegos, dated January 15, 2015, # (3) Exhibit C: PSA between Credit Suisse and Archegos, dated December 15, 2020, # (4) Exhibit D: stock price of ViacomCBS Inc., # (5) Exhibit E: stock price of iQIYI, Inc., # (6) Exhibit F: stock price of Baidu, Inc., # (7) Exhibit G: stock price of Tencent Music Entertainment Group, # (8) Exhibit H: stock price of GSX Techedu Inc., # (9) Exhibit I: stock price of Vishop Holdings Ltd., # (10) Exhibit J: stock price of Discovery Class A, # (11) Exhibit K: stock price of Discovery Class C, # (12) Exhibit L: transcript of plea proceeding of Scott Becker, dated April 21, 2022, # (13) Exhibit M: transcript of plea proceeding of William Tomita, dated April 22, 2022).(Mulligan, Mary)
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Request |
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| 59 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Motion to Dismiss |
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MOTION to Dismiss the Amended Complaint. Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 58 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [57] MOTION to Dismiss the Amended Complaint. . Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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Request |
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| 57 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Motion to Dismiss |
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MOTION to Dismiss the Amended Complaint. Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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Request |
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| 56 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Declaration in Support of Motion |
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DECLARATION of Eric A. Hirsch in Support re: [54] MOTION to Dismiss the Amended Complaint.. Document filed by Archegos Capital Management LP. (Attachments: # (1) Exhibit 1 - CopyJanuary 22, 2013 Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions by the Securities and Exchange Commission (SEC) in the action captioned, In the Matter of Sung Kook Hwang, Release No. 3535, File No. 3-15181, # (2) Exhibit 2 - Copy of excerpts of the Form ADV filed by Tiger Asia Management, LLC on or about May 24, 2012, # (3) Exhibit 3 - Copy of an investor alert titled, Investor Bulletin: Understanding Margin Accounts, publicly posted by the SECs Office of Investor Education and Advocacy, last modified on June 11, 2021, # (4) Exhibit 4 - Copies of excerpts from the Form ADVs filed by Hudson Bay Capital Management LP, Paloma Partners Management Company, and Samlyn Capital, LLC on March 30, 2022, March 31, 2022, and March 30, 2022, respectively, # (5) Exhibit 5 - Copy of the July 29, 2021 Credit Suisse Group Special Committee of the Board of Directors Report on Archegos Capital Management, attached as Ex. 99.2 to the Form 6-K publicly filed by Credit Suisse with the SEC on July 29, 2021, # (6) Exhibit 6 - Excerpts from the Brief of Amici Curiae filed by the International Swaps and Derivatives Association, Inc. and Securities Industry and Financial Markets Association in the matter captioned, CSX Corp. v. Childrens Inv. Fund Mgmt. (UK) L.L.P., 08 Civ. 2764 (LAK), (S.D.N.Y. June 2, 2008)., # (7) Exhibit 7 - Copy of excerpts from the November 2007 Consultation Text titled, Disclosure of Contracts for Difference, made publicly available by the United Kingdom Financial Services Authority, # (8) Exhibit 8 - Copy of a May 24, 2022 Bloomberg article titled, Take the Swaps off the Balance Sheet, by Matt Levine, # (9) Exhibit 9 - Copy of a chart listing the closing prices of the S&P 500 from March 20, 2020 to March 19, 2021, # (10) Exhibit 10 - Copy of a chart listing the closing prices of the Dow Jones Industrial Average from March 20, 2020 to March 19, 2021, # (11) Exhibit 11 - Copy of a March 11, 2020 The Wall Street Journal article titled, The 30 Minutes That Can Make or Break the Trading Day, by Gunjan Banerji, # (12) Exhibit 12 - Chart listing the closing prices for Archegos Top 10 Holdings during the week of March 22, 2021, # (13) Exhibit 13 - Copy of a March 24, 2021 ViacomCBS Inc. press release with the subject line, ViacomCBS Prices Offerings of Class B Common Stock and Mandatory Convertible Preferred Stock., # (14) Exhibit 14 - Copy of a March 24, 2021 Bloomberg article titled, China Considers Creating State-Backed Company to Oversee Tech Data, by Lulu Yilun Chen, # (15) Exhibit 15 - Copy of March 24, 2021 Press Release issued by the SEC titled SEC Issues Amendments, Seeks Public Comments on Holding Foreign Companies Accountable Act., # (16) Exhibit 16 - Copy of the Form 6-K publicly filed by Nomura Holdings, Inc. with the SEC on April 27, 2021., # (17) Exhibit 17 - Copy of excerpts from the Form 6-K publicly filed by UBS Group AG and UBS AG with the SEC on April 27, 2021, # (18) Exhibit 18 - Copy of a March 31, 2021 The Wall Street Journal article titled, SEC Probes Trading by Archegos That Rattled Stock Market, by Dave Michaels., # (19) Exhibit 19 - Copy of an October 8, 2021 Bloomberg article titled, SEC Investigating Archegos for Potential Market Manipulation, by Heather Perlberg, Matt Robinson, and Sridhar Natarajan., # (20) Exhibit 20 - Copies of the reports of proceedings before U.S. Magistrate Judge Jennifer E. Willis reflecting Sung Kook (Bill) Hwang and Patrick Halligans not guilty pleas in the action captioned United States v. Sung Kook (Bill) Hwang and Patrick Halligan, Case No. 22-cr-240 (S.D.N.Y.), # (21) Exhibit 21 - Copy of the amended complaint filed on September 2, 2022 in the action captioned, Commodity Futures Trading Commission v. Archegos Capital Management, LP and Patrick Halligan, Case No. 22-cv-3401 (S.D.N.Y.), # (22) Exhibit 22 - Copy of a February 22, 2021 Discovery, Inc. press release titled, Discovery, Inc. Reports Fourth-Quarter and Full Year 2020 Results, issued by Discovery, Inc., # (23) Exhibit 23 - Copy of excerpts from a July 29, 2021 Credit Suisse Group AG press release titled, Credit Suisse posts CET1 ratio of 13.7% and pre-tax income of CHF 813 mn in 2Q21., # (24) Exhibit 24 - Copy of the transcript from the April 22, 2022 proceedings before Hon. Laura Taylor Swain in the action captioned, United States v. William Tomita, Case No. 22-cr-231 (S.D.N.Y.)).(Hirsch, Eric)
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Request |
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| 55 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [54] MOTION to Dismiss the Amended Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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Request |
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| 54 |
Filed: 10/25/2022, Entered: 10/25/2022 |
Motion to Dismiss |
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MOTION to Dismiss the Amended Complaint. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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Request |
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| 53 |
Filed: 10/19/2022, Entered: 10/19/2022 |
Order on Motion for Leave to File Excess Pages |
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ORDER granting [52] Letter Motion for Leave to File Excess Pages: GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
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| 52 |
Filed: 10/18/2022, Entered: 10/18/2022, Terminated: 10/19/2022 |
Motion for Leave to File Excess Pages |
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LETTER MOTION for Leave to File Excess Pages specifically requesting ACM be permitted to file up to a 50-page memorandum of law in support of its Motion to Dismiss, Mr. Hwang be permitted to file up to a 40-page memorandum of law in support of his Motion to Dismiss and Mr. Halligan be permitted to file up to a 35-page memorandum of law in support of his Motion to Dismiss. addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 10/18/2022. Document filed by Archegos Capital Management LP, Patrick Halligan, Sung Kook (Bill) Hwang..(Hirsch, Eric)
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Request |
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| 51 |
Filed: 9/27/2022, Entered: 9/27/2022 |
Notice (other) |
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NOTICE of Withdrawal of Attorney Dielai Yang. Document filed by Patrick Halligan..(Yang, Dielai)
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Request |
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| 50 |
Filed: 9/1/2022, Entered: 9/1/2022 |
Memo Endorsement |
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MEMO ENDORSEMENT on re: [49] Letter filed by Securities and Exchange Commission. ENDORSEMENT: The Clerk of Court is directed to indicate on ECF that Defendants Tomita and Becker have not been terminated as parties. (Signed by Judge J. Paul Oetken on 9/1/2022) (ate)
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Request |
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| 49 |
Filed: 8/30/2022, Entered: 8/30/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated August 30, 2022 re: Defendants William Tomita and Scott Becker. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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Request |
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Filed: None, Entered: None |
Notice to Attorney Regarding Deficient Pleading |
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Andrew Brett Dean to RE-FILE re: Document No. [47] Amended Complaint. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF; the wrong party/parties whom the pleading is against were selected; William Tomita and Scott Becker were previously terminated, if they are active parties to the case, they must be added to the docket again. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents.. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (sj)
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| 48 |
Filed: 8/26/2022, Entered: 8/26/2022 |
Certificate of Service Other |
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CERTIFICATE OF SERVICE of Amended Complaint served on Defendants William Tomita and Scott Becker on August 26, 2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 47 |
Filed: 8/26/2022, Entered: 8/26/2022 |
Amended Complaint |
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FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR AMENDED COMPLAINT amending [1] Complaint against Archegos Capital Management LP, Scott Becker, Patrick Halligan, Sung Kook (Bill) Hwang, William Tomita with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: [1] Complaint.(Dean, Andrew) Modified on 8/29/2022 (sj).
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Request |
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| 46 |
Filed: 8/17/2022, Entered: 8/17/2022 |
Order |
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ORDER: THE IMPLIED LETTER REQUEST AT [45] IS GRANTED. THE SEC SHALL FILE AN AMENDED COMPLAINT ON OR BEFORE 8/26/22. DEFENDANTS SHALL MOVE, ANSWER, OR OTHERWISE RESPOND TO THE AMENDED COMPLAINT WITHIN SIXTY DAYS OF THE FILING OF THE AMENDED COMPLAINT. (HEREBY ORDERED by Judge J. Paul Oetken) (Text Only Order) (brl)
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| 45 |
Filed: 8/3/2022, Entered: 8/3/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated 08/03/2022 re: Plaintiff's notice of filing an Amended Complaint on or before August 26, 2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 44 |
Filed: 7/15/2022, Entered: 7/15/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated July 15, 2022 re: Plaintiff's notice of filing an Amended Complaint on or before August 5, 2022.. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 43 |
Filed: 7/6/2022, Entered: 7/6/2022 |
Order on motion for extension of time |
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ORDER granting [42] Letter Motion for Extension of Time: GRANTED. THE SEC SHALL NOTIFY THE COURT AND DEFENDANTS WHETHER THE SEC WILL FILE OPPOSITIONS TO DEFENDANTS' RECENTLY-FILED MOTIONS TO DISMISS ON OR BEFORE 7/18/2022. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (brl)
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| 42 |
Filed: 7/5/2022, Entered: 7/5/2022, Terminated: 7/6/2022 |
Motion for Extension of Time |
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LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Jack Kaufman dated 07/05/2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 41 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Declaration in Support of Motion |
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DECLARATION of Mary E. Mulligan in Support re: [39] MOTION to Dismiss .. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A (ISDA Agreement between Credit Suisse and Archegos, dated December 15, 2020), # (2) Exhibit B (Amendment Agreement to the PSA between Credit Suisse and Archegos, dated January 15, 2015), # (3) Exhibit C (PSA between Credit Suisse and Archegos, dated December 15, 2020), # (4) Exhibit D (stock price of ViacomCBS Inc.), # (5) Exhibit E (stock price of iQIYI, Inc.), # (6) Exhibit F(stock price of Baidu, Inc.), # (7) Exhibit G (stock price of Tencent Music Entertainment Group), # (8) Exhibit H (stock price of GSX Techedu Inc.), # (9) Exhibit I (stock price of Vishop Holdings Ltd.), # (10) Exhibit J (stock price of Discovery Class A), # (11) Exhibit K (stock price of Discovery Class C)).(Mulligan, Mary)
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| 40 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [39] MOTION to Dismiss . . Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 39 |
Filed: 6/28/2022, Entered: 6/28/2022, Terminated: 2/23/2023 |
Motion to Dismiss |
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MOTION to Dismiss . Document filed by Patrick Halligan..(Mulligan, Mary)
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Request |
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| 38 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [37] MOTION to Dismiss . . Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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| 37 |
Filed: 6/28/2022, Entered: 6/28/2022, Terminated: 2/23/2023 |
Motion to Dismiss |
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MOTION to Dismiss . Document filed by Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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| 36 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Rule 7.1 Corporate Disclosure Statement |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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| 35 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Declaration in Support of Motion |
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DECLARATION of Eric A. Hirsch in Support re: [33] MOTION to Dismiss the Complaint.. Document filed by Archegos Capital Management LP. (Attachments: # (1) Exhibit 1- Copy of the January 22, 2013 Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions by the SEC, # (2) Exhibit 2- Copy of excerpts of the Form ADV filed by Tiger Asia Management, LLC on or about May 24, 2012, # (3) Exhibit 3- Copy of an investor alert titled, Investor Bulletin: Understanding Margin Accounts", # (4) Exhibit 4- Copies of excerpts from the Form ADVs filed by Hudson Bay Capital Management LP, Paloma Partners Management Company, and Samlyn Capital, LLC on March 30, 2022, March 31, 2022, and March 30, 2022, respectively, # (5) Exhibit 5 - Copy of the July 29, 2021 Credit Suisse Group Special Committee of the Board of Directors Report on Archegos Capital Management, # (6) Exhibit 6 - Copy of excerpts from the Brief of Amici Curiae filed by the International Swaps and Derivatives Association, Inc. and Securities Industry and Financial Markets Association in the matter captioned, CSX Corp. v. Childrens Inv. Fund Mgmt. (UK) L.L.P., 08 Civ. 2764 (LAK), # (7) Exhibit 7 - Copy of excerpts from the November 2007 Consultation Text titled, Disclosure of Contracts for Difference, made publicly available by the United Kingdom Financial Services Authority, # (8) Exhibit 8 - Copy of a May 24, 2022 Bloomberg article titled, Take the Swaps off the Balance Sheet, by Matt Levine, # (9) Exhibit 9 - Copy of a chart listing the closing prices of the S&P 500 average from March 20, 2020 to March 19, 2021, # (10) Exhibit 10 - Copy of a chart listing the closing prices of the Dow Jones Industrial Average from March 20, 2020 to March 19, 2021, # (11) Exhibit 11- Copy of a March 11, 2020 The Wall Street Journal article titled, The 30 Minutes That Can Make or Break the Trading Day, by Gunjan Banerji, # (12) Exhibit 12 - Copy of chart listing the closing prices for Archegos Top 10 Holdings during the week of March 22, 2021, # (13) Exhibit 13 - Copy of a March 24, 2021 ViacomCBS Inc. press release with the subject line, ViacomCBS Prices Offerings of Class B Common Stock and Mandatory Convertible Preferred Stock", # (14) Exhibit 14 - Copy of a March 24, 2021 Bloomberg article titled, China Considers Creating State-Backed Company to Oversee Tech Data, by Lulu Yilun Chen, # (15) Exhibit 15 - Copy of March 24, 2021 Press Release issued by the SEC titled SEC Issues Amendments, Seeks Public Comments on Holding Foreign Companies Accountable Act", # (16) Exhibit 16 - Copy of the Form 6-K filed by Nomura Holdings, Inc. with the SEC on April 27, 2021, # (17) Exhibit 17 - Copy of excerpts from the Form 6-K filed by UBS Group AG and UBS AG with the SEC on April 27, 2021, # (18) Exhibit 18 - Copy of a March 31, 2021 The Wall Street Journal article titled, SEC Probes Trading by Archegos That Rattled Stock Market, by Dave Michaels, # (19) Exhibit 19 - Copy of an October 8, 2021 Bloomberg article titled, SEC Investigating Archegos for Potential Market Manipulation, by Heather Perlberg, et al., # (20) Exhibit 20 - Copies of the reports of proceedings before U.S. Magistrate Judge Jennifer E. Willis reflecting Sung Kook (Bill) Hwang and Patrick Halligans not guilty pleas in the action captioned United States v. Sung Kook (Bill) Hwang and Patrick Halligan, Case No. 22-cr-240 (S.D.N.Y.), # (21) Exhibit 21 - Copy of the Complaint in the action captioned, Commodity Futures Trading Commission v. Archegos Capital Management, LP and Patrick Halligan, Case No. 22-cv-3401 (S.D.N.Y.), # (22) Exhibit 22 - Copy of a February 22, 2021 Discovery, Inc. press release titled, Discovery, Inc. Reports Fourth-Quarter and Full Year 2020 Results, issued by Discovery, Inc., # (23) Exhibit 23 - Copy of excerpts from a July 29, 2021 Credit Suisse Group AG press release titled, Credit Suisse posts CET1 ratio of 13.7% and pre-tax income of CHF 813 mn in 2Q21", # (24) Exhibit 24 - Copy of the transcript from the April 22, 2022 proceedings before Hon. Laura Taylor Swain in the action captioned, United States v. William Tomita, Case No. 22-cr-231 (S.D.N.Y.)).(Hirsch, Eric)
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| 34 |
Filed: 6/28/2022, Entered: 6/28/2022 |
Memorandum of Law in Support of Motion |
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MEMORANDUM OF LAW in Support re: [33] MOTION to Dismiss the Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
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| 33 |
Filed: 6/28/2022, Entered: 6/28/2022, Terminated: 2/23/2023 |
Motion to Dismiss |
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MOTION to Dismiss the Complaint. Document filed by Archegos Capital Management LP. Responses due by 7/12/2022.(Lawrence, Carmen)
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| 32 |
Filed: 6/24/2022, Entered: 6/24/2022 |
Order on Motion for Leave to File Excess Pages |
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ORDER granting [31] Letter Motion for Leave to File Excess Pages: GRANTED. DEFENDANT ARCHEGOS CAPITAL MANAGEMENT, LP MAY FILE A 45-PAGE MEMORANDUM OF LAW. DEFENDANT HWANG MAY FILE A 35-PAGE MEMORANDUM OF LAW. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (brl)
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| 31 |
Filed: 6/24/2022, Entered: 6/24/2022, Terminated: 6/24/2022 |
Motion for Leave to File Excess Pages |
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LETTER MOTION for Leave to File Excess Pages specifically requesting Archegos Capital Management LP. be permitted to file up to a 45-page memorandum of law in support of its Motion to Dismiss and Sung Kook (Bill) Hwang be permitted to file up to a 35-page memorandum of law in support of his Motion to Dismiss addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 6/24/2022. Document filed by Archegos Capital Management LP..(Hirsch, Eric)
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| 30 |
Filed: 6/15/2022, Entered: 6/15/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Bonnie Melissa Baker on behalf of Patrick Halligan..(Baker, Bonnie)
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Request |
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| 29 |
Filed: 5/31/2022, Entered: 5/31/2022 |
judgment |
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JUDGMENT AS TO DEFENDANT WILLIAM TOMITA: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, as further set forth in this Order. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. § 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly, as further set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, pursuant to Section 21(d) of the Exchange Act [15 U.S.C. § 78u(d)] and/or Section 20(e) of the Securities Act [15 U.S.C. § 77t(e)], Defendant is prohibited from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act [15 U.S.C. § 78l] or that is required to file reports pursuant to Section 15(d) of the Exchange Act [15 U.S.C. § 78o(d)]. Upon motion of the Commission, the Court shall determine whether it is appropriate to order disgorgement of ill-gotten gains and/or a civil penalty pursuant to Section 20(d) of the Securities Act [15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)], and, if so, the amount(s) of the disgorgement and/or civil penalty. If disgorgement is ordered, Defendant shall pay prejudgment interest thereon, calculated from September 1, 2020, based on the rate of interest used by the Internal Revenue Service for the underpayment of federal income tax as set forth in 26 U.S.C. § 6621(a)(2). In connection with the Commission's motion for disgorgement and/or civil penalties, and at any hearing held on such a motion: (a) Defendant will be precluded from arguing that he did not violate the federal securities laws as alleged in the Complaint; (b) Defendant may not challenge the validity of the Consent or this Judgment; (c) solely for the purposes of such motion, the allegations of the Complaint shall be accepted as and deemed true by the Court; and (d) the Court may determine the issues raised in the motion on the basis of affidavits, declarations, excerpts of sworn deposition or investigative testimony, and documentary evidence, without regard to the standards for summary judgment contained in Rule 56(c) of the Federal Rules of Civil Procedure. In connection with the Commission's motion for disgorgement and/or civil penalties, the parties may take discovery, including discovery from appropriate non-parties. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. § 523, the allegations in the Complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. § 523(a)(19). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. ( As further set forth in this Order.) William Tomita terminated. (Signed by Judge J. Paul Oetken on 5/31/2022) (vfr)
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| 28 |
Filed: 5/27/2022, Entered: 5/27/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated May 27, 2022 re: Proposed Consent Judgment as to Defendant William Tomita. Document filed by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order Consent of Defendant William Tomita, # (2) Text of Proposed Order Proposed Judgment as to Defendant William Tomita).(Kaufman, Jack)
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| 27 |
Filed: 5/19/2022, Entered: 5/19/2022 |
Order on Motion to appear pro hac vice |
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ORDER granting [24] Motion to Appear Pro Hac Vice. GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
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| 26 |
Filed: 5/17/2022, Entered: 5/18/2022 |
Amended Judgment |
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AMENDED JUDGMENT AS TO DEFENDANT SCOTT BECKER amending [23] Consent Judgment, Add and Terminate Parties, in favor of Securities and Exchange Commission against Scott Becker. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (As further set forth herein.) There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. (Signed by Judge J. Paul Oetken on 5/17/2022) (va)
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| 25 |
Filed: 5/13/2022, Entered: 5/13/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated 05/13/2022 re: Proposed Amended Judgment as to Defendant Scott Becker. Document filed by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order Proposed Amended Judgment as to Defendant Scott Becker).(Kaufman, Jack)
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Filed: None, Entered: None |
Notice Regarding Pro Hac Vice Motion |
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [24] MOTION for Thomas R. Valen 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. (sgz)
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| 24 |
Filed: 5/12/2022, Entered: 5/12/2022, Terminated: 5/19/2022 |
Motion to Appear Pro Hac Vice |
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MOTION for Thomas R. Valen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Sung Kook (Bill) Hwang. (Attachments: # (1) Affidavit in Support of Motion for Admission Pro Hac Vice, # (2) Text of Proposed Order in Support of Motion for Admission Pro Hac Vice).(Valen, Thomas)
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Request |
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| 23 |
Filed: 5/11/2022, Entered: 5/11/2022 |
Consent Judgment |
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JUDGMENT AS TO DEFENDANT SCOTT BECKER: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security as set forth in this order. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. Scott Becker terminated. (Signed by Judge J. Paul Oetken on 5/11/2022) (ate)
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Filed: None, Entered: None |
Notice Regarding Deficient Motion to Appear Pro Hac Vice |
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. [22] MOTION for Thomas R. Valen 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): Affidavit Not Notarized;. 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. (sgz)
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| 22 |
Filed: 5/10/2022, Entered: 5/10/2022, Terminated: 5/11/2022 |
Motion to Appear Pro Hac Vice |
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FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas R. Valen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Sung Kook (Bill) Hwang. (Attachments: # (1) Affidavit in Support of Motion for Admission Pro Hac Vice, # (2) Text of Proposed Order for Admission Pro Hac Vice).(Valen, Thomas) Modified on 5/11/2022 (sgz).
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Request |
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Filed: None, Entered: None |
Notice Regarding Deficient Motion to Appear Pro Hac Vice |
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. [21] MOTION for Thomas R. Valen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26117183. 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.. (aea)
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| 21 |
Filed: 5/9/2022, Entered: 5/9/2022, Terminated: 5/10/2022 |
Motion to Appear Pro Hac Vice |
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FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas R. Valen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26117183. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Sung Kook (Bill) Hwang. (Attachments: # (1) Affidavit in Support of Motion for Admission Pro Hac Vice).(Valen, Thomas) Modified on 5/10/2022 (aea).
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Request |
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| 20 |
Filed: 5/6/2022, Entered: 5/6/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Russell Wayne Johnston, Jr on behalf of Archegos Capital Management LP..(Johnston, Russell)
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Request |
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| 19 |
Filed: 5/6/2022, Entered: 5/6/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Carmen J. Lawrence on behalf of Archegos Capital Management LP..(Lawrence, Carmen)
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Request |
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| 18 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Letter |
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LETTER addressed to Judge J. Paul Oetken from Jack Kaufman dated 05/04/2022 re: Proposed Consent Judgment as to Defendant Scott Becker. Document filed by Securities and Exchange Commission. (Attachments: # (1) Text of Proposed Order Consent of Defendant Scott Becker, # (2) Text of Proposed Order Proposed Judgment as to Defendant Scott Becker).(Kaufman, Jack)
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| 17 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Kevin Reed Reich on behalf of Sung Kook (Bill) Hwang..(Reich, Kevin)
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| 16 |
Filed: 5/3/2022, Entered: 5/3/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Eric A. Hirsch on behalf of Archegos Capital Management LP..(Hirsch, Eric)
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| 15 |
Filed: 5/3/2022, Entered: 5/3/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by William Farnham Johnson on behalf of Archegos Capital Management LP..(Johnson, William)
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| 14 |
Filed: 5/2/2022, Entered: 5/2/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Dielai Yang on behalf of Patrick Halligan..(Yang, Dielai)
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| 13 |
Filed: 5/2/2022, Entered: 5/2/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Anil Karim Vassanji on behalf of Patrick Halligan..(Vassanji, Anil)
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| 12 |
Filed: 5/2/2022, Entered: 5/2/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Timothy Michael Haggerty on behalf of Patrick Halligan..(Haggerty, Timothy)
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| 11 |
Filed: 5/2/2022, Entered: 5/2/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Mary Elizabeth Mulligan on behalf of Patrick Halligan..(Mulligan, Mary)
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| 10 |
Filed: 5/2/2022, Entered: 5/2/2022 |
waiver of service executed |
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WAIVER OF SERVICE RETURNED EXECUTED. Archegos Capital Management LP waiver sent on 4/29/2022, answer due 6/28/2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 9 |
Filed: 5/2/2022, Entered: 5/2/2022 |
waiver of service executed |
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WAIVER OF SERVICE RETURNED EXECUTED. Sung Kook (Bill) Hwang waiver sent on 4/29/2022, answer due 6/28/2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 8 |
Filed: 4/29/2022, Entered: 4/29/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Andrew James Marino on behalf of Sung Kook (Bill) Hwang..(Marino, Andrew)
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| 7 |
Filed: 4/29/2022, Entered: 4/29/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Paul Anthony Saso on behalf of Sung Kook (Bill) Hwang..(Saso, Paul)
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| 6 |
Filed: 4/29/2022, Entered: 4/29/2022 |
waiver of service executed |
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WAIVER OF SERVICE RETURNED EXECUTED. Patrick Halligan waiver sent on 4/29/2022, answer due 6/28/2022. Document filed by Securities and Exchange Commission..(Kaufman, Jack)
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| 5 |
Filed: 4/29/2022, Entered: 4/29/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Jeffrey Lance Nagel on behalf of Sung Kook (Bill) Hwang..(Nagel, Jeffrey)
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| 4 |
Filed: 4/29/2022, Entered: 4/29/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Lawrence S. Lustberg on behalf of Sung Kook (Bill) Hwang..(Lustberg, Lawrence)
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Filed: None, Entered: None |
Case Designated ECF. |
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Case Designated ECF. (vf)
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Filed: None, Entered: None |
Case Designation |
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Magistrate Judge Stewart D. Aaron is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (vf)
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Filed: None, Entered: None |
Case Opening Initial Assignment Notice |
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge J. Paul Oetken. Please download and review the Individual Practices of the assigned District Judge, located at https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at https://nysd.uscourts.gov/rules/ecf-related-instructions..(vf)
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| 3 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Notice of Appearance |
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NOTICE OF APPEARANCE by Jack Kaufman on behalf of Securities and Exchange Commission..(Kaufman, Jack)
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| 2 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Civil Cover Sheet |
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CIVIL COVER SHEET filed..(Dean, Andrew)
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| 1 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Complaint |
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COMPLAINT against Archegos Capital Management LP, Scott Becker, Patrick Halligan, Sung Kook (Bill) Hwang, William Tomita. Document filed by Securities and Exchange Commission..(Dean, Andrew)
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