| Court: | nysd |
| Docket #: | 1:09-cv-01748 |
| Case Name: | U.S. Securities and Exchange Commission v. Nicholson et al |
| PACER case #: | 380550 |
| Date filed: | 2009-02-25 |
| Date terminated: | 2011-05-19 |
| Assigned to: | Judge Richard M. Berman |
| Case Cause: | 15:77 Securities Fraud |
| Nature of Suit: | 850 Securities/Commodities |
| Jury Demand: | None |
| Jurisdiction: | U.S. Government Plaintiff |
| Represented Party | Attorney & Contact Info |
| U.S. Securities and Exchange Commission Plaintiff |
Robert B. Blackburn Cheryl J. Scarboro Christopher R. Mathews David Smyth Ellen F. Bortz John Reed Stark Jordan Andolini Thomas Sarit Klein Thomas A. Sporkin |
| James M. Nicholson Defendant TERMINATED: 03/29/2010 |
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| Westgate Capital Management, LLC Defendant TERMINATED: 03/29/2010 |
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| Westgate Absolute Return Fund, LP Relief Defendant |
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| Westgate Alpha Fund, LP Relief Defendant |
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| Westgate Equity Fund, LP Relief Defendant |
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| Westgate Focus Fund, LP Relief Defendant |
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| Westgate Growth Fund,LP Relief Defendant |
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| Westgate Opportunity Fund,LP Relief Defendant |
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| Westgate Opportunity Master Fund, LTD Relief Defendant |
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| Westgate Premier Growth Fund, LP Relief Defendant |
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| Westgate Select Fund, LP Relief Defendant |
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| Westgate Strategic Growth Fund, LP Relief Defendant |
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| Westgate Summit Fund,LP Relief Defendant |
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| Lee S. Richards Receiver |
Craig A. Newman Patricia C. O'Prey |
| Deutsche Bank ADR Provider |
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| CarrickmoreProperty & Development Co., LLC, a Delaware limited liabitity company as Intervenor. ADR Provider |
David J. Wood |
| Paul Triana Interested Party |
Donald Joseph Feerick , Jr |
| Rosemary Doyle Interested Party |
Donald Joseph Feerick , Jr |
| Richard Kohlhausen Interested Party |
Donald Joseph Feerick , Jr |
| Richard Connelly Interested Party |
Donald Joseph Feerick , Jr |
| Deutsche Bank Trust Company Americas Interested Party |
Mark Leroy Parmelee |
| Deutsche Bank AG Interested Party |
Mark Leroy Parmelee |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2009-02-25 | 1 | 0 | COMPLAINT against Westgate Capital Management, LLC, Westgate Absolute Return Fund, LP, Westgate Alpha Fund, LP, Westgate Equity Fund, LP, Westgate Focus Fund, LP, Westgate Growth Fund,LP, Westgate Opportunity Fund,LP, Westgate Opportunity Master Fund, LTD, Westgate Premier Growth Fund, LP, Westgate Select Fund, LP, Westgate Strategic Growth Fund, LP, Westgate Summit Fund,LP, James M. Nicholson. Document filed by U.S. Securities and Exchange Commission.(ama) (ama). (Entered: 02/25/2009) | |||
| 2009-02-25 | 2 | 0 | ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF: The Defendants are restrained and enjoined from violating Sections 206(1), 206(2) and 206(4) of the Advisers Act [15 U.S.c. §§80b-6(l), (2), (4)], as set forth herein. The Defendants are restrained and enjoined from violating Section 17(a) of the Securities Act [15 U.S.c. § 77q(a)], as set forth herein. Defendants are restrained and enjoined from violating Section 10(b) of the Exchange Act or Rule 10 b-5 [15 U.S.c. § 78j(b) and 17 C.F.R. §240.10b-5], as set forth herein. A conference concerning adjudication of the Commissions Motion for Preliminary Injunction shall take place on March 3, 2009 at 10:30 o'clock in courtroom 21D. The March 3 conference is principally for further scheduling of this case. (Signed by Judge Richard M. Berman on 2/25/2009) (jpo) (Entered: 02/26/2009) | |||
| 2009-02-26 | 3 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Ira Lee Sorkin dated 2/26/2009 re: Requesting that the Court excuse us from appearing at the conference on March 3, 2009. ENDORSEMENT: The Court respectfully requests Mr. Sorkin appears on 3/3/2009. If other counsel is retained, that counsel should also appear. Mr. Nicholson should also be present. Thanks. (Signed by Judge Richard M. Berman on 2/26/2009) (jpo) (Entered: 02/27/2009) | |||
| 2009-03-02 | 4 | 0 | MOTION for Temporary Restraining Order., MOTION for Preliminary Injunction.( Return Date set for 3/10/2009 at 10:30 AM.) Document filed by U.S. Securities and Exchange Commission.(Blackburn, Robert) (Entered: 03/02/2009) | |||
| 2009-03-02 | 5 | 0 | MEMORANDUM OF LAW in Support re: 4 MOTION for Temporary Restraining Order. MOTION for Preliminary Injunction.. Document filed by U.S. Securities and Exchange Commission. (Blackburn, Robert) (Entered: 03/02/2009) | |||
| 2009-03-02 | 6 | 0 | DECLARATION of Jordan Thomas in Support re: 4 MOTION for Temporary Restraining Order. MOTION for Preliminary Injunction.. Document filed by U.S. Securities and Exchange Commission. (Blackburn, Robert) (Entered: 03/02/2009) | |||
| 2009-03-02 | 7 | 0 | DECLARATION of Nandkumar Nayar in Support re: 4 MOTION for Temporary Restraining Order. MOTION for Preliminary Injunction.. Document filed by U.S. Securities and Exchange Commission. (Blackburn, Robert) (Entered: 03/02/2009) | |||
| 2009-03-02 | 8 | 0 | MOTION to Appoint Receiver. Document filed by U.S. Securities and Exchange Commission.(Thomas, Jordan) (Entered: 03/02/2009) | |||
| 2009-03-02 | 9 | 0 | MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint Receiver. In Support of Plaintiff's Emergency Motion for Appointment of a Receiver. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Thomas, Jordan) (Entered: 03/02/2009) | |||
| 2009-03-02 | 10 | 0 | DECLARATION of David Smyth in Support re: 4 MOTION for Temporary Restraining Order. MOTION for Preliminary Injunction.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit A, part 1 of 3, # 2 Exhibit A, part 2 of 3, # 3 Exhibit A, part 3 of 3, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Exhibit F, part 1 of 3, # 9 Exhibit F, part 2 of 3, # 10 Exhibit F, part 3 of 3, # 11 Exhibit G, # 12 Exhibit H, # 13 Exhibit I, # 14 Exhibit J, # 15 Exhibit K, # 16 Exhibit L, part 1 of 2, # 17 Exhibit L, part 2 of 2, # 18 Exhibit M, part 1 of 2, # 19 Exhibit M, part 2 of 2, # 20 Exhibit N, part 1 of 3, # 21 Exhibit N, part 2 of 3, # 22 Exhibit N, part 3 of 3, # 23 Exhibit O, part 1 of 3, # 24 Exhibit O, part 2 od 3, # 25 Exhibit O, part 3 of 3, # 26 Exhibit P, part 1 of 2, # 27 Exhibit P, part 2 of 2, # 28 Exhibit Q)(Blackburn, Robert) (Entered: 03/02/2009) | |||
| 2009-03-03 | 11 | 0 | ORDER APPOINTING RECEIVER: NOW THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: Pending the determination of the Commission's action on the merits, or such other time as the Court may order, Lee S. Richards is hereby appointed to serve without bond as receiver ("Receiver") for the estates of the following Defendants and Relief Defendants: James M. Nicholson ("Nicholson"), Westgate Capital Management, LLC ("Westgate") and Relief Defendants Westgate Absolute Return Fund, LP; Westgate Alpha Fund, LP; Westgate Equity Fund, LP; Westgate Focus Fund, LP; Westgate Growth Fund, LP; Westgate Opportunity Fund, LP; Westgate Opportunity Master Fund, Ltd.; Westgate Premier Growth Fund, LP; Westgate Select Fund, LP; Westgate Strategic Growth Fund, LP; and Westgate Summit Fund, LP (collectively "Receivership Defendants"), as further set forth within. (Signed by Judge Richard M. Berman on 3/3/2009) (jfe) (Entered: 03/03/2009) | |||
| 2009-03-03 | 12 | 0 | PRELIMINARY INJUNCTION AND ORDER APPOINTING RECEIVER ON CONSENT: The Defendant are preliminary restrained and enjoined from violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940, directly or indirectly by use of the mails or any means or instrumentality of interstate commerce as further set forth in this Consent Order. Lee S. Richards is hereby appointed to serve without bond as receiver for the estates of the Defendants and Relief Defendants further set forth in this Order. Within thirty (30) days of the entry of this Order, the Receivership Defendants shall file with the Court and serve upon the Receiver and the Commission a sworn statement and accounting, with complete documentation, covering the period from 8/16/09 to the present, as further set forth in this Order. Within seven (7) days of the entry of this Order, the Receivership Defendants shall provide to the Receiver and the Commission copies of the Receivership Defendants' federal income tax returns for the years 1999 to 2008 with all relevant and necessary underlying documentation. All banks, brokerage firms, financial institutions, and other persons or entities which have possession, custody or control of any assets or funds held by, in the name of, or for the benefit of, directly or indirectly, and the Receivership Defendants that receive actual notice of this Order by personal service, facsimile transmission or otherwise shall: Within three (3) business days of receipt of that notice, file with the Court and serve on the Receiver and counsel for the Commission a certified statement setting forth, with respect to each such account or other asset, the balance in the account or description of the assets as of the close of business on the date of receipt of the notice...as further set forth in this Order. Within ninety (90) days of the entry of this Order, the Receiver shall file the Liquidation Plan in this action, with service copies to counsel of record. Within thirty (30) days after the end of each calendar quarter, the Receiver shall file and serve a full report and accounting of each Receivership Estate, reflecting the existence, value, and location of all Receivership Property, and of the extent of liabilities, both those claimed to exist by others and those the Receiver believes to be legal obligations of the Receivership Estates. Within thirty (30) days after the end of each calendar quarter, the Receiver and Retained Personnel shall apply to the Court for compensation and expense reimbursement from the Receivership Estates (the "Quarterly Fee Applications"). At least fifteen (15) days prior to filing each Quarterly Fee Application with the Court, the Receiver will serve upon counsel for the Commission a complete copy of the proposed Application, together with all exhibits and relevant billing information in a format to be provided by Commission staff. At the close of the Receivership, the Receiver shall submit a Final Accounting, in a format to be provided by the Commission staff, as well as the Receiver's final application for compensation and expense reimbursement. All provisions of this preliminary injunction and order shall remain in full force and effect until specifically modified by further order of this Court. Pursuant to Rule 65(d)(2) of the Federal Rules of Civil Procedure this Order shall be binding on the Defendants, the Relief Defendants and on their officers, agents, servants, employees, and attorneys, including but not limited to all banks, savings and loan associations, savings banks, trust companies, securities broker-dealers, commodities dealers, investment companies, other financial or depository institutions, and investment companies that hold one or more accounts in the name, on behalf or for the benefit of the Defendants and Relief Defendants, who receive actual notice of this Final Judgment by personal service or otherwise. (Signed by Judge Richard M. Berman on 3/3/09) (tro) (Entered: 03/04/2009) | |||
| 2009-03-05 | 13 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Lee S. Richards dated 3/4/2009 re: Requesting that the Court authorize me, as Receiver, to retain, my law firm, Richards Kibbe & Orbe LLP, and forensic accounting firm, Alix Partners, LLP, as Retained Personnel to assist me in carrying out my duties and responsibilities as Receiver. ENDORSEMENT: Application Granted. (Signed by Judge Richard M. Berman on 3/5/2009) (jpo) (Entered: 03/05/2009) | |||
| 2009-03-03 | 14 | 0 | MOTION for Jordan A. Thomas to Appear Pro Hac Vice. Document filed by U.S. Securities and Exchange Commission.(dle) (Entered: 03/09/2009) | |||
| 2009-03-10 | 15 | 0 | ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE OF JORDAN A. THOMAS: It is hereby ordered that the motion should be and hereby is GRANTED, and that Jordan A. Thomas is hereby admitted to practice pro hac vice before this Court. ENDORSEMENT: Subject to payment of fee to Clerk. (Signed by Judge Richard M. Berman on 3/10/2009) (jpo) (Entered: 03/10/2009) | |||
| 2009-03-11 | 16 | 0 | NOTICE of Statement of Accounts. Document filed by Bank of America. (Beaudreault, Lindi) (Entered: 03/11/2009) | |||
| 2009-03-17 | 17 | 0 | NOTICE of Certification pursuant to Order dated March 3, 2009 re: 11 Order on Motion to Appoint Receiver,,,. Document filed by Deutsche Bank, Deutsche Bank. (Parmelee, Mark) (Entered: 03/17/2009) | |||
| 2009-03-18 | 18 | 0 | Tradestation Securities Inc.'s Certified Statement of Assets. (djc) (Entered: 03/19/2009) | |||
| 2009-03-19 | 19 | 0 | CLERK CERTIFICATE OF MAILING of Summons & Complaint mailed to Westgate Opportunity Master Fund Lt. at the following address: Westgate Opportunity Masters Fund Ltd. co Hanreys Corporate Services Ltd., Craigmuir Chambers, Road Town, Tortola VG1110 on 3/19/2009 by Fedex # 7974 2848 5500. (jn) (Entered: 03/19/2009) | |||
| 2009-03-12 | 20 | 0 | TRANSCRIPT of proceedings held on 3/03/09 before Judge Richard M. Berman. (ama) (Entered: 03/23/2009) | |||
| 2009-03-25 | 21 | 0 | ORDER RELATING TO SALE OF NETJETS INTEREST: Notice is hereby given that an action has been commenced and is now pending in this Court upon the Complaint of Plaintiff S.E.C., and against the Defendants James M. Nicholson and Westgate Capital Management, LLC and the above-named Relief Defendants for violations of the Investors Advisors Act of 1940, the Advisors Act, the Securities Act of 1933 and Securities Exchange Act of 1934. Attached hereto as Exhibit A is a copy of the Complaint in this action. At the request of Plaintiff and upon consent of Defendants, this Court has appointed Lee S. Richards as Receiver for the estates of the above-mentioned Defendants and Relief Defendants for the purpose of marshalling and preserving assets of the Relief Defendants and other responsibilities in the Order Appointing Receiver. Attached hereto as Exhibit B is a copy of the Order. Pursuant to Section IV.B. of the Order and all powers conferred upon the Receiver by the provisions of 28 U.S.C. 754, 959 and 1692, F.R.C.P. 66, and New York Civil Practice Law and Rules, Article 64 et seq., the Receiver is authorized to take immediate possession of all property, real, personal or mixed, of the Receivership Defendants, wherever located, including but not limited to all ownership and leasehold interests and fixtures. Further, pursuant to Section XIV.D of the Order, the Receiver may, without further Order of this Court, transfer, compromise, or dispose of any Receivership Property, in the ordinary course of business, on terms and in the manner the Receiver deems most beneficial to the Receivership Estate, and with due regard to the realization of the true and proper value of such Receivership Property. The Court hereby specifically orders that the Receiver shall have the right to sell, transfer, compromise or dispose of the specific Receivership Property known generally as a 6.25% undivided interest in Israel Aircraft Industries Gulfstream 200, Aircraft Serial Number 168, United States Registration Number N755QS. Pursuant to Section VIII.D. of the Order, the Court hereby approves of the Receiver's sale of the aforementioned property to NetJets Sales, Inc. (Signed by Judge Richard M. Berman on 3/3/09) (tro) Modified on 4/10/2009 (tro). (Entered: 03/25/2009) | |||
| 2009-03-24 | 22 | 0 | ORDER AND NOTICE OF PENDENCY OF ACTION AFFECTING REAL PROPERTY: Pursuant to Section V.C. of the Order, the Court orders that the Clerk of each of the named Counties herein record this Notice with the attached Order and Complaint and index it against the blocks or names designated. (Signed by Judge Richard M. Berman on 3/3/09) (tro) Modified on 4/10/2009 (tro). (Entered: 03/25/2009) | |||
| 2009-03-30 | 23 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 3/27/2009 re: Requesting that the Court's Order be amended to reflect that it covers natural gas. ENDORSEMENT: XVII. E. includes "Natural gas". (Signed by Judge Richard M. Berman on 3/30/2009) (jpo) (Entered: 03/30/2009) | |||
| 2009-04-13 | 24 | 0 | NOTICE of Certification. Document filed by Bank of America. (Beaudreault, Lindi) (Entered: 04/13/2009) | |||
| 2009-04-30 | 25 | 0 | ENDORSED LETTER: addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 4/30/09. re: the Receiver respectfully requests that the Court grant the Receiver an extension of time to file those documents until the Court has had an opportunity to consider and rule upon the Receiver's request that Appendices 14 and 16 to the Quarterly Status Report be filed under seal. If permitted such an extension, the Receiver will file the Quarterly Status Report and Fee Application as soon as practicable after he learns of the Court's ruling on the request to file under seal ENDORSEMENT: Extension Granted. So Ordered. (Signed by Judge Richard M. Berman on 4/30/09) (js) (Entered: 04/30/2009) | |||
| 2009-05-05 | 26 | 0 | ORDER For the foregoing reasons, the Court redacts references to the Individual Creditors' identities and home addresses from Appendices 14 and 16 of the Quarterly Status Report. See Arnodeo, 44 F.3d at 147 ("it is proper for a district court, after weighing competing interests, to edit and redact a judicial document in order to allow access to appropriate portions of the document"); see Scheider v. Wallace, IVo. 93 Civ. 62, 1996 WL 633226, at "1 (S.D.N.Y. Oct. 31, 1996); see also United States v. Strevell, No. 05 Cr. 477, 2009 WL 577910, at *5 (N.D.N.Y. Mar. 4, 2009) ("Redaction may provide a means to narrow sealing requests[.]"). The Receiver is directed to file redacted versions of Appendices 14 and 16 of the Quarterly Status Report on the public docket and provide the Clerk of the Court with the unredacted versions for filing under seal. (Signed by Judge Richard M. Berman on 5/5/2009) (jmi) (Entered: 05/05/2009) | |||
| 2009-05-06 | 27 | 0 | SEALED DOCUMENT placed in vault.(jri) (Entered: 05/06/2009) | |||
| 2009-05-06 | 28 | 0 | STATUS REPORT. : Quarterly Status Report Document filed by Lee S. Richards. (Attachments: # 1 Part 2 Quarterly Status Report, # 2 Exhibit A, # 3 Appendix 1, # 4 Appendix 2, # 5 Appendix 3, # 6 Appendix 4, # 7 Appendix 5, # 8 Appendix 6, # 9 Appendix 7, # 10 Appendix 8, # 11 Appendix 9, # 12 Appendix 10, # 13 Appendix 11, # 14 Appendix 12, # 15 Appendix 13, # 16 Appendix 14, # 17 Appendix 15, # 18 Appendix 16, # 19 Appendix 17, # 20 Certificate of Service)(O'Prey, Patricia) (Entered: 05/06/2009) | |||
| 2009-05-06 | 29 | 0 | MOTION For Fees And Reimbursement Of Expenses By The Receiver And His Advisers. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G (Part 1), # 8 Exhibit G (Part 2), # 9 Exhibit Part G (Part3), # 10 Exhibit H (Part 1), # 11 Exhibit H(Part2), # 12 Exhibit I, # 13 Certificate of Service)(O'Prey, Patricia) (Entered: 05/06/2009) | |||
| 2009-05-14 | 30 | 0 | ORDER TO SHOW CAUSE shall show cause as to why the Court Should Not Approve Procedures for the Receiver's Sale of 120 Meadow Lane, Southampton, New York, and all other papers related thereto. Show Cause Hearing set for 5/21/2009 at 09:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 5/14/2009) (jmi) (Entered: 05/14/2009) | |||
| 2009-05-14 | 31 | 0 | DECLARATION of Patricia C. O'Prey in Support re: 30 Order to Show Cause,. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(O'Prey, Patricia) (Entered: 05/14/2009) | |||
| 2009-05-14 | 32 | 0 | MEMORANDUM OF LAW in Support re: 30 Order to Show Cause, Why The Court Should Not Approve Procedures For The Receiver's Proposed Sale Of 120 Meadow Lane, Southampton, New York. Document filed by Lee S. Richards. (O'Prey, Patricia) (Entered: 05/14/2009) | |||
| 2009-05-19 | 33 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 5/19/09 re: The Receiver respectfully requests that the Court adjourn the 5/20/09 status conference until 5/21/09 at 9:00 a.m. ENDORSEMENT: 5/20/09 conference vacated. Conference on 5/21/09 @ 9 am. (Signed by Judge Richard M. Berman on 5/19/09) (tro) (Entered: 05/20/2009) | |||
| 2009-05-27 | 34 | 0 | NOTICE OF APPEARANCE by James Vincent Masella, III on behalf of Ann Cole-Hatchard, Doris Cole-Hatchard (Masella, James) (Entered: 05/27/2009) | |||
| 2009-05-28 | 35 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 5/26/2009 re: The Receiver respectfully request that he be relieved of the obligation to file a Liquidation Plain in the above matter. ENDORSEMENT: Time for filing Receiver's Liquidation Plan extended from 5/29/09 to 7/29/09. So Ordered. (Signed by Judge Richard M. Berman on 5/28/2009) (jfe) (Entered: 05/28/2009) | |||
| 2009-05-29 | 36 | 0 | MOTION to Approve An Order That The Southampton Estate May Be Sold Free and Clear Of The Cole Hatchards' Judgment Lien. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(O'Prey, Patricia) (Entered: 05/29/2009) | |||
| 2009-05-29 | 37 | 0 | DECLARATION of Paul Devlin in Support re: 36 MOTION to Approve An Order That The Southampton Estate May Be Sold Free and Clear Of The Cole Hatchards' Judgment Lien.. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Certificate of Service)(O'Prey, Patricia) (Entered: 05/29/2009) | |||
| 2009-05-29 | 38 | 0 | DECLARATION of Brian Janelle in Support re: 36 MOTION to Approve An Order That The Southampton Estate May Be Sold Free and Clear Of The Cole Hatchards' Judgment Lien.. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Certificate of Service)(O'Prey, Patricia) (Entered: 05/29/2009) | |||
| 2009-05-29 | 39 | 0 | MEMORANDUM OF LAW in Support re: 36 MOTION to Approve An Order That The Southampton Estate May Be Sold Free and Clear Of The Cole Hatchards' Judgment Lien.. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(O'Prey, Patricia) (Entered: 05/29/2009) | |||
| 2009-06-01 | 40 | 0 | ADMINISTRATIVE ORDER: Having received and reviewed the Receiver's Motion for an Order that the Southampton Estate May Be Sold Free and Clear of the Cole-Hatchards' Judgment Lien, dated May 29, 2009 ("Receiver's Motion"), the Court hereby dismisses the Receiver's Motion [#36] as not in accordance with the Court's rules. Alternatively, the Court understands a similar application may be pending in Supreme Court, Rockland County. (Signed by Judge Richard M. Berman on 6/1/2009) (jfe) (Entered: 06/01/2009) | |||
| 2009-06-15 | 41 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 6/12/2009 re: Counsel writes in his capacity as counsel for the Receiver, Lee S. Ricahrds, to request authority for the Receiver to engage real estate counsel in connection with the proposed sale of the property located at 120 Meadow Lane, Southhampton, New York. ENDORSEMENT: Application to retain real estate counsel granted. SO ORDERED. (Signed by Judge Richard M. Berman on 6/15/2009) (tve) (Entered: 06/15/2009) | |||
| 2009-06-16 | 42 | 0 | TRANSCRIPT of proceedings (Conference) held on 4/20/09 before Judge Richard M. Berman. (ja) (Entered: 06/16/2009) | |||
| 2009-06-25 | 43 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 6/22/09 re: Counsel for Receiver, Lee S. Richards, write to request the Court's permission to engage real estate counsel in connection with proposed settlement negotiations with the landlords for the two Westgate Capital LLC office leases, as well as with the property owner at 23 Westerly Drive, Saddle River, New Jersey. Although Mr. Suarez's customary hourly billing rate is $600, he has agreed to lower that rate to $550 given the circumstances of the receivership. ENDORSEMENT: The hourly rate is high. Lets try another attorney or put this one to lower his rate. (Signed by Judge Richard M. Berman on 6/24/09) (tro) (Entered: 06/25/2009) | |||
| 2009-06-26 | 44 | 0 | ORDER TO SHOW CAUSE,that the parties in the instant action attend a conference re: show cause before this Court, on 7/9/2009 at 09:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 or as soon thereafter as counsel may be heard, why an order should not be issued allowing Carrickmore Property & Development Co., LLC, a Delaware limited liability company ("Carrickmore") to conduct limited discovery in an ancillary proceeding. IT IS FURTHER ORDERED that opposition to this application, if any, shall be submitted (by letter) to the Court by 7/3/2009 (noon). (Signed by Judge Richard M. Berman on 6/26/09) (pl) (Entered: 06/29/2009) | |||
| 2009-06-30 | 45 | 0 | DECLARATION of David E. Wood, Esq. in Support re: 44 Order to Show Cause,,. Document filed by CarrickmoreProperty & Development Co., LLC, a Delaware limited liabitity company as Intervenor.. (Attachments: # 1 Exhibit A., # 2 Exhibit B (1 of 2), # 3 Exhibit B (2 of 2), # 4 Exhibit C., # 5 Exhibit D.)(Hansen, Gregory) (Entered: 06/30/2009) | |||
| 2009-06-30 | 46 | 0 | DECLARATION of Timothy S. Plum, Esq. in Support re: 44 Order to Show Cause,,. Document filed by CarrickmoreProperty & Development Co., LLC, a Delaware limited liabitity company as Intervenor.. (Attachments: # 1 Exhibit E.)(Hansen, Gregory) (Entered: 06/30/2009) | |||
| 2009-06-30 | 47 | 0 | MEMORANDUM OF LAW in Support re: 44 Order to Show Cause,,. Document filed by CarrickmoreProperty & Development Co., LLC, a Delaware limited liabitity company as Intervenor.. (Hansen, Gregory) (Entered: 06/30/2009) | |||
| 2009-07-01 | 48 | 0 | NOTICE OF APPEARANCE by Craig A. Newman on behalf of Lee S. Richards (Attachments: # 1 Certificate of Service)(Newman, Craig) (Entered: 07/01/2009) | |||
| 2009-07-06 | 49 | 0 | ORDER TO SHOW CAUSE WHY THE COURT SHOULD NOT APPROVE THE SALE OF 120 MEADOW LANE, SOUTHHAMPTON, NY FREE AND CLEAR OF ALL LIENS, any interested party shall show cause as to why an Order should not be issued approving the sale of 120 Meadow Lane, Southhampton, NY et al. Show Cause Hearing set for 7/28/2009 at 02:00 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. Show Cause Response due by 7/22/2009. (Signed by Judge Richard M. Berman on 7/6/09) (cd) (Entered: 07/06/2009) | |||
| 2009-07-06 | 50 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Patricia O'Prey dated 6/26/09 re: Request to engage real counsel in connection with proposed settlement negotiations with the landlords for the two Westgate Captial LLC office leases, as well as with the property owner at 23 Westerly Drive, Saddle River, NJ. ENDORSEMENT: Application Granted. (Signed by Judge Richard M. Berman on 7/6/09) (cd) (Entered: 07/06/2009) | |||
| 2009-07-06 | 51 | 0 | DECLARATION of Patricia C. O'Prey in Support re: 49 Order to Show Cause,. Document filed by Lee S. Richards. (O'Prey, Patricia) (Entered: 07/06/2009) | |||
| 2009-07-06 | 52 | 0 | DECLARATION of Paul J. Devlin in Support re: 49 Order to Show Cause,. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B Part 1, # 3 Exhibit B Part 2, # 4 Exhibit B Part 3, # 5 Exhibit C Part 1, # 6 Exhibit C Part 2, # 7 Exhibit D, # 8 Exhibit E, # 9 Exhibit F, # 10 Exhibit G, # 11 Exhibit H, # 12 Exhibit I, # 13 Exhibit J, # 14 Exhibit K, # 15 Exhibit L, # 16 Exhibit M, # 17 Exhibit N, # 18 Exhibit O, # 19 Exhibit P, # 20 Exhibit Q, # 21 Certificate of Service)(O'Prey, Patricia) (Entered: 07/06/2009) | |||
| 2009-07-06 | 53 | 0 | DECLARATION of Brian Janelle in Support re: 49 Order to Show Cause,. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(O'Prey, Patricia) (Entered: 07/06/2009) | |||
| 2009-07-06 | 54 | 0 | DECLARATION of John W. F. McHugh in Support re: 49 Order to Show Cause,. Document filed by Lee S. Richards. (Attachments: # 1 Certificate Of Service)(O'Prey, Patricia) (Entered: 07/06/2009) | |||
| 2009-07-06 | 55 | 0 | MEMORANDUM OF LAW in Support re: 49 Order to Show Cause,. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(O'Prey, Patricia) (Entered: 07/06/2009) | |||
| 2009-07-07 | 56 | 0 | ADMINISTRATIVE ORDER: The Receiver having withdrawn his opposition to Carrickmore Property & Development Co., LLC's application for relief from the Receivership Order, dated March 3, 2009, (see Stipulation, dated July 2, 2009, at 2), the conference in the above-entitled action scheduled for July 9, 2009 at 9:00 a.m. to consider Carrickmore's application is hereby vacated. SO ORDERED. (Signed by Judge Richard M. Berman on 7/7/2009) (tve) Modified on 7/8/2009 (st). (Entered: 07/07/2009) | |||
| 2009-07-08 | 57 | 0 | AFFIDAVIT OF SERVICE of Order to Show Cause (Doc. No. 49) and supporing papers served on Jordan A. Thomas, Erika McDaniel Edwards, James V. Masella and James Nicholson on 07/07/2009. Service was made by Mail. Document filed by Lee S. Richards. (O'Prey, Patricia) (Entered: 07/08/2009) | |||
| 2009-07-08 | 58 | 0 | AFFIDAVIT OF SERVICE of Letter providing all interested parties and creditors of the Nicholson/Westgate Receivership with Notice of the Order to Show Cause (doc no. 49) served on All Interested Parties and Creditors on 07/07/2009. Service was made by MAIL. Document filed by Lee S. Richards. (O'Prey, Patricia) (Entered: 07/08/2009) | |||
| 2009-07-09 | 59 | 0 | ORDER; that David E. Wood, Esq., counsel for Carrickmore, shall be permitted to move for admission pro hac vice in the ancillary proceeding. (Signed by Judge Richard M. Berman on 7/9/09) (pl) (Entered: 07/09/2009) | |||
| 2009-07-14 | 60 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 7/13/2009 re: The Receiver request that he be excused from preparing and filing a Second Quarterly Status Report. ENDORSEMENT: Application granted i.e. no report needed since not much has occurred impacting the Estate. (Signed by Judge Richard M. Berman on 7/14/2009) (jpo) (Entered: 07/14/2009) | |||
| 2009-07-16 | 61 | 0 | ORDER that this Court's Order, dated 7/9/09 is hereby amended to reflect that the parties (including Carrickmore Property & Development Co., LLC) are to consult with United States District Judge Naomi R. Buchwald with respect to any and all issues before proceeding with discovery in the case styled as Carrickmore v. Nicholson, No. 09cv1906 (S.D.N.Y. 2009). (Signed by Judge Richard M. Berman on 7/16/09) (dle) (Entered: 07/16/2009) | |||
| 2009-07-22 | 62 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 7/14/2009 re: Counsel respectfully request that the Court direct the Clerk of the Court to remove the July 8, 2009 Affidavit of Service from the ECF system and mark the document "Under Seal." Counsel further request that the Clerk be directed to remove the Affidavit from the public file. ENDORSEMENT: Application Granted. So Ordered. (Signed by Judge Richard M. Berman on 7/22/2009) (jfe) (Entered: 07/22/2009) | |||
| 2009-07-22 | 63 | 0 | SEALED DOCUMENT placed in vault.(rt) (Entered: 07/23/2009) | |||
| 2009-07-28 | 64 | 0 | ORDER ESTABLISHING A COURT REGISTRY INVESTMENT SYSTEM (CRIS) ACCOUNT WITH RESPECT TO CERTAIN PROCEEDS FROM THE SALE OF 120 MEADOW LANE, SOUTHAMPTON, NEW YORK FREE AND CLEAR OF ALL LIENS: IT IS ORDERED that, as soon as reasonably practicable after the sale of 120 Meadow Lane, Southampton, New York in accordance with the Order of this Court, the sum of $931,724 shall be paid by the Receiver to the Clerk of the United States District Court for the Southern District of New York; and IT IS FURTHER ORDERED that, upon receipt of the sum of $931,724 from the Receiver, the Clerk of the United States District Court for the Southern District of New York shall deposit such funds into a Court Registry Investment System account or any other type of interest-bearing account that is used by this Court. The funds shall be held in such account until further Order of this Court. (Signed by Judge Richard M. Berman on 7/28/2009) (jfe) (Entered: 07/28/2009) | |||
| 2009-07-28 | 65 | 0 | ORDER APPROVING THE SALE OF 120 MEADOW LANE, SOUTHAMPTON, NEW YORK FREE AND CLEAR OF ALL LIENS: IT IS ORDERED that, the sale of 120 Meadow Lane, Southampton, New York (the "Southampton Estate") free and clear of all liens in accordance with the terms of the Residential Contract of Sale dated June 24, 2009 attached as Exhibit H to the Declaration of Paul Devlin is hereby approved by this Court in all respects; IT IS FURTHER ORDERED that, the judgment lien filed by Ann and Doris Cole- Hatchard with the Suffolk County Clerk Records Office on February 23, 2009 reflecting a judgment in the amount of $931,724 is invalid as against, and does not create a lien on, the Southampton Estate; and IT IS FURTHER ORDERED that, any and all mechanic's liens filed with respect to the Southampton Estate after March 3, 2009, including but not limited to the mechanic's lien number LMEC00003067 filed by James V. Zizzi Contracting Corp. on May 14, 2009 in the amount of $8,061.80 and mechanic's lien number LMEC00003068 filed by Michael W. Behringer, Architect, on May 14, 2009 in the amount of $7,970, are invalid. (Signed by Judge Richard M. Berman on 7/28/2009) (jfe) (Entered: 07/28/2009) | |||
| 2009-07-28 | 66 | 0 | STIPULATION BETWEEN RECEIVER AND ANN AND DORIS COLE-HATCHARD RELATING TO ESCROW OF $931,724: NOW THEREFORE without prejudice to the parties respective rights, remedies and obligations, including without limitation to the right of the Receiver to challenge the validity and priority of the Judgment or any lien(s) asserted by the Cole-Hatchards (including any related parties), the parties stipulate and agree as follows: The sum of $931,724 will be placed by the Receiver in an interest bearing escrow account pending a final, non-appealable order by the New York Supreme Court, County of Rockland and/or thee United States District Court for the Southern District of New York with respect to the validity of the Judgment and/or the priority of any lien(s) asserted by the Cole-Hatchards (including any related parties). The sum contained in the escrow account shall be disbursed in accordance with a final, non-appealable order by the United States District Court for the Southern District of New York. (Signed by Judge Richard M. Berman on 7/28/2009) (jfe) (Entered: 07/29/2009) | |||
| 2009-07-30 | 67 | 0 | MOTION : Second Interim Application For Fees And Reimbursement Of Expenses By The Receiver And His Advisors. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K (Part 1), # 12 Exhibit K (Part 2), # 13 Exhibit K (Part 3), # 14 Exhibit L (Part 1), # 15 Exhibit L (Part2), # 16 Exhibit M, # 17 Exhibit N, # 18 Exhibit O, # 19 Certificate of Service)(Newman, Craig) (Entered: 07/30/2009) | |||
| 2009-07-30 | 68 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 7/29/2009 re: Receiver requests that he be relieved of the obligation to file a Liquidation Plan as well as the related obligation to establish Creditor Claims Proceedings pursuant to Section XII.A of the March 3, 2009. ENDORSEMENT: This letter suffices in lieu of the Liquidation Plan and establishing a Creditor Claims Proceeding. (Signed by Judge Richard M. Berman on 7/30/2009) (jpo) (Entered: 07/31/2009) | |||
| 2009-08-13 | 69 | 0 | ORDER REGARDING DEFENDANT JAMES M. NICHOLSON'S LETTER MOTION FOR STAY OF PROCEEDINGS: Mr. Nicholson's Letter Motion is GRANTED IN PART, and the above-captioned proceeding shall be stayed and placed on the Court's Suspense Calendar pending resolution of United States v. Nicholson, Case No. 09-CR-414(RJS), except that this Court's 3/3/09 Order remain in full force and effect and the Receiver shall continue to discharge his obligations under those orders and shall continue to, among other things and without limitation, take steps to marshal and preserve the Receivership property and manage the assets of the Receivership Estates, take all necessary and reasonable action to cause the sale or lease of real property in the Receivership Estates, and pursue third party claims and other actions. See also transcript of Court proceeding on 7/28/09. (Signed by Judge Richard M. Berman on 8/13/09) (tro) (Entered: 08/13/2009) | |||
| 2009-09-09 | 70 | 0 | ORDER RELEASING THE REAL PROPERTY LOCATED AT 360 SOUTH OCEAN BOULEVARD, PENTHOUSE A, PALM BEACH, FLORIDA FROM THE RECEIVERSHIP ESTATE that the Palm Beach Property shall be released from the Receivership Estate and the Receiver shall have no further obligations under the Receivership Orders with respect to the Palm Beach Property; and IT IS FURTHER ORDERED that the custody, control, possession, preservation and disposition, whether by sale or otherwise, of the Palm Beach Property shall be the sole responsibility of the United States Marshals Service pursuant solely to the Interlocutory Sale Order and any other applicable Orders entered in the Criminal Proceedings, and not the Receivership Orders. (Signed by Judge Richard M. Berman on 9/9/2009) (jmi) (Entered: 09/10/2009) | |||
| 2009-09-18 | 71 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from David B. Chenkin dated 8/28/09 re: We respectfully suggest that this Court has the authority to, and should, ultimately issue an Order granting BOA'S proposed motion, and there is a strong federal policy towards allowing secured creditors such relief. ENDORSEMENT: Receiver and Government to respond with authorities in letters submitted to Chambers by 9/23/09 (5pm), including explanation of why these funds would not be part of receivership estate. Conference on 9/24/09 @ 9:00 am. SO ORDERED. (Status Conference set for 9/24/2009 at 09:00 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 9/18/09) (db) (Entered: 09/18/2009) | |||
| 2009-10-12 | 72 | 0 | ORDER; for the reasons that are set forth in this Order, the Fee Applications [dkt ## 29, 67 ] are denied at this time without prejudice. (Signed by Judge Richard M. Berman on 10/12/09) (pl) Modified on 11/17/2009 (ae). (Entered: 10/13/2009) | |||
| 2009-10-13 | 73 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 10/12/09 re: Receiver respectfully submits that he be excused from preparing and filing a Second Quarterly Status Report. ENDORSEMENT: Application granted (no report needed since not much has occurred impacting the estate). SO ORDERED. (Signed by Judge Richard M. Berman on 10/13/09) (db) (Entered: 10/13/2009) | |||
| 2009-10-16 | 74 | 0 | LETTER addressed to Judge Richard M. Berman from James Nicholson dated 9/29/09 re: Defendant writes to apologize for not appearing at the 9/25 conference. Document filed by James M. Nicholson.(tve) (Entered: 10/16/2009) | |||
| 2009-10-22 | 75 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Gene Berardelli dated 8/31/09 re: Counsel for parties with a lawsuit pending in the Supreme Court of the State of New York, County of New York against Mr. James Nicholson, Westgate Capital Management, LLC and its various funds, as well as agents, officers and associates of Mr. Nicholson & Westgate Capital Management, LLC that are believed to have participate in and benefited from Mr. Nicholson's and Westgate's action, respectfully request modification of your Order of 3/4/09 so that they may be allowed to proceed in their action against all parties not named in the SEC's action against Nicholson and Westgate. ENDORSEMENT: Mr. Berardelli needs to "appear" in this case & Receiver to respond by 10/29/09. (Signed by Judge Richard M. Berman on 10/22/09) (tro) (Entered: 10/22/2009) | |||
| 2009-10-28 | 76 | 0 | ENDORSED LETTER: addressed to Judge Richard M. Berman from Craig A. Newman dated 10/22/09 re: The Receiver in this this case requests a pre-motion conference as promptly as possible in order to seek the court's permission to move for reconsideration of Your Honor's Order. ENDORSEMENT: We can have a conference @ 9:30 on 11/9/09 to discuss (following the filing of the Receiver's 3rd application). The Court has to balance the fees against the size of the estate, among other factors. So Ordered. ( Status Conference set for 11/9/2009 at 09:30 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 10/28/09) (js) (Entered: 10/29/2009) | |||
| 2009-10-30 | 77 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 10/29/2009 re: Requesting that the Letter Request be denied with leave to re-file the request in ninety (90) days. ENDORSEMENT: We can discuss further on November 9, 2009 at 9:30 a.m. (Signed by Judge Richard M. Berman on 10/30/2009) (jpo) (Entered: 10/30/2009) | |||
| 2009-10-30 | 78 | 0 | FILING ERROR - DUPLICATED DOCKET ENTRY (See 79 MOTION) - THIRD MOTION for Attorney Fees and Reimbursement of Expenses by the Receiver and His Advisors. Document filed by Lee S. Richards.(Newman, Craig) Modified on 11/2/2009 (db). Modified on 11/2/2009 (db). (Entered: 10/30/2009) | |||
| 2009-10-30 | 79 | 0 | MOTION for Attorney Fees & Reimbursement of Expenses by the Receiver (Third). Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M Part 1, # 14 Exhibit M Part 2, # 15 Exhibit N, # 16 Exhibit O, # 17 Exhibit P, # 18 Exhibit Q, # 19 Certificate of Service)(Newman, Craig) Modified on 11/2/2009 (db). (Entered: 10/30/2009) | |||
| 2009-11-06 | 80 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Gerard & Lydia Olsen dated 8/10/09 re: counsel writes in opposition to the Receivers application for payment of fees filed July 30, 2009 in relation to James M. Nicholson Case. ENDORSEMENT: There will be a conference to discuss the Receiver's Interim fee applications on 11/9/09 at 9:30 a.m., before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 11/6/09) (djc) (Entered: 11/06/2009) | |||
| 2009-11-06 | 81 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Jeannine M. Dacre dated 8/17/09 re: I am writing to you to consider not only the law of the land, but also to ponder the right and wrong of this case regarding the investor's plight. ENDORSEMENT: There will be a conference to discuss the Receiver's Interim fee applications on 11/9/09 at 9:30 a.m. (Signed by Judge Richard M. Berman on 11/6/09) (djc) (Entered: 11/06/2009) | |||
| 2009-11-09 | 82 | 0 | ADMINISTRATIVE ORDER: The letter application of Gene Berardelli, dated 8/31/09, which requests modification of the court's Preliminary Injunction and Order dated 3/3/09 is dismissed without prejudice and with leave to re-file in 90 days. (Signed by Judge Richard M. Berman on 11/9/09) (dle) (Entered: 11/09/2009) | |||
| 2009-11-16 | 83 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 11/16/09 re: Counsel for the Receiver, Lee S. Richards, writes to follow up concerning three items raised by the Court during the 11/9.09 conference: first, a meeting between the Receiver, the U.S. Attorney's Office and the S.E.C. regarding general receivership issues and a plan for next steps; second, the 11/23/09 deadline for submitting revised fee applications for Your Honor's review; and, finally, the 11/19/09 "control date" for updating the Court with respect to the proposed settlement of various third-party claim on the receivership date. The Receiver proposes that, subject to the 11/24/09 meeting with the USAO and the SEC, a more comprehensive written update to be provided to the Court no later than 12/2/09. ENDORSEMENT: Conference on 12/10/09 @ 9:00 A.M. (Signed by Judge Richard M. Berman on 11/16/09) (tro) (Entered: 11/17/2009) | |||
| 2009-12-03 | 84 | 0 | LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 12/2/09 re: Counsel for Receiver Lee S. Richards write to inform the Court that in the midst of finalizing their revised bills for submission to the Court this evening, they encountered a serious and unforseeable failure in their accounting software which prevented them from submitting accurate, updated bills as requested by Your Honor, including detailed information regarding the amount to be written off by the Receiver and his counsel. Document filed by Lee S. Richards.(tro) (Entered: 12/04/2009) | |||
| 2009-12-08 | 85 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 12/7/2009 re: The Receiver respectfully requests that the pending Fee Applications, as modified herein, be granted and that the Receiver and his counsel be awarded fees in the amount of $1,171,O16 and expenses in the amount of $145,136.15 and that AlixPartners be awarded fees in the amount of $1,265,016.90 and expenses of $10,055.49. The Receiver respectfully requests that the Court continue the currently set December 10, 2009 hearing until December 17, 2009 so that the Receiver's Revised Fee Applications and the Order to Show Cause may be addressed at the same hearing and before December 31, 2009. ENDORSEMENT: Conference is adjourned to 12/16/09 at 11:00 a.m. So Ordered. (Signed by Judge Richard M. Berman on 12/8/2009) (jfe) (Entered: 12/08/2009) | |||
| 2009-12-08 | 86 | 0 | ORDER TO SHOW CAUSE WHY THE COURT SHOULD NOT APPROVE CERTAIN SETTLEMENT AGREEMENTS WITH RESPECT TO THE RECEIVERSHIP ESTATE: All interested parties shall show cause as to why Order should not be issued: 1. Approving the Settlement Agreement and Mutual Release between Deutsche Bank AG, Deutsche Bank Trust Company Americas and the Receiver, attached as Exhibit A to the Declaration of Paul Devlin. 2. Approving the Settlement Agreement and Mutual Release between Michael V. Corrigan and Marcia D. Corrigan and the Receiver, attached as Exhibit B to the Declaration of Paul Devlin. Show Cause Hearing set for 12/16/2009 at 11:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. Show Cause Response due by 12/14/2009. (Signed by Judge Richard M. Berman on 12/8/2009) (jfe) Modified on 12/31/2009 (jfe). (Entered: 12/09/2009) | |||
| 2009-12-09 | 87 | 0 | DECLARATION of Paul J. Devlin in Support re: 86 Order to Show Cause,,,. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O)(Newman, Craig) (Entered: 12/09/2009) | |||
| 2009-12-09 | 88 | 0 | MEMORANDUM OF LAW in Support re: 86 Order to Show Cause,,, Why the Court Should Not Approve Certain Settlement Agreements With Respect to the Receivership Estate. Document filed by Lee S. Richards. (Newman, Craig) (Entered: 12/09/2009) | |||
| 2009-12-16 | 89 | 0 | NOTICE OF APPEARANCE by Donald Joseph Feerick, Jr on behalf of Paul Triana, Rosemary Doyle, Richard Kohlhausen, Richard Connelly (Feerick, Donald) (Entered: 12/16/2009) | |||
| 2009-12-16 | 90 | 0 | AFFIDAVIT OF SERVICE of Order to Show Cause, Doc.. No. 86, Declaration of Paul J. Devlin and Memorandum of Law In Support of Order to Show Cause served on Deutsche Bank, Wachovia Bank, Bank of America, James Nicholson, U.S. Securities and Exchange Commission and Michael Corrigan on 12/9/2009. Service was made by overnight and U.S. Mail. Document filed by Lee S. Richards. (Newman, Craig) (Entered: 12/16/2009) | |||
| 2009-12-16 | 91 | 0 | AFFIDAVIT OF SERVICE of Letter, dated December 9, 2009, providing notice of the Order to Show Cause, Doc. No. 86 served on All Interested Parties and Creditors of the Nicholson/Westgate Receivership on 12/09/2009. Service was made by U.S. Mail. Document filed by Lee S. Richards. (Newman, Craig) (Entered: 12/16/2009) | |||
| 2009-12-16 | 92 | 0 | DECLARATION of Donald J. Feerick, Jr. in Opposition re: 86 Order to Show Cause,,,. Document filed by Paul Triana, Rosemary Doyle, Richard Kohlhausen, Richard Connelly. (Attachments: # 1 Exhibit D - 1of 2 - Bank Docs, # 2 Exhibit D - 2of2 - Bank Docs)(Feerick, Donald) (Entered: 12/16/2009) | |||
| 2009-12-16 | 93 | 0 | ORDER GRANTING THE RECEIVER'S AMENDED INTERIM FEE APPLICATION: that, the Receiver and his counsel, RK&O, are awarded fees in the amount of $1,171,016.00 and reimbursement of expenses in the amount of $143, 131.15 pursuant to the Amended Fee Application, such sums to be paid out of the net proceeds from the sale by the Receiver of the real property located at 120 Meadow Lane, Southampton, New York (the "Southampton Sale Proceeds"); IT IS FURTHER ORDERED that, AlixPartners, the Receiver's forensic accountants, is awarded fees in the amount of $1,265,016.90 and reimbursement of expenses in the amount of $10,055.49 pursuant to the Amended Fee Application, such sums to be paid out of the Southampton Sale Proceeds; IT IS FURTHER ORDERED that, Thomson Hine, the Receiver's real estate counsel, is awarded fees in the amount of $18,911.25 and reimbursement of expenses in the amount of $8.50 pursuant to the Amended Fee Application, such sums to be paid out of the Southampton Sale Proceeds; IT IS FURTHER ORDERED that, Twomey Latham, the Receiver's counsel with respect to the sale of the real property located at 120 Meadow Lane, Southampton, New York, is awarded fees in the amount of $10,162.50 and reimbursement of expenses in the amount of $279.00 pursuant to the Amended Fee Application, such sums to be paid out of the Southampton Sale Proceeds; and IT IS FURTHER ORDERED that, the Receiver is hereby authorized to take any and all actions that are reasonable or necessary to effect or facilitate the disbursements authorized hereby including, without limitation, causing funds to be transferred to the payees identified herein, including the Receiver's law firm, RK&O, from one or more of the accounts held at Citibank with an account number ending in 6093 and a brokerage account held at Citigroup Global Markets, Inc. with an account number ending in 087, each held in the name of the Receiver for the benefit of the Receivership Estate. (Signed by Judge Richard M. Berman on 12/16/2009) (tve) (Entered: 12/16/2009) | |||
| 2009-12-17 | 94 | 0 | REVISED FIRST INTERIM FEE APPLICATION. Current invoice date: 12/7/09; Current invoice due: $264,689.24. (mro) (Entered: 12/17/2009) | |||
| 2009-12-17 | 95 | 0 | REVISED SECOND INTERIM FEE APPLICATION. Current invoice date: 12/7/09; Current invoice due: $617,341.12. (mro) (Entered: 12/17/2009) | |||
| 2009-12-17 | 96 | 0 | REVISED THIRD INTERIM FEE APPLICATION. Current invoice date: 12/7/09; Current invoice due: $434,121.79. (mro) (Entered: 12/17/2009) | |||
| 2009-12-18 | 97 | 0 | NOTICE OF APPEARANCE by Mark Leroy Parmelee on behalf of Deutsche Bank Trust Company Americas, Deutsche Bank AG (Parmelee, Mark) (Entered: 12/18/2009) | |||
| 2009-12-18 | 98 | 0 | MEMORANDUM OF LAW in Support re: 86 Order to Show Cause,,, Why the Court Should Not Approve Certain Settlement Agreements With Respect To the Receivership Estate. Document filed by Deutsche Bank Trust Company Americas, Deutsche Bank AG. (Attachments: # 1 Declaration of Doug McDonald, # 2 Delcaration of Megan E. Bates)(Parmelee, Mark) (Entered: 12/18/2009) | |||
| 2009-12-18 | 99 | 0 | REPLY MEMORANDUM OF LAW re: 86 Order to Show Cause,,, Why The Court Should Not Approve Settlement Agreements With Respect To The Receivership Estate. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(Newman, Craig) (Entered: 12/18/2009) | |||
| 2009-12-21 | 100 | 0 | ORDER APPROVING CERTAIN SETTLEMENT AGREEMENTS WITH RESPECT TO THE RECEIVERSHIP ESTATE: The settlement agreement and mutual release between Deutsche Bank and the Receiver, dated 12/7/09 and attached as Exhibit A to the Devlin Decl. is hereby approved in all respects, see SEC v. Stephenson Equity Co., No. 99civ.11395, 2002 WL 1792053 at *5-6 (SDNY Aug. 2, 2002). Settlement Agreement and Mutual Release between Michael V. Corrigan and Marcia D. Corrigan and the Receiver, dated 11/30/09 and attached as Exhibit B to the Devlin Decl. (together with the Deutsche Bank Settlement Agreement), the "Settlement Agreements") is hereby approved in all respects. The Receiver is authorized to take any and all actions that are reasonably necessary to facilitate or effectuate the Settlement Agreements without further order of this Court as further set forth herein. Deutsche Bank shall, as soon as is reasonably possible cause the mortgage and any and all other encumbrances held by it over or with respect to the condominium located at 25 Columbus Circle, Unit 52A, New York, New York to be irrevocably discharged and pay the interest accrued on the amounts on deposit in the Secured Bank Accounts to the Receiver for the benefit of the Receivership Estate and as soon as is reasonably possible, Corrigan shall pay $10,000 to the Receiver for the benefit of the Receivership Estate (Signed by Judge Richard M. Berman on 12/21/09) (dle) (Entered: 12/21/2009) | |||
| 2010-02-01 | 101 | 0 | MOTION for Attorney Fees : Fourth Interim Application For Fees And Reimbursement Of Expenses By The Receiver And His Advisors. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Certificate of Service)(Newman, Craig) (Entered: 02/01/2010) | |||
| 2010-02-04 | 102 | 0 | ORDER, that the Fourth Fee Application [dkt ## 101] is denied without prejudice. (Signed by Judge Richard M. Berman on 2/3/10) (pl) (Entered: 02/04/2010) | |||
| 2010-02-05 | 103 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A, Newman dated 2/4/2010 re: The Receiver respectfully requests that he be relieved of the obligation to file Quarterly Status Reports until further Order of the Court. ENDORSEMENT: Application granted. So Ordered. (Signed by Judge Richard M. Berman on 2/5/2010) (jfe) (Entered: 02/05/2010) | |||
| 2010-02-23 | 104 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 2/23/10 re: Request the Court's permission to engage a tax accountant to assist in the preparation of the tax returns required for the Qualified Settlement Fund. ENDORSEMENT: Application Granted. SO ORDERED. (Signed by Judge Richard M. Berman on 2/23/10) (db) (Entered: 02/24/2010) | |||
| 2010-03-01 | 105 | 0 | ORDER GRANTING LEAVE TO DEPOSE DEFENDANT JAMES M. NICHOLSON: Receiver is granted leave to depose Nicholson. The Federal Bureau of Prisons is to grant the Receiver and his counsel access to Nicholson as expeditiously as possible but in no event later than March 30, 2010, at the MCC, or such other facility or location as he may be otherwise confined or produced to the Receiver, for the purpose of taking his deposition in connection with the above-captioned proceedings. (Deposition due by 3/30/2010.) (Signed by Judge Richard M. Berman on 3/1/10) (db) (Entered: 03/01/2010) | |||
| 2010-03-27 | 106 | 0 | NOTICE of Consent of Defendant James M. Nicholson. Document filed by U.S. Securities and Exchange Commission. (Thomas, Jordan) (Entered: 03/27/2010) | |||
| 2010-03-27 | 107 | 0 | NOTICE of Consent of Defendant Westgate Capital Management LLC and the Relief Defendants. Document filed by U.S. Securities and Exchange Commission. (Thomas, Jordan) (Entered: 03/27/2010) | |||
| 2010-03-29 | 108 | 0 | JUDGMENT in favor of U.S. Securities and Exchange Commission against Westgate Capital Management, LLC, and James M. Nicholson. (Signed by Judge Richard M. Berman on 3/29/10) (Attachments: # 1 notice of right to appeal)(ml) (Entered: 03/30/2010) | |||
| 2010-03-30 | 109 | 0 | ORDER GRANTING LEAVE TO COMMENCE CERTAIN LITIGATION: It is hereby ordered that the Receiver is directed to file with the Clerk of the Court the attached Complaint with Summons against Mountain Capital Management, L.L.C., Mont Capital Partners, L.P., Mont Properties, L.L.C., Neil Monteleone and Lora Monteleone; and IT IS FURTHER ORDERED, that the case commenced with the attached Complaint shall be designated a "Related Case" to, and consolidated with, the above-captioned proceedings and the Clerk of the Court is directed to assign such case to the Hon. Richard M. Bennan, U.S.D.J. (Signed by Judge Richard M. Berman on 3/29/2010) (jpo) (Entered: 03/30/2010) | |||
| 2010-04-30 | 110 | 0 | MOTION for Attorney Fees : Fifth Interim Application Of Lee S. Richards, Receiver, For Fees And Reimbursement Of Expenses By The Receiver And His Advisors For The Period From January 1, 2010 Through March 31, 2010. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Newman, Craig) (Entered: 04/30/2010) | |||
| 2010-05-03 | 111 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 4/30/2010 re: The timekeeper narratives are submitted to the Court in unredacted form for in camera review. Counsel for the Receiver, Lee S. Richards, respectfully submits the narratives with the understanding that their submission of these materials is not intended to, nor does it, waive the attorney-client privilege, work product doctrine or any other applicable privilege and/or protection with respect thereto. ENDORSEMENT: Fifth Interim Fee Application [#110] is dismissed without prejudice. Motions terminated: 110 MOTION for Attorney Fees : Fifth Interim Application Of Lee S. Richards, Receiver, For Fees And Reimbursement Of Expenses By The Receiver And His Advisors For The Period From January 1, 2010 Through March 31, 2010 filed by Lee S. Richards. (Signed by Judge Richard M. Berman on 5/3/2010) (tro) (Entered: 05/03/2010) | |||
| 2010-05-21 | 112 | 0 | LETTER addressed to Judge Richard M. Berman from Patricia C. O'Prey dated 5/17/10 re: We write to update Your Honor with respect to the Confession of Judgment obtained by certain Westgate investors, Ann and Doris Cole-Hatchard in New York Supreme Court. Document filed by Lee S. Richards.(mro) (Entered: 05/21/2010) | |||
| 2010-06-01 | 113 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Donald J. Feerick, Jr dated 5/25/2010 re: Counsel writes to request permission to seek relief from the stay in order to prosecute the case before Judge Buchwald. ENDORSEMENT: Receiver in 09 civ. 1748 to respond by June 16, 2010. So Ordered. (Signed by Judge Richard M. Berman on 6/1/2010) (jfe) (Entered: 06/02/2010) | |||
| 2010-06-17 | 114 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 6/16/2010 re: The Receiver opposes Movants' Pre-Motion Request. ENDORSEMENT: Conference on 6/28/2010 at 3 pm. It's time to "fish or cut bait." And, these parties are tired of "suspense" and ready to move forward, as am I unless you can demonstrate clear cost/benefit. (Signed by Judge Richard M. Berman on 6/17/2010) (jpo) (Entered: 06/17/2010) | |||
| 2010-06-24 | 115 | 0 | ENDORSED LETTER: addressed to Judge Richrd M. Berman from Craig A. Newman dated 6/23/2010 re: Accordingly, for the reasons discussed above, the Receiver respectfully requests that the Court continue the conference currently set for June 28, 2010 for thirty days, or until July 28, 2010 or a date thereafter convenient for the Court. ENDORSEMENT: Conference on 6/28/10 is adjourned to 7/15/2010 at 9:30 a.m. So Ordered. (Signed by Judge Richard M. Berman on 6/24/2010) (js) (Entered: 06/25/2010) | |||
| 2010-07-15 | 116 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig Newman dated 7/14/10 re: Request to adjourn the 7/15 hearing to 7/22/10. ENDORSEMENT: Conference on 7/15/10 at 9:30 am is adjourned to 7/22/10 at 2:15 pm. ( Conference reset for 7/22/2010 at 02:15 PM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 7/14/10) (cd) (Entered: 07/15/2010) | |||
| 2010-07-16 | 117 | 0 | ORDER REGARDING DISTRIBUTION FROM COURT REGISTRY INVESTMENT SYSTEM (CRIS) ACCOUNT: Therefore, It is ordered that Clerk of the Court shall issue a check for $931, 724 plus any and all accrued interest thereon less applicable fees, to Lee S. Richards, as Receiver. So Ordered. (Signed by Judge Richard M. Berman on 7/15/2010) (js) (Entered: 07/16/2010) | |||
| 2010-07-16 | 118 | 0 | LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 7/2/10 re: Received submits that there is now a final and non appealable order with respect to the validity of the Confession of Judgment in the Receiver's favor. Document filed by Lee S. Richards.(mro) (Entered: 07/16/2010) | |||
| 2010-07-30 | 119 | 0 | MOTION for Attorney Fees : Sixth Interim Application For Fees And Reimbursement Of Expenses By The Receiver And His Advisors. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G (Part I), # 8 Exhibit G (Part II), # 9 Exhibit H, # 10 Exhibit I, # 11 Certificate of Service)(Newman, Craig) (Entered: 07/30/2010) | |||
| 2010-08-02 | 120 | 0 | SEALED DOCUMENT placed in vault.(nm) (Entered: 08/02/2010) | |||
| 2010-08-17 | 121 | 0 | LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 8/2/10 re: Although the March 3, 2009 Order requires that the Receiver file this Sixth Interim Fee Application, the Receiver has not seeking a ruling by the Court at this time with respect to the Sixth Interim Fee Application. Document filed by Lee S. Richards.(mro) (Entered: 08/17/2010) | |||
| 2010-09-07 | 122 | 0 | ORDER RELEASING CERTAIN REAL PROPERTY FROM THE RECEIVERSHIP ESTATE. IT IS ORDERED that the Real Property shall be released from the Receivership Estate and the Receiver shall have no further rights or obligations under the Receivership Orders with respect to the Real Property; and IT IS FURTHER ORDERED that the custody, control, possession, preservation and disposition, whether by sale or otherwise, of the Real Property shall be the sole responsibility of the United States Marshals Service pursuant solely to the Interlocutory Sale Orders, the Preliminary Forfeiture Order and any other applicable Orders entered in the Criminal Proceedings, and not the Receivership Orders; and IT IS FURTHER ORDERED that the Receiver is authorized and directed to execute and file the Discharge of Lis Pendens attached hereto as Schedule I any and all additional documents that the Receiver considers necessary, appropriate or convenient to effectuate the sale of the Real Property by the United States Marshals Service as contemplated in this Order. (Signed by Judge Richard M. Berman on 9/7/10); (djc) (Entered: 09/08/2010) | |||
| 2010-11-01 | 123 | 0 | MOTION for Attorney Fees : Seventh Interim Application For Fees And Reimbursement Of Expenses By The Receiver And His Advisors. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I (Part 1), # 10 Exhibit I (Part 2), # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Certificate of Service)(Newman, Craig) (Entered: 11/01/2010) | |||
| 2010-11-08 | 124 | 0 | ORDER; that in light of the Receiver's letters, dated August 2, 2010 and November 2, 2010, which state that the Receiver is not at this time seeking a ruling from the Court as to the Sixth and Seventh Interim Fee Applications, dated respectively, July 30, 2010 and November 1, 2010 ("Sixth and Seventh Fee Applications"), the Sixth and Seventh Fee Applications [## 119, 123] are dismissed without prejudice. (Signed by Judge Richard M. Berman on 11/8/10) (pl) (Entered: 11/08/2010) | |||
| 2010-11-22 | 125 | 0 | ORDER TO SHOW CAUSE WHY THE COURT SHOULD NOT APPROVE THE SETTLEMENT OF CERTAIN CLAW BACK CLAIMS: That any and all interested parties show cause, why an Order should not be issued approving the settlement of certain claw back claims set forth in the Memorandum including, without limitation, each of the Settlement Agreements and Mutual Releases, attached as Exhibits A though GG of the Declaration of Paul J. Devlin. Show Cause Hearing set for 12/15/2010 at 09:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman. Show Cause Response due by 12/8/2010. (Signed by Judge Richard M. Berman on 11/22/10) (db) (Entered: 11/22/2010) | |||
| 2010-11-22 | 126 | 0 | DECLARATION of Paul J. Devlin in Support re: 125 Order to Show Cause,,. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q, # 18 Exhibit R, # 19 Exhibit S, # 20 Exhibit T, # 21 Exhibit U, # 22 Exhibit V, # 23 Exhibit W, # 24 Exhibit X, # 25 Exhibit Y, # 26 Exhibit Z, # 27 Exhibit AA, # 28 Exhibit BB, # 29 Exhibit CC, # 30 Exhibit DD, # 31 Exhibit EE, # 32 Exhibit FF, # 33 Exhibit GG)(Newman, Craig) (Entered: 11/22/2010) | |||
| 2010-11-22 | 127 | 0 | MEMORANDUM OF LAW in Support re: 125 Order to Show Cause,, Why The Court Should Not Approve The Settlement Of Certain Claw Back Claims. Document filed by Lee S. Richards. (Newman, Craig) (Entered: 11/22/2010) | |||
| 2010-11-22 | 128 | 0 | ORDER: Receiver will move this Court, before the Honorable Richard M. Berman, United States Courthouse, 500 Pearl Street, New York, New York 10007, Courtroom 21B on December 15, 2010 at 9:00 am, for an order approving the Receiver's settlements with each of Bank of America, N.A. and Glorious Sun Robert Martin, L.L.C., and for such other relief as the Court deems just and proper. Opposition papers, if any, shall be filed with the Court andserved on counsel to the Receiver, Richards Kibbe & Orbe LLP, One World Financial Center, New York, New York 10281, so as to be received no later than 5:00 pm, on December 8, 2010. Deadlines as to (Responses due by 12/8/2010) (Signed by Judge Richard M. Berman on 11/22/10) (db) (Entered: 11/22/2010) | |||
| 2010-11-23 | 129 | 0 | MOTION to Approve The Settlement Agreements Between The Receiver And Bank Of America, N.A. And Glorious Sun Robert Martin L.L.C.. Document filed by Lee S. Richards. Return Date set for 12/15/2010 at 09:00 AM.(Newman, Craig) (Entered: 11/23/2010) | |||
| 2010-11-23 | 130 | 0 | DECLARATION of Paul J. Devlin in Support re: 129 MOTION to Approve The Settlement Agreements Between The Receiver And Bank Of America, N.A. And Glorious Sun Robert Martin L.L.C... Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C (Part 1), # 4 Exhibit C (Part 2), # 5 Exhibit D, # 6 Exhibit E, # 7 Errata F)(Newman, Craig) (Entered: 11/23/2010) | |||
| 2010-11-23 | 131 | 0 | DECLARATION of Lawrence J. Reiss in Support re: 129 MOTION to Approve The Settlement Agreements Between The Receiver And Bank Of America, N.A. And Glorious Sun Robert Martin L.L.C... Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A (Part 1), # 2 Exhibit A (Part 2), # 3 Exhibit B, # 4 Exhibit C)(Newman, Craig) (Entered: 11/23/2010) | |||
| 2010-11-23 | 132 | 0 | MEMORANDUM OF LAW in Support re: 129 MOTION to Approve The Settlement Agreements Between The Receiver And Bank Of America, N.A. And Glorious Sun Robert Martin L.L.C... Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(Newman, Craig) (Entered: 11/23/2010) | |||
| 2010-12-06 | 133 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 12/3/10 re: Counsel for the Receiver writes to request that the Court schedule a pre-motion conference with respect to the Receiver's proposed re-filing of his Fourth, Fifth, Six and Seventh Interim Fee Applications. ENDORSEMENT: We can discuss the proposed motions at the conference on 12/15/10. SO ORDERED. (Signed by Judge Richard M. Berman on 12/6/10) (mro) Modified on 12/7/2010 (mro). (Entered: 12/07/2010) | |||
| 2010-12-15 | 134 | 0 | ORDER APPROVING SETTLEMENT AGREEMENTS BETWEEN THE RECEIVER AND BANK OF AMERICA, N.A. AND GLORIOUS SUN ROBERT MARTIN, L.L.C.: It is hereby ordered that the Settlement Agreement and Mutual Release between Bank of America, N.A. and the Receiver, attached as Exhibit A to the Devlin Declaration, is approved, as set forth in this Order. The Settlement Agreement and Mutual Release between Glorious Sun Robert Martin, L.L.c. and the Receiver, attached as Exhibit B to the Devlin Declaration, is approved. (Signed by Judge Richard M. Berman on 12/15/2010) (jpo) Modified on 12/15/2010 (jpo). (Entered: 12/15/2010) | |||
| 2010-12-15 | 135 | 0 | ORDER APPROVING THE SETTLEMENT OF CERTAIN CLAW BACK CLAIMS, that the settlements set forth in the Memorandum between the Receiver and the following individuals and entities: Jeff Adams, Robert Angione, Jack Berger, Tim Capowski, Carnegie Fund, L.P., Lisa Clancy-Vieira, Maureen Davis, Jeff Franklin, John and Megan Gillespie, Richard Jacowleff, Thomas and Lisa Jocelyn, Joshua and Michelle Kurzban, Sharon Lissauer, McGraw Communications, Inc., Arleen Miller, Mont Capital Partners, L.P., Mountain Capital Management, L.L.C., Mont Properties, L.L.C., Neil Monteleone, Lora Monteleone, Michael Morenberg, Kevin and Tarra Nicholson, Bhailal and Pushpa Patel, Kirit and Madhu Patel, Kenneth Perlman, Nancy Rivera, Michael and Mary Romano, Paul and Jacqueline Rowley, Robert Sherman, Stephen Shuster, Eileen Stallone, Shawn Sweeney, Mary Jo Tobin, Timothy Turpin, Jill Susan Young, Nicko Feinberg, Michael Olbermann, Pranav Patel, Paul and Marilyn Tretiak, the American Cancer Society, the Angel of Hope Foundation, the Avon Walk for Breast Cancer, Cooley's Anemia Foundation, Crohn's and Colitis Foundation of America, FDNY Foundation; Jason Kidd Foundation; Nyack Hospital, National Multiple Sclerosis Society, and the Ronald McDonald House (collectively, the "Settlements"), are hereby approved. FURTHER that the Receiver is authorized to take any and all actions that are reasonable or necessary to facilitate or effectuate the Settlements without further Order of this Court. (Signed by Judge Richard M. Berman on 12/15/2010) (lnl) (Entered: 12/15/2010) | |||
| 2010-12-15 | 136 | 0 | ORDER GRANTING THE RECEIVER'S FOURTH, FIFTH, SIXTH, AND SEVENTH INTERIM FEE APPLICATIONS, that the Receiver and his counsel, RK&O, are awarded fees in the amount of $1,003,109 and reimbursement of expenses in the amount of $111,081.77 pursuant to the Interim Fee Applications, such sums to be paid out of the net proceeds from the sale by the Receiver of the real property located at 120 Meadow Lane, Southampton, New York (the "Southampton Sale Proceeds") and proceeds from the resolution of claw back claims (the "Claw Back Proceeds"); FURTHER that Alix Partners, the Receiver's forensic accountants, is awarded fees in the amount of $235,522.40 and reimbursement of expenses in the amount of $216.61 pursuant to the Interim Fee Applications, such sums to be paid out of the Southampton Sale Proceeds and the Claw Back Proceeds; FURTHER that, Thompson Hine, the Receiver's real estate counsel, is awarded fees in the amount of $7,136.50 and reimbursement of expenses in the amount of $58.23 pursuant to the Interim Fee Applications, such sums to be paid out of the Southampton Sale Proceeds and the Claw Back Proceeds; and FURTHER that, the Receiver is hereby authorized to take any and all actions that are reasonable or necessary to effect or facilitate the disbursements authorized hereby including, without limitation, causing funds to be transferred to the payees identified herein, including the Receiver's law firm, RK&O, from one or more of the accounts held at Citibank with an account number ending in 6093 and a brokerage account held at Citigroup Global Markets, Inc. with an account number ending in 087, each held in the name of the Receiver for the benefit of the Receivership Estate. (Signed by Judge Richard M. Berman on 12/15/2010) (lnl) (Entered: 12/15/2010) | |||
| 2011-01-24 | 137 | 0 | ENDORSED LETTER: addressed to Judge Richard M. Berman from Craig A. Newman dated 1/20/2011 re: Counsel for Receiver, Lee S. Richards, in this matter. Counsel write to provide the Court with a brief update with respect to the Receiver's progress in obtaining payment from those claw back targets who entered into settlement agreements with the Receiver, as well as the status of the final unresolved claw back claim. As approved by Your Honor on December 15, 2010, the Receiver entered into settlement agreements with 45 claw back targets. See Order Approving the Settlement of Certain Claw Back Claims, SEC v. Nicholson, et al., Case No. 09-cv-1748 (RMB) (S.D.N.Y Dec. 15, 2010) [Dkt # 135]. All but two of the claw back targets have paid the required settlement amounts to the Receiver. With regard to the two claw back targets who have defaulted on their payment obligations, Counsel are currently assessing the most expeditious and cost-effective method of proceeding and will report back to the Court with an update shortly. All other provisions as set forth in this order.. ENDORSEMENT: The parties are directed to appear before the Court for a status conference on 2/22/2011 at 10:00 a.m. in Courtroom 21B, 500 Pearl Street, New York, NY. So Ordered. (Signed by Judge Richard M. Berman on 1/21/2011) (js) (Entered: 01/24/2011) | |||
| 2011-01-31 | 138 | 0 | MOTION for Attorney Fees : Eighth Interim Application For Fees And Reimbursement Of Expenses By The Receiver And His Advisors. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I (part1), # 10 Exhibit I (part2), # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Certificate of Service)(Newman, Craig) (Entered: 01/31/2011) | |||
| 2011-02-02 | 139 | 0 | ORDER: In light of the Receiver's letter, dated February 1, 2011, which states that "the Receiver is not requesting that the Court rule on the Eighth Interim Fee Application at this time," and the Court's understanding that the Receiver's work was done (or close to done), the Eighth Interim Fee Application, dated January 31, 2011 [#138], is dismissed without prejudice. ORDER dismissing 138 Motion for Attorney Fees. (Signed by Judge Richard M. Berman on 2/2/11) (db) (Entered: 02/02/2011) | |||
| 2011-02-17 | 140 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 2/16/2011 re: Requesting that the Conference currently scheduled for February 22, 2011, be adjourned without date and that Receiver be permitted to report back to the Court within two weeks. ENDORSEMENT: Status conference adjourned to 3/2/2011 at 11:00 a.m. (Signed by Judge Richard M. Berman on 2/17/2011) (jpo) (Entered: 02/17/2011) | |||
| 2011-02-23 | 141 | 0 | ENDORSED LETTER addressed to Richard M. Berman from Craig A. Newman, dated 2/22/2011, re: We represent the Receiver, Lee S. Richards, in this matter. We are writing to request that the status conference scheduled by the Court in this matter for March 2, 2011 at 11 a.m. be rescheduled because I will be out of town on another matter that date. We respectfully request that the conference be rescheduled to either Friday, March 4, 2011 or any day the week of March 7, 2011, if that is acceptable to Your Honor. ENDORSEMENT: The conference on 3/2/2011 is adjourned to 3/8/2011 at 10:00 a.m. SO ORDERED. (Status Conference set for 3/8/2011 at 10:00 AM before Judge Richard M. Berman) (Signed by Judge Richard M. Berman on 2/23/2011) (lnl) (Entered: 02/24/2011) | |||
| 2011-03-22 | 142 | 0 | MOTION for Settlement : Notice of Motion For An Order Approving The Settlement Of The Romano Claw Back Claim. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(Newman, Craig) (Entered: 03/22/2011) | |||
| 2011-03-22 | 143 | 0 | DECLARATION of Paul J. Devlin in Support re: 142 MOTION for Settlement : Notice of Motion For An Order Approving The Settlement Of The Romano Claw Back Claim.. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Certificate of Service)(Newman, Craig) (Entered: 03/22/2011) | |||
| 2011-03-22 | 144 | 0 | MEMORANDUM OF LAW in Support re: 142 MOTION for Settlement : Notice of Motion For An Order Approving The Settlement Of The Romano Claw Back Claim.. Document filed by Lee S. Richards. (Attachments: # 1 Certificate of Service)(Newman, Craig) (Entered: 03/22/2011) | |||
| 2011-03-31 | 145 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 3/30/11 re: counsel to the Receiver respectfully request that the Court permit the Receiver to consolidate his Ninth Interim Fee Application, now due on May 1, 2011, with his Final Report and Fee Application. ENDORSEMENT: Application granted. (Signed by Judge Richard M. Berman on 3/31/11) (pl) (Entered: 03/31/2011) | |||
| 2011-04-05 | 146 | 0 | ORDER that the Settlement Agreement, between Kevin Romano, JoAnn Romano, the US Attorney's Office for the SDNY, and the Receiver, is approved. The Receiver is authorized to take any and all actions that are reasonable to facilitate or effectuate the Settlement Agreement without further Order of this Court. (Signed by Judge Richard M. Berman on 4/6/11) (cd) (Entered: 04/06/2011) | |||
| 2011-05-05 | 147 | 0 | FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - FINAL MOTION for Report and Recommendations Final Report, Accounting, Motion For An Order Terminating The Receivership And Final Fee Application. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M part 1, # 14 Exhibit M part 2, # 15 Exhibit N part 1, # 16 Exhibit N part 2, # 17 Certificate of Service)(Newman, Craig) Modified on 5/6/2011 (ldi). (Entered: 05/05/2011) | |||
| 2011-05-06 | 148 | 0 | MOTION Receiver requests that the Court terminate the Receivership, enter the Discharge Order and grant the Receiver's Eighth and Final Fee Applications, together with such other and further relief as may be just and proper.. Document filed by Lee S. Richards. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M (Part 1), # 14 Exhibit M (Part 2), # 15 Exhibit N (Part 1), # 16 Exhibit N (Part 2), # 17 Certificate of Service)(Newman, Craig) (Entered: 05/06/2011) | |||
| 2011-05-17 | 149 | 0 | ORDER TERMINATING THE RECEIVERSHIP AND APPROVING THE RECEIVER'S FINAL FEE APPLICATION granting 148 Motion and the Receivership is hereby terminated and as further set forth in this document. This Court retains exclusive jurisdiction to enforce the terms of this order.. (Signed by Judge Richard M. Berman on 5/17/11) (cd) (Entered: 05/17/2011) | |||
| 2011-05-19 | 150 | 0 | ORDER OF DISCONTINUANCE, that the above-entitled action be, and the same hereby is, discontinued; provided, however, that the parties may restore the matter to the calendar of the undersigned upon good cause shown in writing on or before June 2, 2011. (Signed by Judge Richard M. Berman on 5/19/2011) (lnl) (Entered: 05/19/2011) | |||
| 2011-05-24 | 151 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Doris Cole-Hatchard, Not dated, re: I am a victim in the James Nicholson/Westgate Capital case. I recently received a notice regarding a restitution order in the case indicating that the amount ordered was $213,298.04. The amount is incorrect, as it should be $290,754 for me and my six immediate family members, as outlined below. I am hoping you can assist me in getting this corrected. ENDORSEMENT: Receiver to respond by 5/31/11 @ noon. SO ORDERED. (Signed by Judge Richard M. Berman on 5/24/2011) (lnl) (Entered: 05/24/2011) | |||
| 2011-05-31 | 152 | 0 | ENDORSED LETTER addressed to Judge Richard M. Berman from Craig A. Newman dated 5/27/11 re: counsel for Receiver writes, that at the Court's requests, we write in response to a letter to Your Honor from Doris Cole-Hatchard dated May 24, 2011. ENDORSEMENT: The Court requests the AUSA to respond to Ms. Cole-Hatchards letter dated 5/24/11 by Friday, June 3rd. (Signed by Judge Richard M. Berman on 5/31/11) (pl) Modified on 5/31/2011 (pl). (Entered: 05/31/2011) |