| Save 25% on a pre-paid one year subscription. |
|
|
 86 |
Filed: 11/15/2023, Entered: 11/15/2023 |
Order on motion for extension of time |
|
ORDER granting [85] Letter Motion for Extension of Time: Granted. The deadline to file a notice of appeal is extended to December 20, 2023. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (sc)
|
|
|
 |
|
|
 85 |
Filed: 11/14/2023, Entered: 11/14/2023, Terminated: 11/15/2023 |
Motion for Extension of Time |
|
FIRST LETTER MOTION for Extension of Time to File Notice of Appeal addressed to Judge J. Paul Oetken from John C. Murphy dated November 14, 2023. Document filed by Commodity Futures Trading Commission..(Murphy, John)
|
|
 Request |
|
|
|
 84 |
Filed: 9/19/2023, Entered: 9/19/2023 |
Memorandum and Opinion |
|
OPINION AND ORDER re: [51] MOTION to Intervene and to stay discovery. filed by UNITED STATES OF AMERICA, [46] MOTION to Dismiss the Amended Complaint. filed by Patrick Halligan, [42] MOTION to Dismiss the Amended Complaint. filed by Archegos Capital Management LP. For the foregoing reasons, Defendants' motions to dismiss are GRANTED. The United States's motion to intervene and stay discovery is DENIED as moot. The Clerk of Court is directed to close the motions at ECF Numbers 42, 46, and 51, and to close this case. (Signed by Judge J. Paul Oetken on 9/19/2023) (ate)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Terminate Transcript Deadlines |
|
Terminate Transcript Deadlines (ate)
|
|
|
|
|
|
| 83 |
Filed: 5/16/2023, Entered: 5/16/2023 |
Notice of Filing Transcript |
|
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/4/2023 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)
|
|
|
|
|
|
| 82 |
Filed: 5/16/2023, Entered: 5/16/2023 |
transcript |
|
TRANSCRIPT of Proceedings re: CONFERENCE held on 5/4/2023 before Judge J. Paul Oetken. Court Reporter/Transcriber: Andrew Walker, (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 6/6/2023. Redacted Transcript Deadline set for 6/16/2023. Release of Transcript Restriction set for 8/14/2023..(McGuirk, Kelly)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Oral Argument |
|
Minute Entry for proceedings held before Judge J. Paul Oetken: Oral Argument held on 5/4/2023. Decision reserved. (bh)
|
|
|
|
|
|
| 81 |
Filed: 5/2/2023, Entered: 5/2/2023 |
Order on Motion to appear pro hac vice |
|
ORDER granting [80] Motion to Appear Pro Hac Vice. Granted. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
|
|
|
|
|
|
| 80 |
Filed: 5/2/2023, Entered: 5/2/2023, Terminated: 5/2/2023 |
Motion to Appear Pro Hac Vice |
|
MOTION for David Darren Lisitza to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: # (1) Affidavit Declaration in Support of Motion for Admission Pro Hac Vice, # (2) Text of Proposed Order Text of Proposed Order for Admission Pro Hac Vice).(Lisitza, David)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Notice Regarding Pro Hac Vice Motion |
|
>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. [80] MOTION for David Darren Lisitza 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)
|
|
|
|
|
|
| 79 |
Filed: 4/28/2023, Entered: 4/28/2023 |
Response to motion |
|
RESPONSE to Motion re: [75] MOTION to File Amicus Brief . Plaintiff Commodity Futures Trading Commission's Response to Amicus Brief by Securities and Exchange Commission. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 78 |
Filed: 4/19/2023, Entered: 4/19/2023 |
Order on Motion for Leave to File Document |
|
ORDER granting [76] Letter Motion for Leave to File Document: Granted. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 77 |
Filed: 4/19/2023, Entered: 4/19/2023 |
Order on motion to file amicus brief |
|
ORDER granting [75] Letter Motion to File Amicus Brief: Granted. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 76 |
Filed: 4/18/2023, Entered: 4/18/2023, Terminated: 4/19/2023 |
Motion for Leave to file document |
|
LETTER MOTION for Leave to File response, if the Court is inclined to grant the SEC's pending request for leave to file an amicus brief ; addressed to Judge J. Paul Oetken from Jacob Mermelstein dated April 18, 2023. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 75 |
Filed: 4/14/2023, Entered: 4/14/2023, Terminated: 4/19/2023 |
Motion to File Amicus Brief |
|
MOTION to File Amicus Brief . Document filed by Securities and Exchange Commission. (Attachments: # (1) Exhibit Proposed Amicus Brief).(Hill, Ezekiel)
|
|
|
|
|
|
| 74 |
Filed: 4/14/2023, Entered: 4/14/2023 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Ezekiel L. Hill on behalf of Securities and Exchange Commission..(Hill, Ezekiel)
|
|
|
|
|
|
| 73 |
Filed: 4/10/2023, Entered: 4/10/2023 |
Letter |
|
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)
|
|
|
|
|
|
| 72 |
Filed: 2/23/2023, Entered: 2/23/2023 |
Order on Motion to Dismiss |
|
ORDER denying as moot [26] Motion to Dismiss: This motion is denied as moot in light of the filing of the Amended Complaint at ECF No. 33. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 71 |
Filed: 2/23/2023, Entered: 2/23/2023 |
Order on Motion to Dismiss |
|
ORDER denying as moot [23] Motion to Dismiss: This motion is denied as moot in light of the filing of the Amended Complaint at ECF No. 33. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 70 |
Filed: 2/6/2023, Entered: 2/6/2023 |
Reply Memorandum of Law in Support of Motion |
|
REPLY MEMORANDUM OF LAW in Support re: [46] MOTION to Dismiss the Amended Complaint. . Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 69 |
Filed: 2/6/2023, Entered: 2/6/2023 |
Reply Memorandum of Law in Support of Motion |
|
REPLY MEMORANDUM OF LAW in Support re: [42] MOTION to Dismiss the Amended Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 68 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Order on Motion for Oral Argument |
|
ORDER granting [67] Letter Motion for Oral Argument: Granted. Oral argument in this matter (22-cv-03401) and the related case (22-cv-03402) 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)
|
|
|
|
|
|
| 67 |
Filed: 2/1/2023, Entered: 2/1/2023, Terminated: 2/1/2023 |
Motion for Oral Argument |
|
LETTER MOTION for Oral Argument addressed to Judge J. Paul Oetken from Mary E. Mulligan dated February 1, 2023. Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 66 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Notice (other) |
|
NOTICE of Change of Firm Name. Document filed by Patrick Halligan..(Haggerty, Timothy)
|
|
|
|
|
|
| 65 |
Filed: 2/1/2023, Entered: 2/1/2023 |
Order on Motion for Leave to File Excess Pages |
|
ORDER granting [64] Letter Motion for Leave to File Excess Pages: Granted. So ordered. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 64 |
Filed: 1/31/2023, Entered: 1/31/2023, Terminated: 2/1/2023 |
Motion for Leave to File Excess Pages |
|
LETTER MOTION for Leave to File Excess Pages , specifically requesting that that ACM be permitted to file up to a 25-page reply memorandum and Mr. Halligan be permitted to file up to a 35-page reply memorandum without objection addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 1/31/2023. Document filed by Archegos Capital Management LP, Patrick Halligan..(Hirsch, Eric)
|
|
|
|
|
|
| 63 |
Filed: 1/19/2023, Entered: 1/19/2023 |
Memo Endorsement |
|
MEMO ENDORSEMENT on re: [36] 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)
|
|
|
|
|
|
| 62 |
Filed: 1/6/2023, Entered: 1/6/2023 |
Memorandum of Law in Opposition to Motion |
|
MEMORANDUM OF LAW in Opposition re: [46] MOTION to Dismiss the Amended Complaint., [42] MOTION to Dismiss the Amended Complaint. . Document filed by Commodity Futures Trading Commission..(Rankin, Benjamin)
|
|
|
|
|
|
| 61 |
Filed: 1/5/2023, Entered: 1/5/2023 |
Order on Motion for Leave to File Excess Pages |
|
ORDER granting [60] Letter Motion for Leave to File Excess Pages: GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 60 |
Filed: 1/4/2023, Entered: 1/4/2023, Terminated: 1/5/2023 |
Motion for Leave to File Excess Pages |
|
CONSENT LETTER MOTION for Leave to File Excess Pages Requesting Permission for Plaintiff to File Memorandum of Law Not to Exceed 60 Pages in Opposition to Defendants' Motions to Dismiss the Amended Complaint addressed to Judge J. Paul Oetken from Jacob Mermelstein dated January 4, 2023. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 59 |
Filed: 11/23/2022, Entered: 11/23/2022 |
Reply to Response to motion |
|
REPLY to Response to Motion re: [51] MOTION to Intervene and to stay discovery. Memorandum in Reply to Defendants' Opposition to the Government's Motion to Stay. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 58 |
Filed: 11/17/2022, Entered: 11/17/2022 |
Declaration in Opposition to Motion |
|
DECLARATION of Eric A. Hirsch in Opposition re: [51] MOTION to Intervene and to stay discovery.. Document filed by Archegos Capital Management LP. (Attachments: # (1) Exhibit 1 - Copy of a transcript of the 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 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 2 Swap Counterparty Losses Over $10 Billion., # (3) Exhibit 3 - 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 - 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)
|
|
|
|
|
|
| 57 |
Filed: 11/17/2022, Entered: 11/17/2022 |
Memorandum of Law in Opposition to Motion |
|
MEMORANDUM OF LAW in Opposition re: [51] MOTION to Intervene and to stay discovery. / Defendant Archegos Capital Management, LP's Memorandum of Law in Support of Partial Opposition to The Governments Motion to Intervene and For A Stay of Discovery. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 56 |
Filed: 11/17/2022, Entered: 11/17/2022 |
Declaration in Opposition to Motion |
|
DECLARATION of Timothy Haggerty in Opposition re: [51] MOTION to Intervene and to stay discovery.. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A - Email dated October 26, 2022).(Haggerty, Timothy)
|
|
|
|
|
|
| 55 |
Filed: 11/17/2022, Entered: 11/17/2022 |
Memorandum of Law in Opposition to Motion |
|
MEMORANDUM OF LAW in Opposition re: [51] MOTION to Intervene and to stay discovery. . Document filed by Patrick Halligan..(Haggerty, Timothy)
|
|
|
|
|
|
| 54 |
Filed: 11/9/2022, Entered: 11/9/2022 |
Order on motion for extension of time |
|
ORDER granting [53] Letter Motion for Extension of Time: GRANTED. THE GOVERNMENT SHALL FILE ITS OPPOSITION PAPERS BY JANUARY 6, 2023. DEFENDANTS SHALL FILE THEIR REPLIES BY FEBURARY 6, 2023. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 53 |
Filed: 11/8/2022, Entered: 11/8/2022, Terminated: 11/9/2022 |
Motion for Extension of Time |
|
JOINT LETTER MOTION for Extension of Time to File Opposition and Reply Briefs Regarding Motion to Dismiss Amended Complaint addressed to Judge J. Paul Oetken from Jacob Mermelstein dated 11/8/2022. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 52 |
Filed: 11/8/2022, Entered: 11/8/2022 |
Memorandum of Law in Support of Motion |
|
MEMORANDUM OF LAW in Support re: [51] MOTION to Intervene and to stay discovery. . Document filed by UNITED STATES OF AMERICA. (Attachments: # (1) Exhibit A, # (2) Exhibit B).(Sassoon, Danielle)
|
|
|
|
|
|
| 51 |
Filed: 11/8/2022, Entered: 11/8/2022, Terminated: 9/19/2023 |
Motion to Intervene |
|
MOTION to Intervene and to stay discovery. Document filed by UNITED STATES OF AMERICA..(Sassoon, Danielle)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Notice to Attorney to Re-File Document - Event Type Error |
|
***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Danielle Renee Sassoon to RE-FILE Document [50] 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*** - Refile the [49] Notice AS THE MOTION to Stay Discovery and to Intervene. Then file and link any supporting documents. (db)
|
|
|
|
|
|
| 50 |
Filed: 11/3/2022, Entered: 11/3/2022, Terminated: 11/3/2022 |
Motion To Stay |
|
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 11/7/2022 (db).
|
|
|
|
|
|
| 49 |
Filed: 11/3/2022, Entered: 11/3/2022 |
Notice (other) |
|
NOTICE of motion. Document filed by UNITED STATES OF AMERICA..(Sassoon, Danielle)
|
|
|
|
|
|
| 48 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Declaration in Support of Motion |
|
DECLARATION of Mary E. Mulligan in Support re: [46] MOTION to Dismiss the Amended Complaint.. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A: stock price of ViacomCBS Inc., # (2) Exhibit B: stock price of iQIYI, Inc., # (3) Exhibit C: stock price of Baidu, Inc., # (4) Exhibit D: stock price of Tencent Music Entertainment Group, # (5) Exhibit E: stock price of GSX Techedu Inc., # (6) Exhibit F: stock price of Vishop Holdings Ltd., # (7) Exhibit G: stock price of Discovery Class A, # (8) Exhibit H: stock price of Discovery Class C, # (9) Exhibit I: Prospectus for SPDR S&P 500 ETF Trust, Jan 16, 2020, # (10) Exhibit J: Prospectus for iShares MSCI Emerging Markets ETF, Dec. 30, 2020, # (11) Exhibit K: Prospectus for Invesco QQQ Trust, # (12) Exhibit L: Prospectus for SPDR S&P 500 ETF Trust", Jan 14, 2021, # (13) Exhibit M: Prospectus for The Financial Select Sector SPDR Fund", # (14) Exhibit N: Prospectus for iShares MSCI Emerging Markets ETF", Dec. 30, 2019, # (15) Exhibit O: Prospectus for Invesco QQQ Trust, Series 1", # (16) Exhibit P: Frequently Asked Questions About Security-Based Swaps, # (17) Exhibit Q: Portfolio Swap Master Confirmation between UBS and Archegos, dated February 4, 2020, # (18) Exhibit R: Master Confirmation Agreement between Goldman Sachs and Archegos, dated November 25, 2020, # (19) Exhibit S: Amended and Restated Synthetic Prime Brokerage Master Confirmation between Nomura and Archegos, dated March 18, 2016, # (20) Exhibit T: Portfolio Swap Annex between Credit Suisse and Archegos, dated December 15, 2020, # (21) Exhibit U: Portfolio Swap Annex between Credit Suisse and Tiger Asia, dated February 4, 2005, # (22) Exhibit V: Master Confirmation Agreement between Deutsche Bank and Tiger Asia, dated November 20, 2003, # (23) Exhibit W: Master Confirmation Agreement between Jefferies and Archegos, dated November 16, 2017, # (24) Exhibit X: ISDA Master Agreement between Morgan Stanley and Tiger Asia, dated May 18, 2004, # (25) Exhibit Y: Master Confirmation between Nomura and Archegos, dated March 10, 2021, # (26) Exhibit Z: transcript of plea proceeding of Scott Becker, dated April 21, 2022, # (27) Exhibit AA: transcript of plea proceeding of William Tomita, dated April 22, 2022).(Mulligan, Mary)
|
|
|
|
|
|
| 47 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Memorandum of Law in Support of Motion |
|
MEMORANDUM OF LAW in Support re: [46] MOTION to Dismiss the Amended Complaint. . Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 46 |
Filed: 11/1/2022, Entered: 11/1/2022, Terminated: 9/19/2023 |
Motion to Dismiss |
|
MOTION to Dismiss the Amended Complaint. Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 45 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Danielle Renee Sassoon on behalf of UNITED STATES OF AMERICA..(Sassoon, Danielle)
|
|
|
|
|
|
| 44 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Declaration in Support of Motion |
|
DECLARATION of Eric A. Hirsch in Support re: [42] MOTION to Dismiss the Amended 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 Securities and Exchange Commission, # (2) Exhibit 2 - Copy of the July 29, 2021 Credit Suisse Group Special Committee of the Board of Directors Report on Archegos Capital Management, # (3) Exhibit 3 - 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), # (4) Exhibit 4 - Copy of excerpts from the November 2007 Consultation Text titled, Disclosure of Contracts for Difference,, # (5) Exhibit 5 - Copy of a May 24, 2022 Bloomberg article titled, Take the Swaps off the Balance Sheet, by Matt Levine, # (6) Exhibit 6 - Copy of a chart listing the closing prices of the S&P 500 from March 20, 2020 to March 19, 2021, # (7) Exhibit 7 - Copy of a chart listing the closing prices of the Dow Jones Industrial Average from March 20, 2020 to March 19, 2021, # (8) Exhibit 8 - 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, # (9) Exhibit 9 - Copy of a March 24, 2021 Bloomberg article titled, China Considers Creating State-Backed Company to Oversee Tech Data, by Lulu Yilun Chen, # (10) Exhibit 10 - Copies of the reports of proceedings before U.S. Magistrate Judge Jennifer E. Willis reflecting Sung Kook (Bill) Hwangs and Patrick Halligans not guilty pleas in the action captioned United States v. Sung Kook (Bill) Hwang and 3 Patrick Halligan, Case No. 22-cr-240, # (11) Exhibit 11 - Copies of an FAQ posted by the SEC on its website and prepared by the Staff of the SECs Division of Trading and Markets titled Frequently Asked Questions Regarding Security-Based Swaps, available at https://www.sec.gov/files/faqs-security-based-swaps.pdf, last visited on October 26, 2022, # (12) Exhibit 12 - Copy of excerpts of the January 16, 2020 Prospectus for the SPDR S&P 500 ETF Trust, # (13) Exhibit 13 - Copy of excerpts of the January 14, 2021 Prospectus for the SPDR S&P 500 ETF Trust., # (14) Exhibit 14 - Copy of excerpts of the January 31, 2020 Prospectus for the Invesco QQQ TrustSM, # (15) Exhibit 15 - Copy of excerpts of the January 31, 2021 Prospectus for the Invesco QQQ TrustSM, # (16) Exhibit 16 - Copy of excerpts of the January 31, 2020 Summary Prospectus for the Financial Select Sector SPDR Fund, # (17) Exhibit 17 - Copy of the December 30, 2019 Summary Prospectus for the iShares MSCI Emerging Markets ETF, # (18) Exhibit 18 - Copy of the December 30, 2020 Prospectus Supplement and excerpts of the December 30, 2020 Prospectus for the iShares MSCI Emerging Markets ETF, # (19) Exhibit 19 - Copy of the February 4, 2005 Credit Suisse First Boston Portfolio Swaps (Standard Terms) Annex (the 2005 CS Swaps Agreement) between Credit Suisse First Boston (Europe) Limited and Tiger Asia Fund, L.P. (the name that Archegos Fund, LP (Archegos) formerly did business under)., # (20) Exhibit 20 - Copy of the December 15, 2020 Credit Suisse Portfolio Swaps (Standard Terms) Annex (the 2020 CS Swaps Agreement) between Credit Suisse International and Archegos Fund, LP, # (21) Exhibit 21 - Copy of the November 20, 2003 Master Confirmation for Equity Swaps Transactions between Deutsche Bank AG London and Tiger Asia Fund L.P. (the name that Archegos formerly did business under) (the Deutsche Bank Swaps Agreement)., # (22) Exhibit 22 - Copy of the November 25, 2020 Goldman Sachs Master Confirmation Agreement for Synthetic Equity Products between Goldman Sachs International and Archegos Fund LP, # (23) Exhibit 23 - Copy of the November 16, 2017 Share Swap and Share Basket Swap Master Confirmation Agreement between Jefferies Financial Products, LLC and Archegos Fund, L.P., # (24) Exhibit 24 - Copy of the May 18, 2004 Amendment to the ISDA Master Agreement dated as of November 8, 2001 between Morgan Stanley & Co. International Limited and Tiger Asia Fund LP (the name under which Archegos formerly did business), # (25) Exhibit 25 - Copy of the March 18, 2016 Amended and Restated Synthetic Prime Brokerage Master Confirmation between Nomura International plc and Archegos Fund, LP, # (26) Exhibit 26 - Copy of the March 10, 2021 SPB Master Confirmation between Nomura Global Financial Products, Inc. and Archegos Fund, LP, # (27) Exhibit 27 - Copy of the February 4, 2020 UBS Portfolio Swap Master Confirmation Agreement between UBS AG and Archegos Fund, LP).(Hirsch, Eric)
|
|
|
|
|
|
| 43 |
Filed: 11/1/2022, Entered: 11/1/2022 |
Memorandum of Law in Support of Motion |
|
MEMORANDUM OF LAW in Support re: [42] MOTION to Dismiss the Amended Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 42 |
Filed: 11/1/2022, Entered: 11/1/2022, Terminated: 9/19/2023 |
Motion to Dismiss |
|
MOTION to Dismiss the Amended Complaint. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Order on Motion to withdraw as attorney |
|
ORDER granting [40] Motion to Withdraw as Attorney: GRANTED. ATTORNEY RUSSELL WAYNE JOHNSTON, JR. TERMINATED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| Save 25% on a pre-paid one year subscription. |
|
|
| 41 |
Filed: 10/28/2022, Entered: 10/28/2022 |
Declaration in Support of Motion |
|
DECLARATION of Russell W. Johnston in Support re: [40] MOTION for Russell W. Johnston to Withdraw as Attorney .. Document filed by Archegos Capital Management LP..(Johnston, Russell)
|
|
|
|
|
|
| 40 |
Filed: 10/28/2022, Entered: 10/28/2022, Terminated: 10/31/2022 |
Motion to withdraw as attorney |
|
MOTION for Russell W. Johnston to Withdraw as Attorney . Document filed by Archegos Capital Management LP..(Johnston, Russell)
|
|
|
|
|
|
| 39 |
Filed: 10/27/2022, Entered: 10/27/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Rupita Chakraborty on behalf of Patrick Halligan..(Chakraborty, Rupita)
|
|
|
|
|
|
| 38 |
Filed: 10/27/2022, Entered: 10/27/2022 |
Order on Motion for Leave to File Excess Pages |
|
ORDER granting [37] Letter Motion for Leave to File Excess Pages: GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 37 |
Filed: 10/26/2022, Entered: 10/26/2022, Terminated: 10/27/2022 |
Motion for Leave to File Excess Pages |
|
LETTER MOTION for Leave to File Excess Pages specifically requesting that Mr. Halligan be permitted to file a memorandum of law of up to 40 pages in support of his forthcoming motion to dismiss the amended complaint addressed to Judge J. Paul Oetken from Timothy M. Haggerty dated October 26, 2022. Document filed by Patrick Halligan..(Haggerty, Timothy)
|
|
|
|
|
|
| 36 |
Filed: 9/27/2022, Entered: 9/27/2022 |
Notice (other) |
|
NOTICE of Withdrawal of Attorney Dielai Yang. Document filed by Patrick Halligan..(Yang, Dielai)
|
|
|
|
|
|
| 35 |
Filed: 9/8/2022, Entered: 9/8/2022 |
Order on Motion for extension of time to answer |
|
ORDER granting [34] Letter Motion for Extension of Time to Answer: GRANTED; DEFENDANTS SHALL MOVE, ANSWER, OR OTHERWISE RESPOND TO THE AMENDED COMPLAINT ON OR BEFORE 11/01/2022. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (aa)
|
|
|
|
|
|
| 34 |
Filed: 9/7/2022, Entered: 9/7/2022, Terminated: 9/8/2022 |
Motion for Extension of Time to File Answer |
|
CONSENT LETTER MOTION for Extension of Time to File Answer re: [33] Amended Complaint, or otherwise respond to the Amended Complaint until 60 days (up to November 1, 2022) from the date the Amended Complaint was filed addressed to Judge J. Paul Oetken from Eric A. Hirsch, Esq. dated 9/7/2022. Document filed by Archegos Capital Management LP, Patrick Halligan..(Hirsch, Eric)
|
|
|
|
|
|
| 33 |
Filed: 9/2/2022, Entered: 9/2/2022 |
Amended Complaint |
|
AMENDED COMPLAINT amending [1] Complaint against Archegos Capital Management LP, Patrick Halligan with JURY DEMAND.Document filed by Commodity Futures Trading Commission. Related document: [1] Complaint. (Attachments: # (1) Appendix List of Broad-Based Security Index Swaps).(Rankin, Benjamin)
|
|
|
|
|
|
| 32 |
Filed: 8/4/2022, Entered: 8/4/2022 |
Order on motion for extension of time |
|
ORDER granting [31] Letter Motion for Extension of Time: GRANTED. THE CFTC'S DEADLINE TO NOTIFY THE DEFENDANTS WHETHER THE CFTC WILL AMEND ITS COMPLAINT IS 9/2/22. IF THE CFTC DOES NOT AMEND, THE CFTC HAS UNTIL 9/16/22 TO FILE AN OPPOSITION TO DEFENDANTS' MOTION TO DISMISS. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (brl)
|
|
|
|
|
|
| 31 |
Filed: 8/3/2022, Entered: 8/3/2022, Terminated: 8/4/2022 |
Motion for Extension of Time |
|
CONSENT LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Jacob Mermelstein dated 8/3/2022. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 30 |
Filed: 7/11/2022, Entered: 7/11/2022 |
Order on motion for extension of time |
|
ORDER granting [29] Letter Motion for Extension of Time: GRANTED. THE CFTC HAS UNTIL 8/5/2022 TO NOTIFY THE COURT AND DEFENDANTS WHETHER THE CFTC WILL AMEND ITS COMPLAINT. IF THE CFTC DOES NOT AMEND ITS COMPLAINT, THE CFTC SHALL FILE AN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS ON OR BEFORE 8/19/2022. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (brl)
|
|
|
|
|
|
| 29 |
Filed: 7/8/2022, Entered: 7/8/2022, Terminated: 7/11/2022 |
Motion for Extension of Time |
|
LETTER MOTION for Extension of Time addressed to Judge J. Paul Oetken from Jacob Mermelstein dated 7/8/2022. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 28 |
Filed: 7/1/2022, Entered: 7/1/2022 |
Declaration in Support of Motion |
|
DECLARATION of Mary E. Mulligan in Support re: [26] MOTION to Dismiss .. Document filed by Patrick Halligan. (Attachments: # (1) Exhibit A (stock price of ViacomCBS Inc.), # (2) Exhibit B (stock price of iQIYI, Inc.), # (3) Exhibit C (stock price of Baidu, Inc.), # (4) Exhibit D (stock price of Tencent Music Entertainment Group), # (5) Exhibit E (stock price of GSX Techedu Inc.), # (6) Exhibit F (stock price of Vishop Holdings Ltd.), # (7) Exhibit G (stock price of Discovery Class A), # (8) Exhibit H (stock price of Discovery Class C)).(Mulligan, Mary)
|
|
|
|
|
|
| 27 |
Filed: 7/1/2022, Entered: 7/1/2022 |
Memorandum of Law in Support of Motion |
|
MEMORANDUM OF LAW in Support re: [26] MOTION to Dismiss . . Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 26 |
Filed: 7/1/2022, Entered: 7/1/2022, Terminated: 2/23/2023 |
Motion to Dismiss |
|
MOTION to Dismiss . Document filed by Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 25 |
Filed: 7/1/2022, Entered: 7/1/2022 |
Declaration in Support of Motion |
|
DECLARATION of Russell W. Johnston in Support re: [23] 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 the July 29, 2021 Credit Suisse Group Special Committee of the Board of Directors Report on Archegos Capital Management, # (3) Exhibit 3 - Excerpts from the Brief of Amici Curiae filed by the 2 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), # (4) Exhibit 4 - 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, # (5) Exhibit 5 - Copy of May 24, 2022 Bloomberg article titled, Take the Swaps off the Balance Sheet, by Matt Levine, # (6) Exhibit 6 - Copy of chart listing the closing prices of the S&P 500 from March 20, 2020 to March 19, 2021, # (7) Exhibit 7 - Copy of chart listing the closing prices of the Dow Jones Industrial Average from March 20, 2020 to March 19, 2021., # (8) Exhibit 8 - 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, # (9) Exhibit 9 - Copy of February 2, 2021 conversation held between William Tomita and an employee of Goldman Sachs on the Bloomberg IB Chat platform, produced by ACM to the CFTC in response to a pre-complaint voluntary information request, # (10) Exhibit 10 - Copy of February 24, 2021 conversation held between William Tomita and an employee of Goldman Sachs on the Bloomberg IB Chat platform, produced by ACM to the CFTC in response to a pre-complaint voluntary information request, # (11) Exhibit 11 - Copy of March 24, 2021 Bloomberg article titled, China Considers Creating State-Backed Company to Oversee Tech Data, by Lulu Yilun Chen, # (12) Exhibit 12 - 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.)).(Johnston, Russell)
|
|
|
|
|
|
| 24 |
Filed: 7/1/2022, Entered: 7/1/2022 |
Memorandum of Law in Support of Motion |
|
MEMORANDUM OF LAW in Support re: [23] MOTION to Dismiss the Complaint. . Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 23 |
Filed: 7/1/2022, Entered: 7/1/2022, Terminated: 2/23/2023 |
Motion to Dismiss |
|
MOTION to Dismiss the Complaint. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 22 |
Filed: 7/1/2022, Entered: 7/1/2022 |
Rule 7.1 Corporate Disclosure Statement |
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 21 |
Filed: 6/15/2022, Entered: 6/15/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Bonnie Melissa Baker on behalf of Patrick Halligan..(Baker, Bonnie)
|
|
|
|
|
|
| 20 |
Filed: 5/6/2022, Entered: 5/6/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Russell Wayne Johnston, Jr on behalf of Archegos Capital Management LP..(Johnston, Russell)
|
|
|
|
|
|
| 19 |
Filed: 5/6/2022, Entered: 5/6/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Carmen J. Lawrence on behalf of Archegos Capital Management LP..(Lawrence, Carmen)
|
|
|
|
|
|
| 18 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Dielai Yang on behalf of Patrick Halligan..(Yang, Dielai)
|
|
|
|
|
|
| 17 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Anil Karim Vassanji on behalf of Patrick Halligan..(Vassanji, Anil)
|
|
|
|
|
|
| 16 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Timothy Michael Haggerty on behalf of Patrick Halligan..(Haggerty, Timothy)
|
|
|
|
|
|
| 15 |
Filed: 5/4/2022, Entered: 5/4/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Mary Elizabeth Mulligan on behalf of Patrick Halligan..(Mulligan, Mary)
|
|
|
|
|
|
| 14 |
Filed: 5/3/2022, Entered: 5/3/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Eric A. Hirsch on behalf of Archegos Capital Management LP..(Hirsch, Eric)
|
|
|
|
|
|
| 13 |
Filed: 5/3/2022, Entered: 5/3/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by William Farnham Johnson on behalf of Archegos Capital Management LP..(Johnson, William)
|
|
|
|
|
|
| 12 |
Filed: 5/3/2022, Entered: 5/3/2022 |
waiver of service executed |
|
WAIVER OF SERVICE RETURNED EXECUTED. Patrick Halligan waiver sent on 5/2/2022, answer due 7/1/2022. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 11 |
Filed: 5/3/2022, Entered: 5/3/2022 |
waiver of service executed |
|
WAIVER OF SERVICE RETURNED EXECUTED. Archegos Capital Management LP waiver sent on 5/2/2022, answer due 7/1/2022. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Case Designation |
|
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. (aea)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Notice of Case Assignment/Reassignment |
|
NOTICE OF CASE REASSIGNMENT to Judge J. Paul Oetken. Judge Unassigned is no longer assigned to the case. (aea)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Case Accepted as Related |
|
CASE ACCEPTED AS RELATED. Create association to 1:22-cv-03402-JPO. Notice of Assignment to follow. (aea)
|
|
|
|
|
|
| 10 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Summons issued |
|
ELECTRONIC SUMMONS ISSUED as to Patrick Halligan. (vf)
|
|
|
|
|
|
| 9 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Summons issued |
|
ELECTRONIC SUMMONS ISSUED as to Archegos Capital Management LP. (vf)
|
|
|
|
|
|
| 8 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Statement of Relatedness |
|
STATEMENT OF RELATEDNESS re: that this action be filed as related to 1:22-cv-3402. Document filed by Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 7 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Jacob Walter Mermelstein on behalf of Commodity Futures Trading Commission..(Mermelstein, Jacob)
|
|
|
|
|
|
| 6 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Benjamin John Rankin on behalf of Commodity Futures Trading Commission..(Rankin, Benjamin)
|
|
|
|
|
|
| 5 |
Filed: 4/28/2022, Entered: 4/28/2022 |
Notice of Appearance |
|
NOTICE OF APPEARANCE by Alejandra de Urioste on behalf of Commodity Futures Trading Commission..(de Urioste, Alejandra)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Case Referred as Possibly Related/Similar |
|
CASE REFERRED TO Judge J. Paul Oetken as possibly related to 1:22-cv-3402. (vf)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Case Designated ECF. |
|
Case Designated ECF. (vf)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Case Opening Initial Assignment Notice |
|
CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (vf)
|
|
|
|
|
|
| |
Filed: None, Entered: None |
Notice to Attorney to Submit/File Related Case Statement |
|
***NOTICE TO ATTORNEY TO ELECTRONICALLY FILE RELATED CASE STATEMENT. Notice to Attorney John Cullen Murphy, for non compliance with Local Rule 13 of the Division of Business Among Judges. Attorney must electronically file the Related Case Statement. Use the event type Statement of Relatedness found under the event list Other Documents. (vf)
|
|
|
|
|
|
| 4 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Request for Issuance of Summons |
|
REQUEST FOR ISSUANCE OF SUMMONS as to Patrick Halligan, re: [1] Complaint. Document filed by Commodity Futures Trading Commission..(Murphy, John)
|
|
|
|
|
|
| 3 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Request for Issuance of Summons |
|
REQUEST FOR ISSUANCE OF SUMMONS as to Archegos Capital Management, LP, re: [1] Complaint. Document filed by Commodity Futures Trading Commission..(Murphy, John)
|
|
|
|
|
|
| 2 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Civil Cover Sheet |
|
CIVIL COVER SHEET filed..(Murphy, John)
|
|
|
|
|
|
| 1 |
Filed: 4/27/2022, Entered: 4/27/2022 |
Complaint |
|
COMPLAINT against Archegos Capital Management LP, Patrick Halligan. Document filed by Commodity Futures Trading Commission..(Murphy, John)
|
|
|
|
Update
Alerts
Jump