Case docket: USA v. RBS Securities Japan Limited

Case details

Court:	ctd
Docket #:	3:13-cr-00073
Case Name:	USA v. RBS Securities Japan Limited
PACER case #:	100524
Date filed:	2013-04-12
Date terminated:	2014-01-13
Assigned to:	Judge Michael P. Shea

Parties

Represented Party

Attorney & Contact Info

RBS Securities Japan Limited
Defendant (1)
TERMINATED: 01/13/2014

Alejandra de Urioste
Clifford Chance US LLP - NY
31 West 52nd Street
New York, NY 10019-6131
212-878-8000
Fax: 212-878-8375
Email: alejandra.deUrioste@cliffordchance.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Benjamin A Berringer
Clifford Chance US LLP - NY
31 West 52nd Street
New York, NY 10019-6131
212-878-3372
Fax: 212-878-8375
Email: benjamin.berringer@cliffordchance.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

David Raskin
Clifford Chance US LLP - NY
31 West 52nd Street
New York, NY 10019-6131
212-878-3438
Fax: 212-878-8375
Email: david.raskin@cliffordchance.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Joseph W. Martini
Wiggin & Dana LLP-Stfd
Two Stamford Plaza
281 Tresser Boulevard
Stamford, CT 06901
203-363-7603
Fax: 203-363-7676
Email: jmartini@wiggin.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Documents

Date Filed	Document #	Attachment #	Short Description	Long Description	Upload date	SHA1 hash
2013-04-12	1	0		INFORMATION as to RBS Securities Japan Limited (1) count(s) 1. (Blue, A.) (Entered: 04/15/2013)
2013-04-12	2	0		WAIVER OF INDICTMENT by RBS Securities Japan Limited (Blue, A.) (Entered: 04/15/2013)
2013-04-12	3	0		Minute Entry for proceedings held before Judge Michael P. Shea:Initial Appearance as to RBS Securities Japan Limited held on 4/12/2013, Waiver/Plea Hearing as to RBS Securities Japan Limited held on 4/12/2013, Plea entered by RBS Securities Japan Limited (1) Count 1 RBS Securities Japan Limited (1) Guilty Count 1 by RBS Securities Japan Limited, ( Sentencing set for 7/8/2013 10:00 AM in North Courtroom , 450 Main St., Hartford, CT before Judge Michael P. Shea) ; 40 minutes(Court Reporter M. Marshall.)((Blue, A.). (Entered: 04/15/2013)
2013-04-12	4	0		PLEA AGREEMENT as to RBS Securities Japan Limited (Attachments: # 1 Exhibits)(Blue, A.) (Entered: 04/15/2013)
2013-04-12	5	0		ORDER re Crime Victims' Rights Act as to RBS Securities Japan Limited, Signed by Judge Michael P. Shea on 4/11/13. (Blue, A.) (Entered: 04/15/2013)
2013-04-12	6	0		ORDER OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT as to RBS Securities Japan Limited. First Disclosure-PSI due 5/24/13 Objections Due 6/7/13 2nd-Disclosure PSI due 6/17/13 Sentencing Memorandum due 6/24/13 Response due 6/29/13 Sentencing set for 7/8/2013 10:00 AM in North Courtroom, 450 Main St., Hartford, CT before Judge Michael P. Shea Signed by Judge Michael P. Shea on 4/12/13. (Blue, A.) (Entered: 04/15/2013)
2013-04-12	7	0		ELECTRONIC FILING ORDER as to RBS Securities Japan Limited - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER Signed by Judge Michael P. Shea on 4/12/13. (Blue, A.) (Entered: 04/15/2013)
2013-04-15	8	0		ATTORNEY APPEARANCE: Joseph W. Martini appearing for RBS Securities Japan Limited (Martini, Joseph) (Entered: 04/15/2013)
2013-04-15	9	0		ENTERED IN ERROR... MOTION for Leave to File Motion To Admit Visiting Attorney by RBS Securities Japan Limited. (Martini, Joseph) Modified on 4/15/2013 (LaLone, L.). (Entered: 04/15/2013)
2013-04-16	10	0		ATTORNEY APPEARANCE: Joseph W. Martini appearing for RBS Securities Japan Limited (Johnson, D.) (Entered: 04/17/2013)
2013-04-16	11	0		MOTION for Leave to Appear Pro Hac Vice Attorney: Benjamin A. Berringer. Filing Fee $$75.00. Receipt Number CTXH00004851. by RBS Securities Japan Limited. (Johnson, D.) (Entered: 04/17/2013)
2013-04-16	12	0		MOTION for Leave to Appear Pro Hac Vice Attorney: Alejandra de Urioste. Filing Fee $$75.00. Receipt Number CTXH00004851. by RBS Securities Japan Limited. (Johnson, D.) (Entered: 04/17/2013)
2013-04-16	13	0		MOTION for Leave to Appear Pro Hac Vice Attorney: David Raskin. Filing Fee $$75.00. Receipt Number CTXH00004851. by RBS Securities Japan Limited. (Johnson, D.) (Entered: 04/17/2013)
2013-04-17	14	0		ORDER granting 11 Motion for Leave to Appear Pro Hac Vice (Benjamin A. Berringer) as to RBS Securities Japan Limited (1) Certificate of Good Standing due by 6/16/2013. Signed by Clerk on 4/17/13. (Johnson, D.) (Entered: 04/17/2013)
2013-04-17	15	0		ORDER granting 12 Motion for Leave to Appear Pro Hac Vice (Alejandra de Urioste) as to RBS Securities Japan Limited (1) Certificate of Good Standing due by 6/16/2013. Signed by Clerk on 4/17/13. (Johnson, D.) (Entered: 04/17/2013)
2013-04-17	16	0		ORDER granting 13 Motion for Leave to Appear Pro Hac Vice (David Raskin) as to RBS Securities Japan Limited (1) Certificate of Good Standing due by 6/16/2013. Signed by Clerk on 4/17/13. (Johnson, D.) (Entered: 04/17/2013)
2013-04-23	17	0		CERTIFICATE OF GOOD STANDING re 12 MOTION for Leave to Appear Pro Hac Vice Attorney: Alejandra de Urioste. Filing Fee $$75.00. Receipt Number CTXH00004851. (Attachments: # 1 Exhibit A)(Martini, Joseph) (Entered: 04/23/2013)
2013-04-23	18	0		CERTIFICATE OF GOOD STANDING re 13 MOTION for Leave to Appear Pro Hac Vice Attorney: David Raskin. Filing Fee $$75.00. Receipt Number CTXH00004851. (Attachments: # 1 Exhibit A)(Martini, Joseph) (Entered: 04/23/2013)
2013-04-23	19	0		CERTIFICATE OF GOOD STANDING re 11 MOTION for Leave to Appear Pro Hac Vice Attorney: Benjamin A. Berringer. Filing Fee $$75.00. Receipt Number CTXH00004851. (Attachments: # 1 Exhibit A)(Martini, Joseph) (Entered: 04/23/2013)
2013-02-07	20	0		Minute Entry for proceedings held before Judge Michael P. Shea:Telephonic Status Conference as to RBS Securities Japan Limited held on 2/7/2013 30 minutes(Court Reporter M. Marshall.)(Johnson, D.) (Entered: 05/14/2013)
2013-02-15	21	0		Minute Entry for proceedings held before Judge Michael P. Shea:Telephonic Status Conference as to RBS Securities Japan Limited held on 2/15/2013 Total Time: 1 hour(Court Reporter M. Marshall.)(Johnson, D.) (Entered: 05/14/2013)
2013-03-01	22	0		Minute Entry for proceedings held before Judge Michael P. Shea:Telephonic Status Conference as to RBS Securities Japan Limited held on 3/1/2013 15 minutes(Court Reporter M. Marshall.)(Johnson, D.) (Entered: 05/14/2013)
2013-04-03	23	0		Minute Entry for proceedings held before Judge Michael P. Shea:Telephonic Status Conference as to RBS Securities Japan Limited held on 4/3/2013 15 minutes(Court Reporter M. Marshall.)(Johnson, D.) (Entered: 05/14/2013)
2013-05-23	24	0		Consent MOTION to Continue Sentencing Hearing and Associated Disclosure Dates by RBS Securities Japan Limited. (Raskin, David) (Entered: 05/23/2013)
2013-05-24	25	0		ORDER. The Court GRANTS Defendant's 24 Motion for Continuance of Sentencing Hearing and Associated Disclosure Dates. Sentencing will be held on January 6, 2014 at 10:00 a.m. The Court will issue an Amended Order for a Presentence Investigation in due course. Signed by Judge Michael P. Shea on 5/24/2013. (Lake, G.) (Entered: 05/24/2013)
2013-05-28	26	0		ORDER OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT as to RBS Securities Japan Limited. First Disclosure-PSI due 11/25/13 Objections Due 12/9/13 2nd-Disclosure PSI due 12/19/13 Sentencing Memorandum due 12/26/13 Response due 12/31/13 Sentencing set for 1/6/2014 10:00 AM in North Courtroom, 450 Main St., Hartford, CT before Judge Michael P. Shea Signed by Judge Michael P. Shea on 5/28/13. (Johnson, D.) (Entered: 05/28/2013)
2013-06-11	27	0		ATTORNEY APPEARANCE Gary A. Winters appearing for USA (Winters, Gary) (Entered: 06/11/2013)
2013-06-13	28	0		Certificate of Service by USA as to RBS Securities Japan Limited re 27 Attorney Appearance - USA (Winters, Gary) (Entered: 06/13/2013)
2013-11-25	29	0		PRESENTENCE INVESTIGATION REPORT (Draft Report) (SEALED - government and defense counsel) as to RBS Securities Japan Limited. (available to USA, RBS Securities Japan Limited) (Attachments: # 1 Information, # 2 Plea Agreement, # 3 Financial Statement)(Carroll, Jacqueline) (Entered: 11/25/2013)
2013-12-18	30	0		PRESENTENCE INVESTIGATION REPORT (Final Report) (SEALED - government and defense counsel) as to RBS Securities Japan Limited. (available to USA, RBS Securities Japan Limited) (Attachments: # 1 Information, # 2 Plea Agreement, # 3 Financial Statement, # 4 Addendum)(Carroll, Jacqueline) (Entered: 12/18/2013)
2013-12-18	31	0		Sealed Sentencing Recommendation: as to RBS Securities Japan Limited (Carroll, Jacqueline) (Entered: 12/18/2013)
2013-12-31	32	0		SENTENCING MEMORANDUM by USA, RBS Securities Japan Limited as to RBS Securities Japan Limited (Raskin, David) (Entered: 12/31/2013)
2014-01-07	33	0		PRESENTENCE INVESTIGATION REPORT (Revised) (SEALED - government and defense counsel) as to RBS Securities Japan Limited. (available to USA, RBS Securities Japan Limited) (Carroll, Jacqueline) (Entered: 01/07/2014)
2014-01-06	34	0		Minute Entry for proceedings held before Judge Michael P. Shea:Sentencing as to RBS Securities Japan Limited held on 1/6/2014 35 minutes(Court Reporter MArshall.)(Johnson, D.) (Entered: 01/13/2014)
2014-01-13	35	0		JUDGMENT as to RBS Securities Japan Limited (1), Count(s) 1, The defendant must pay a fine in the amount of $50,000,000.00 and Special Assessment in the amount of $400.00. Signed by Judge Michael P. Shea on 1/13/14. (Johnson, D.) (Entered: 01/14/2014)