U.S. Commodity Futur, et al v. First Lexington Grp, et al
| U.S. Commodity Futures Trading Commission |
| DEF, First Lexington Group, LLC,, Joseph A. Grunfeld and Natalia Roumiantseau |
| Esq. Brian Rosner |
| 1:2003cv09124 |
| November 18, 2003 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| George B Daniels |
| Securities/Commodities |
| 7 U.S.C. § 6 |
| None |
Docket Report
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This docket was last retrieved on August 15, 2017. A more recent docket listing may be available from PACER.
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Filing 91
ENDORSED LETTER: addressed to Judge George B. Daniels from Natalie A. Napierala dated 8/8/2017 re: Counsel writes set forth herein please find the Receiver's supplemental distribution plan based upon certain Defendants' court-ordered restitution payments and the proceeds of certain personal and real property, which is directed to the identified former clients/victims ("Clients") of trade currency USA, LLC ("ITC") and Walter Scott Lev & Associates, LLC ("WSL") ("Proposed Restitution Plan II"). As explained in Section VII.A., the Clients of Madison Deane & Associates, Inc. ("MD") will also receive a flat $15.00 payment under the Proposed Restitution Plan II. For this Court's convenience, set forth below please find four proposed orders authorizing: i) the transfer of $11,402 from the MD Receivership Account to the Receivership Operating Account for payment of the Subsequent MD Check; ii) the transfer of thirty percent (30%) of the balance in each of the WSL Receivership Account, the ITC Receivership Account, and the MD Receivership Account, respectively, to the Receivership Operating Account; iii) the approval of the Proposed Restitution Plan II for payment to the WSL and ITC Clients; and iv) the approval of the Proposed Restitution Plan II for a flat $15.00 payment to the MD Clients. ENDORSEMENT: This Court approves the Receiver's request to transfer $11,402, which represents the Receiver's payment of the Subsequent MD Check, from the Madison Deane & Associates, Inc. Receivership Account to the Receivership Operating Account. This Court approves the Receiver's request to transfer thirty percent (30%) from each of the Walter Scott Lev & Associates, Inc. Receivership Account, the Itradecurrency USA, LLC Receivership Account, and the Madison Deane & Associates, Inc. Receivership Account, respectively, to the Receivership Operating Account. This Court approves the Receiver's Proposed Restitution Plan II for the payment of 4.15% of net investments to the Walter Scott Lev & Associates, LLC Clients, and the payment of 7.815% of net investments to the Itradecurrency USA, LLC Clients. This Court approves the Receiver's Proposed Restitution Plan II for a flat $15.00 payment to the Madison Deane & Associates. Inc. Clients. So Ordered. (Signed by Judge George B. Daniels on 8/15/2017) (js)
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Filing 90
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 1/4/2016 re: Receiver's 41st Request for Compensation. ENDORSEMENT: Payment of the Receiver's Forty-First Request for Compensation is approved as outlined in the Receiver's January 4, 2016 letter to this Court. (Signed by Judge George B. Daniels on 1/7/2016) (tro) Modified on 1/13/2016 (tro).
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Filing 89
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 11/10/2014 re: Enclosed you will find the Receiver's supplemental distribution plan based upon certain Defendants' court-ordered restitution payments and the proceeds of their restrained personal and real property, which is directed to the Madison Deane & Associates, Inc. et al. ("MD") and Walter Scott Lev & Associates, LLC ("WSL") former clients/victims ("Proposed Restitution Plan I"). ENDORSEMENT: The Receiver is directed to allocate and distribute assets in accordance with the Proposed Restitution Plan I described in the Receiver's November 10, 2014 letter to this Court. This Court agrees with the Receiver's proposal as set forth in the November 10, 2014 letter to this Court that Banks will receive restitution proceeds only when all identified WSL and ITC victims have been fully compensated. Payment of the Receiver's Fortieth Request for Compensation is approved as described in the Receiver's November 10, 2014 letter to this Court. (Signed by Judge George B. Daniels on 12/11/2014) (djc) Modified on 12/11/2014 (djc).
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Filing 88
NOTICE OF CHANGE OF ADDRESS by Natalie Ann Napierala on behalf of Brian Rosner. New Address: CARLTON FIELDS JORDEN BURT, P.A., 405 LEXINGTON AVE., 29TH FLOOR, NEW YORK, NEW YORK, US 10174, 212-785-2577. (Napierala, Natalie)
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Filing 87
NOTICE OF CHANGE OF ADDRESS by Natalie Ann Napierala on behalf of Brian Rosner. New Address: CARLTON FIELDS, P.A., LEXINGTON AVE., 29TH FLOOR, NEW YORK, NEW YORK, UNITED STATES 10174, 212-785-2577. (Napierala, Natalie)
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Filing 86
ENDORSED LETTER addressed to Judge George B. Daniels, from Brian Rosner, dated 5/29/2013, re: the Receiver's Thirty-Ninth Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above referenced matters. This Request for Compensation covers services rendered for an eight-month period between September 1, 2012 and April 30, 2013. The Thirty-Ninth Request for Compensation is: Carlton Fields, PA. (formerly Rosner & Napierala, LLP): $37,129.23; Joseph Merlino (expert): $18,811.00; Malesardi, Quackenbush, Swift, & Company LLC: $300.00. ENDORSEMENT: Payment of the Receiver's Thirty-Ninth Request for Compensation is approved in the amounts submitted. The transfer of twenty percent (20%) from Defendant Anthony Iannuzzi's IRA account to the Receiver's operating account as discussed in Part II of the Receiver's May 29, 2013 letter is approved; The deduction of costs directly associated with the WSL project from the WSL receivership account in the amount of $7,476.50 to cover certain expenses as discussed in Part IV of the Receiver's May 29, 2013 letter is approved. SO ORDERED. (Signed by Judge George B. Daniels on 6/4/2013) (ja)
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Filing 85
ENDORSED LETTER addressed to Judge George B. Daniels, from Natalie A. Napierala, dated 10/9/2012, re: Rosner & Napierala, LLP ("RNLLP") has served as counsel to the Receiver, Brian Rosner, Esq., in the above-referenced cases, since November 2003. Please be advised that, effective October 1, 2012, RNLLP merged with and into Carlton Fields, P.C. ("Carlton Fields"). On such date, RNLLP ceased to exist as a separate entity, and Carlton Fields has succeeded the firm as counsel to the Receiver in each of the above cases. The same RNLLP attorneys, legal staff and expert continue to serve as the Receiver's counsel, although now with Carlton Fields. We respectfully request that Carlton Fields be substituted as counsel of record to the Receiver, Brian Rosner, effective immediately. ENDORSEMENT: Carlton Fields is hereby substituted as counsel of record to the Receiver, Brian Rosner, in each of the above-named cases. SO ORDERED. (Signed by Judge George B. Daniels on 10/12/2012) (ja)
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Filing 84
ENDORSED LETTER addressed to Judge George B. Daniels from Heather J. Haase dated 9/06/2012 re: Enclosed please find the Receiver's Thirty-Eighth Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request for Compensation covers services rendered for a more than four-month period between April 16, 2012 and August 31, 2012. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 9/11/2012) (ama)
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Filing 83
ENDORSED LETTER addressed to Judge George B Daniels from Natalie A Napierala dated 4/17/2012 re: Receiver's 37th request for compensation for the time period of 9/1/11 to 4/15/2012. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 4/23/2012) (cd) (Main Document 83 replaced on 4/23/2012) (cd).
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Filing 82
NOTICE OF APPEARANCE by Natalie Ann Napierala on behalf of Brian Rosner (Napierala, Natalie)
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Filing 81
ENDORSED LETTER addressed to Judge George B. Daniels from Heather J. Haase dated 9/13/2011 re: Enclosed please find the Receiver's Thirty-Sixth Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request For Compensation covers services rendered for a three-month period between June 1 and August 31, 2011. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Thirty-Sixth Request for Compensation is: Rosner & Napierala, LLP: $24,473.06; Joseph Merlino (expert): $23,045.00; Thomas Flannery (CPA): $7,328.96. Payment of the Receiver's Thirty-Sixth Request for Compensation is approved in the amounts submitted. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 9/16/2011) (djc) Modified on 9/16/2011 (djc).
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Filing 80
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 6/21/2011 re: Receiver's thrity-fifth request for compensation. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 6/28/2011) (jar)
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Filing 79
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 11/2/2010 re: Counsel writes to advise that they believe that, to the extent that the Revised Preliminary Plan meets the Court's approval, it would be advisable for the Court to enter a final approval of such plan at this time. Once the Court does so, counsel will commence allocating assets in accordance with the Revised Preliminary Plan. ENDORSEMENT: The Court having considered all objections and the responses of the Receiver, the Receiver is directed to allocate and distribute assets in accordance with the revised preliminarily approved asset-allocation plan as described in the Receiver's November 4, 2009 letter to the Court. So Ordered. (Signed by Judge George B. Daniels on 6/3/2011) (jfe)
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Filing 78
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala, dated 2/24/2011, re: Enclosed please find the Receiver's Thirty-Fourth Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request for Compensation covers services rendered for a four-month period between October 1, 2010 and January 31, 2011. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. ENDORSEMENT: Payment of the Receiver's Thirty-Fourth Request for Compensation is approved in the amounts submitted. SO ORDERED. (Signed by Judge George B. Daniels on 3/4/2011) (lnl)
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Filing 77
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 10/5/10 re: Enclosed please find the Receiver's Thirty-Third Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request for Compensation covers services rendered for a four-month period between June 1 and September 30, 2010. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Thirty-Third Request for Compensation is: Rosner & Napierala, LLP: $35,054.13. Joseph Merlino (expert): $19,023.18. Thomas Flannery (CPA): $516.00. ENDORSEMENT: Payment of the Receiver's Thirty-Third Request for Compensation is approved in the amounts submitted. SO ORDERED. (Signed by Judge George B. Daniels on 11/22/10) (db)
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Filing 76
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 11/4/2009 re: Requesting that clients be classified by introducing brokers; adjustments be made between amounts available for distribution to particular entities' clients to account for client funds transferred between entities; all clients (including clients with new client accounts and unpaid withdrawals) be treated the same; and that all clients receive pro rata distributions, with such pro rata distributions being based upon net investments (recorded deposit less recorded withdrawals). ENDORSEMENT: The Court hereby authorizes the Receiver to circulate the revised preliminarily approved asset- allocation plan (as described in the Receiver's November 4, 2009 letter to the Court set forth above) to the relevant creditors. The Court further hereby authorizes the Receiver to establish a procedure and deadline for objecting to the revised preliminarily-approved asset-allocation plan. (Signed by Judge George B. Daniels on 8/19/2010) (jpo)
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Filing 75
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 6/3/10 re: counsel for Receiver writes that enclosed please find the Receiver's Thirty-Second Request for Compensation. This Request for Compensation covers services rendered for a three-month period between March 1 and May 31, 2010. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Thirty-Second Request for Compensation is: Rosner & Napierala, LLP: $11,183.30, Joseph Merlino (expert): $3,050.00. ENDORSEMENT: Payment of the Receiver's Thirty-Second Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 7/29/10) (pl) Modified on 7/30/2010 (pl). Modified on 7/30/2010 (pl).
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Filing 74
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 5/3/2010 re: Enclosed please find the Receiver's Thirty-First Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request for Compensation covers services rendered for a two-month period between January 1 and February 28, 2010. ENDORSEMENT: Payment of the Receiver's Thirty-First Request for Compensation is approved in the amounts submitted. SO ORDERED. (Signed by Judge George B. Daniels on 4/28/2010) (tve) (tve). Modified on 5/5/2010 (tve).
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Filing 73
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 1/11/2010 re: Counsel Request for Compensation is: Rosner & Napierala, LLP: $32,964.87, Joseph Merlino (expert): $13,350.00. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 1/28/2010) (jfe)
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Filing 72
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 10/23/2009 re: The twenty-ninth request for compensation is: Rosner & Napierala, LLP: $24, 121.91 and Joseph Merlino (expert): $20,619.89. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 11/12/2009) (jpo)
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Filing 71
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 8/13/09 re: Enclosed please find the Receiver's Twenty-Eighth Request for Compensation, which we are submitting pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. This Request for Compensation covers services rendered for a three-month period between May 1, 2009 and July 31, 2009. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Twenty-Eighth Request for Compensation is: Rosner & Napierala, LLP: $34,674.34; Joseph Merlino (expert): $16,457.00. ENDORSEMENT: Payment of the Receiver's Twenty-Eighth Request for Compensation is approved in the amounts. (Signed by Judge George B. Daniels on 8/24/09) (ae)
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Filing 70
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 6/19/09 re: Proposed Asset-Allocation Plan for Distributing Assets of the Entities placed in Receivership. ENDORSEMENT: The Court hereby authorizes the Receiver to circulate the preliminarily approved asset allocation plan (as described in the Receiver's June 22, 2009 letter to the Court) to all clients and parties of record. The Court further hereby authorizes the Receiver to establish a procedure and deadline for objecting to the preliminarily approved asset-allocation plan. SO ORDERED. (Signed by Judge George B. Daniels on 8/4/09) (db) Modified on 8/4/2009 (db).
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Filing 69
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie Napierala dated 5/22/09 re: Request for approval of Receiver's 27th Request for Compensation. ENDORSEMENT: Payment of the Receiver's 27th Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 6/18/09) (cd)
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Mailed notice of Right to Appeal to Attorney(s) of Record: Sheila L. Marhamati, Stephen Jay Obie, Steven Ringer, Joseph Rosenberg. (mro)
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Filing 68
CLERK'S JUDGMENT That for the reasons stated in the Court's Memorandum Decision and Order dated March 24, 2009, the CFTC's application for reconsideration of its motion for a default judgment is denied, and in the alternative, the CFTC's motion for summary judgment is granted. (Signed by J. Michael McMahon, clerk on 3/29/09) (Attachments: #1 notice of right to appeal)(ml)
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Filing 67
MEMORANDUM DECISION AND ORDER: The Court has examined each of defendant's objections to the relief sought by the CFTC, and find them all lacking in merit. The injunctive relief, civil monetary fine, and other ancillary equitable relief requested by the CFTC is warranted. The requested relief is consistent with the judgment entered by the court as a result of defendant's conviction and sentence in the criminal proceedings. The CFTC's application for reconsideration of its motion for a default judgment is denied. In the alternative, the CFTC's motion for summary judgment is granted. (Signed by Judge George B. Daniels on 3/24/2009) (jfe)
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Transmission to Judgments and Orders Clerk. Transmitted re: #67 Order on Motion for Summary Judgment, Order on Motion for Reconsideration,,,,,,,, to the Judgments and Orders Clerk. (jfe)
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Filing 66
MEMORANDUM IN REPLY TO DEFENDANT JOSEPH GRUNFELD'S OPPOSITION TO PLAINTIFF'S MOTION FOR RECONSIDERATION OF DEFAULT JUDGMENT WITH INJUNCTIVE RELIEF, A CIVIL MONETARY PENALTY AND ANCILLARY EQUITABLE RELIEF. Document filed by U.S. Commodity Futures Trading Commission. (dle)
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Filing 65
MOTION for Reconsideration of Plaintiff's Motion for Default Judgment with Injunctive Relief, a Civil Monetary Penalty and Ancillary Equitable Relief Against Defendant. Document filed by U.S. Commodity Futures Trading Commission.(djc)
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Filing 64
MOTION for Reconsideration of Plaintiff's Motion for Default Judgment with Injunctive Relief, a Civil Monetary Penalty and Ancillary Equitable Relief Against Defendant Joseph Grunfeld. Document filed by U.S. Commodity Futures Trading Commission.(djc)
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Filing 63
DECLARATION of Philip D. Rix in Support of Plaintiff's application for Reconsideration of Entry of Judgment by Default wit Injunctive Relief, Civil Monetary Penalty, and Ancillary Equitable Relief Against Defendant Joseph Grunfeld. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 62
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A, Napierala dated 9/3/08 ENDORSEMENT: Approving the settlement agreement by and between the New York States Department of Taxation and Finance and the Receiver, Brian Rosner, Esq.. (Signed by Judge George B. Daniels on 10/6/08) (mme)
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Filing 61
ORDER denying without prejudice 50 Motion for Entry of Default ; denying without prejudice 53 Motion for Default Judgment; denying 53 Motion. It is further ordered that the Pro Se Office seek counsel for defendant in accordance with the Pro Bono Panel's procedures. Defendant's case will be placed on a list that the Pro Se Office circulates to attorneys who are members of the Pro Bono panel of the Court....Pro se defendant, or counsel acting on his behalf, shall have 90 days from the date of this Order to file opposition papers tothe summary judgment motion. If defendant fails to timely file an opposition to the summary judgment motion on or before 11/7/08, or otherwise fails to actively defend in this matter, this Court will reconsider a renewed application by plaintiff for a default judgment. (copy forwarded to the Pro Se Office). (Signed by Judge George B. Daniels on 8/5/08) (cd)
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Filing 60
NOTICE to Pro Se Litigant who Opposes a Motion for Summary Judgment. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 59
MEMORANDUM in Reply to Defendant Grunfeld's Opposition to Plaintiff's Application for Entry of Judgment by Default with Injunctive Relief, Civil Monetary Penalty, and Ancillary Equitable Relief. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 58
MEMORANDUM OF LAW in Support re: 57 MOTION for Summary Judgment.. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 57
MOTION for Summary Judgment. Document filed by U.S. Commodity Futures Trading Commission.(djc)
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Filing 56
RULE 56.1 STATEMENT of Undisputed Material Facts in support of Plaintiff's Motion for Summary Judgment against Defendant Joseph Grunfeld. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 55
DECLARATION of Joseph Rosenberg in Reply to Defendant Grunfeld's Opposition to Plaintiff's Application for Entry of Judgment by Default with Injunctive Relief Civil Monetary Penalty, and Ancillary Equitable Relief. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 54
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 6/9/08 re: Enclosed is the Receiver's Twenty-Fourth Request for Compensation, which is submitted pursuant to Paragraph IX of the ex parte statutory orders entered on 11/18/03. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Twenty-Fourth Request for Compensation is: Rosner & Napierala, LLP: $29,080.66; Joseph Merlino (expert): $14,869.00. ENDORSEMENT: Payment of the Receiver's Twenty-Fourth Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 6/20/08) (tro)
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Filing 53
MOTION for Default Judgment with MOTION for civil monetary penalty and Ancillary Equitable Relief against Defendant Joseph Grunfeld. Document filed by U.S. Commodity Futures Trading Commission.(djc)
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Filing 52
DECLARATION of Philip D. Rix in Support re: 50 MOTION for Entry of Default as to Defendant Joseph Grungeld. Document filed by U.S. Commodity Futures Trading Commission. (jmi)
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Filing 51
MEMORANDUM OF LAW in Support re: 50 MOTION for Entry of Default as to Defendant Joseph Grungeld.. Document filed by U.S. Commodity Futures Trading Commission. (jmi)
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Filing 50
MOTION for Entry of Default Judgment as to Defendant Joseph Grungeld. Document filed by U.S. Commodity Futures Trading Commission.(jmi)
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Filing 49
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 3/4/08 re: Receiver's Twenty-third request for compensation. ENDORSEMENT: Approval of the Settlement Agreement by and between the IRS and the Receiver, Brian Rosner, Esq. and the Settlement Agreement by and between the New York State Department of Labor and the Receiver, Brian Rosner, Esq., So Ordered. (Signed by Judge George B. Daniels on 3/28/08) (djc)
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Filing 48
ORDER AND JUDGMENT FOR ENTRY OF INJUNCTIVE RELIEF, DAMAGES AND ANCILLARY EQUITABLE RELIEF AGAINST FIRST LEXINGTON GROUP, LLC #08,2465 granting 41 Motion for entry of injunctive relief, damages and ancillary equitable relief against defendant First Lexington Group, LLC. The Court hereby GRANTS the Commissioner's Application against FLG and enters finds of fact and conclusions of law relevant to the allegations in the Complaint. The Court further grants the Commission's request for injunctive relief, damages, restitution and disgorgement, Accordingly, the Court issues the Order herein against FLG. FLG is further permanently restrained, enjoined and prohibited from directly or indirectly participating in the acts listed herein. FLG shall pay a civil monetary penalty in the amount of $240,000, consisting of the two substantive violations of the Act set forth in the Complaint plus post judgment interest. FLG shall pay disgorgement to Brian Rosner, Esq. the Court-appointed Receiver, by electronic funds transfer, or by U.S. postal money order, certified check, bank cashier's check or bank money order, under cover letter that identifies Defendant and the name and Docket number of the proceedings. FLG shall simultaneously transmit a copy of the cover letter and the form of payment to the Director and to the Office of Cooperative Enforcement, Division of Enforcement, U.S. Commodity Futures Trading Commission. FLG shall pay and be liable for restitution to defrauded customers in the amount of $2,226,063.68 plus pre-judgment and post-judgment interest and as further set forth in this Order. (Signed by Judge George B. Daniels at 4:00pm on 3/24/08) (tro) Modified on 3/31/2008 (tro). Modified on 2/5/2009 (ml).
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Filing 47
ENDORSED LETTER addressed to Judge George B. Daniels from Natalia A. Napierala dated 11/14/07 re: The Twenty-Second (22nd) Request for Compensation is: Rosner & Napierala, LLP, July-October 2007: $28,130.37; Joseph Merlino (expert), July-October 2007: $12,592.50. ENDORSEMENT: Payment of the Receiver's Twenty-Second (22nd) Request for Compensation is approved in the amounts submitted. SO ORDERED. (Signed by Judge George B. Daniels on 12/10/07) (db)
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Filing 46
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie Napierala dated 7/3/07 re: counsel for Receiver submits 21st request for compensation as further set forth herein. ENDORSEMENT: Payment of the Receiver's Twenty First Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 8/9/07) (dle)
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Filing 45
ENDORSED LETTER addressed to Judge George B. Daniels from Counsel to the Receiver Natalie A. Napierala dated 5/4/2007 re: to the Receiver's Twentieth Request for Compensation, which is submitted pursuant to Paragraph IX of the ex parte st atutory restrating orders entered on November 18, 2003 in the above-referenced matters. Should the enclossed bills be approved for payment, such payment will be made from the Receiver's opeating account. The Receiver's Twentieth Request for Compensation is: Rosener & Napierala, LLP: March 2007: $12,685.85; April 2007: $10,066.00; Joseph Merlino (expert): March 2007: $ 8,134.00; and April 2007: $4,617.00. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 5/31/2007) (jmi)
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Filing 44
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 3/14/2007 re: to request dor compensation, which is submitted pursuant to Paragraph IX of the exparte statutory restraining orders entered on November 18, 2003 in the above-reference matters. Should the enclosed bills be approved for payment, such payment will be made from the Receiver's operating account. The Nineteenth Request for Compensation is: Rosner & Napierala, LLP: January 2007: $18,583.49; February 2007: 6,080.99; Joseph Merlino (expert): January 2007: $4,667.00 and February 2007: $4,150.00 ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 3/21/2007) (jmi)
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Filing 43
DECLARATION of Philip D. Rix in Support re: 41 MOTION for entry of injunctive relief, damages and ancillary equitable relief against defendant First Lexington Group, LLC. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 42
MEMORANDUM OF LAW in Support re: 41 MOTION for entry of injunctive relief, damages and ancillary equitable relief against defendant First Lexington Group, LLC. Document filed by U.S. Commodity Futures Trading Commission. (djc)
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Filing 41
MOTION for entry of injunctive relief, damages and ancillary equitable relief against defendant First Lexington Group, LLC purs to Rule 55(b)(2) of the FRCP.Document filed by U.S. Commodity Futures Trading Commission.(djc)
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Filing 40
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 1/16/2007 re: the receiver's Eighteen Request for Compensation is Rosner & Napierala, LLP: October 2006: $16,770.98 November and December 2006: $15,914.64 Joseph Merlino(expert): October 2006:$3,317.00 November 2006 $1,500.00 December 2006: $4,250.00. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 2/20/2007) (jmi)
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Filing 39
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 10/12/06 re: On behalf of Brian Rosner Esq., who has been appointed to act as Receiver in the above referenced cases, we were writing to request permission to commence an action against Mr. Rick Baren and his company, Baremar LLC. ENDORSEMENT: Authorization for Brian Rosner, Receiver for Itradecurrency USA, LLC., to commence an action against Mr. Richard Baren and Baremar, LLC. is hereby granted. So Ordered. (Signed by Judge George B. Daniels on 11/8/06) (js, )
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Filing 38
ORDER FOR ENTRY OF ANCILLARY EQUITABLE RELIEF AGAINST NATALIA ROUMINATSEUA, that Roumiantseua shall disgorge $20,000 which represents all benefits received, as further set forth in this document. (Signed by Judge George B. Daniels on 11/8/06) (cd, )
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Filing 37
ENDORSED LETTER: addressed to Judge George B. Daniels from Natalie A. Napierala dated 10/6/06 re: Receiver's Seventeenth request for compensation, which is submitted pursuant to paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above referenced matters. The Seventeenth Request for compensation is as follows: Rosner Moscow & Napierala LLP.-7/06 $14,643.79, 8/06- $19,550.58, 9/06-$16,387.26, Joseph Merlino (expert): 7/06-$4,017.00, 8/06-$3,517.oo, 9/06-$9,092.50. Payment of the Receiver's Seventeenth Request for Compensation is approved in the amounts submitted. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 11/2/06) (js, )
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Filing 36
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 7/17/06 re: Application for Payment of the Receiver's Sixteenth Request for Compensation is APPROVED in the amounts submitted [pg.2]. (Signed by Judge George B. Daniels on 7/31/06) (db, )
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Filing 35
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 5/4/2006 re: to the Receiver's Fifteenth Request for Compensation. The Fifteenth Request for Compensation is: Rosner Moscow & Napierala, LLP: February 2006: $16,377.21 March 2006: $43,761.95 April 2006: $15,318.68 Joseph Merlino (expert) February 2006: $8,368.00 March 2006: $13,969.00 April 2006: $9,035.00. Payment of the Receiver's Fifteenth Request for Compensation is approved in the amounts submitted. So Ordered. (Signed by Judge George B. Daniels on 6/8/2006) (jmi, )
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Filing 34
MEMORANDUM OF LAW in Support re: 33 MOTION for the entry of ancillary equitablel relielf against Relief Defendant Natalia Roumiantseua in this matter. Document filed by U.S. Commodity Futures Trading Commission. (djc, )
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Filing 33
MOTION for the entry of ancillary equitable relief against Relief Defendant Natalia Roumiantseua in this matter. Document filed by U.S. Commodity Futures Trading Commission. (djc, )
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Filing 32
ENDORSED LETTER: addressed to Judge George B. Daniels from Natalie A. Napierala dated 2/9/2006 re: payment of the Receiver's Thirteenth and Fourteenth Requests for compensation are approved in the amounts submitted. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 2/14/2006) (lb, )
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Filing 31
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 10/18/2005 re: to Receiver's Twelfth request for compensation, whcih is submitted pursuant to Paragraph IX of the ex parte statutory restraining orders entered on November 18, 2003 in the above-referenced matters. (Signed by Judge George B. Daniels on 10/31/2005) (jmi, )
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Filing 30
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala, Esq. dated 7/25/05 re: Payment of the Reciever's Eleventh Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 8/10/05) (pl, )
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Filing 29
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 5/11/05 re: receiver's tenth request for compensation. Payment of the Receiver's Tenth Request for compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 5/23/05) (dle, )
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Filing 28
ENDORSED LETTER addressed to Judge Daniels from Natalie A. Napierala dated 06/17/05 re: submission of Receiver's Eighth Request for compensation.... (Signed by Judge George B. Daniels on 3/14/05) (djc, )
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Filing 27
ENDORSED LETTER addressed to Judge Daniels from Natalie A. Napierala dated 3/3/05 re: submission of Receiver's Ninth Request for Compensation;... Payment of the Receiver's Ninth Request for Compensation is approved in the amounts submitted.. (Signed by Judge George B. Daniels on 3/14/05) (djc, )
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Mailed notice of Right to Appeal re: 25 Default Judgment, 26 Default Judgment and to Attorney(s) of Record: Sheila L. Marhamati. (snu, )
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Minute Entry for proceedings held before Judge George B. Daniels : Pretrial Conference held on 1/18/2005. Next conf. 5/3 at 9:45 a.m. (rw, )
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Filing 26
DEFAULT JUDGMENT, in favor of Plaintiff, U.S. Commodity Futures Trading Commission against Natalia Roumiantseau. (Signed by Judge George B. Daniels on 1/13/05) (dt, )
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Filing 25
DEFAULT JUDGMENT, in favor of Plaintiff, U.S. Commodity Futures Trading Commission against First Lexington Group, LLC. (Signed by Judge George B. Daniels on 1/13/05) (dt, )
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Filing 24
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 11/15/04. Payment of the Receiver's Seventh Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 11/22/04) (kw, )
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Filing 23
ENDORSED LETTER addressed to Judge George B. Daniels from Law Office of Brian Rosner dated 7/12/04. The Receiver is authorized to purchase the items set for in Exhibit A. (Signed by Judge George B. Daniels on 11/22/04) (kw, )
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Filing 22
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie Napierala dated 9/10/04 re: receiver's sixth request for compensation as follows: Law Office of Brian Rosner: July 2004 $28,712.84; August 2004 $44,485.41; Joseph Merlino: July 2004: $10,270.00; August 2004: $4,370.00. Payment of the Receiver's Fifth Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 9/21/04) (dle, )
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Minute Entry for proceedings held before Judge George B. Daniels : Interim Pretrial Conference held on 9/21/2004. (pl, )
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Set/Reset Scheduling Order Deadlines: Next Pretrial Conference set for 1/18/2005 09:30 AM before Judge George B. Daniels. (pl, )
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Filing 21
REQUEST TO ENTER DEFAULT against Natalia Roumiantseua. Document filed by U.S. Commodity Futures Trading Commission; (rqst ent'd 9/16/04); Attached is Declaration in support of Sheila L. Marhamati.(djc, )
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Filing 20
ENDORSED LETTER addressed to Judge George B. Daniels from Natalie A. Napierala dated 7/12/04. Payment of the Receiver's Fifth Request for Compensation is approved in the amounts submitted. (Signed by Judge George B. Daniels on 7/27/04) (kw, )
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Filing 19
CONSENT ORDER PRELIMINARY INJUNCTION (Signed by Judge George B. Daniels on 7/15/2004) (jsa, )
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Filing 18
ENDORSED LETTER addressed to Judge Daniels from Joseph A. Grob dated 7/13/2004 re: permission to be excused from a hearing scheduled for today 7/13/2004.Application granted. (Signed by Judge George B. Daniels on 7/15/2004) (jsa, )
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Filing 16
CONSENT ORDER; that Grunfeld, except as otherwise ordered by this Court, is restrained and preliminarily enjoined from directly or indirectly as set forth in this order. (Signed by Judge George B. Daniels on 7/14/04) (sac, )
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Filing 15
ENDORSED LETTER addressed to Judge Daniels from Sheila L. J. Marhamati dated 07/12/04 re: submission of proposed consent orders of preliminary injunction for defendants Joseph Grunfeld and Michael Korobov and Relief Defendant The Fuzzy Group Inc in the referenced matters. (Signed by Judge George B. Daniels on 07/14/04)(consent order not attached) (djc, )
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Minute Entry for proceedings held before Judge George B. Daniels : Interim Pretrial Conference held on 7/13/2004. Pretrial Conference set for 9/21/2004 09:30 AM before Judge George B. Daniels. (kw, )
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Filing 17
MEMORANDUM TO THE DOCKET CLERK: that a pretrial conference was held on 6/3/04. Next conference set for 9/21/04 @9:30 a.m. (pl, )
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Minute Entry for proceedings held before Judge George B. Daniels : Interim Pretrial Conference held on 7/13/2004. (pl, )
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Set/Reset Scheduling Order Deadlines: Next Pretrial Conference set for 9/21/2004 09:30 AM before Judge George B. Daniels. (pl, )
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Filing 14
SUMMONS RETURNED EXECUTED Summons and Complaint served. Joseph A. Grunfeld served on 12/11/2003, answer due 12/31/2003. Service was accepted by Joseph A. Grunfeld. Document filed by U.S. Commodity Futures Trading Commission. (sac, )
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Filing 13
AFFIDAVIT OF SERVICE of Summons and Complaint. Natalia Roumiantseau served on 12/4/2003, answer due 12/24/2003. Service was accepted by Mr. Steve Stephens, Doorman. Document filed by U.S. Commodity Futures Trading Commission. (kw, )
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Filing 12
RETURN OF SERVICE of Summons and Complaint. First Lexington Group, LLC, served on 12/11/2003, answer due 12/31/2003. Service was accepted by personal service. (sb, )
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Filing 11
ENDORSED LETTER addressed to Judge Daniels from Natalie Napierala dated 2/13/04, that payment of the Receiver's First and Second Requests for Compensation are approved in the amounts submitted. (Signed by Judge George B. Daniels on 2/27/04) (cd, )
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Filing 10
TRANSCRIPT of proceedings held on 12/2/03 before Judge George B. Daniels.(pl, )
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Filing 9
Receiver BOND # BJY-1628523 in the amount of $ 20,000.00 posted by Brian Rosner. (db, )
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Filing 2
ORDER, the themprary seal is lifted ; ( signed by Judge George B. Daniels ); (djc)
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Filing 8
ORDER TO SHOW CAUSE Show Cause Hearing set for 9:30 12/2/03 for defendant and relief defendant to show cause why this court should not enter a preliminary injunction as set forth ; Purs to 28 U.S.C. sectio 754 (2001), the Receiver shall file with the Clerk of the Court a bond in the amount of $20,000 with sureties to be approved by the Court, conditioned that the Receiver will well and truly perform the duties of the office and abide by and perform all facts the court directs ; ( signed by Judge George B. Daniels ); (djc)
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Filing 7
DECLARATION of S. Stockdale, J. Sangalli, Peterson and Moore (djc)
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Filing 6
MEMORANDUM OF LAW in support of [5-1] motion freezing assets of First Lexington Group LLC, Joseph A. Grunfeld as set forth in this motion, [5-2] motion freezing the assets of Natalia Roumiantantseua up to $20,000 and prohibiting Relief Defendant's agents, et al as set forth in this Motion, [5-3] motion Requiring any financial or brokerage institution business entity, or person tha holds, controls or maintains custody of any account or asset of the Defendants as set forth in this Motion, [5-4] motion Requiring any financial or brokerage institution, business entity or person that hold controls or maintains custody of any acount or asset of Releief Defendant as set forth in this Motion, [5-5] motion Requiring defendant to provide the Commission with a full accounting within three business days of the order's service of certain documents, [5-6] motion Requiring relief Defendant as set forth in this Motion, [5-7] motion Prohibiting defendants, relief defendant and here agents, attorneys, partners, et as set forth in this motion, [5-8] motion Granting the appointment of a tempoary receiver to take control of and marshal assets of the Defendants for potential redress, [5-9] motion Granting the appointment of a temporary receiver to take control of and marshal assets up to $20,000 of Relief Defendant for potential redress . (djc)
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Filing 5
NOTICE OF MOTION for an ex parte statutory restraining order freezing assets of First Lexington Group LLC, Joseph A. Grunfeld as set forth in this motion ; freezing the assets of Natalia Roumiantantseua up to $20,000 and prohibiting Relief Defendant's agents, et al as set forth in this Motion ; Requiring any financial or brokerage institution business entity, or person tha holds, controls or maintains custody of any account or asset of the Defendants as set forth in this Motion ; Requiring any financial or brokerage institution, business entity or person that hold controls or maintains custody of any acount or asset of Releief Defendant as set forth in this Motion ; Requiring defendant to provide the Commission with a full accounting within three business days of the order's service of certain documents ; Requiring relief Defendant as set forth in this Motion ; Prohibiting defendants, relief defendant and here agents, attorneys, partners, et as set forth in this motion ; Granting the appointment of a tempoary receiver to take control of and marshal assets of the Defendants for potential redress ; Granting the appointment of a temporary receiver to take control of and marshal assets up to $20,000 of Relief Defendant for potential redress ; Return Date not indicated; (djc) Modified on 11/20/2003
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Filing 4
COMPLAINT for injunctive and other equitable relief and for penalties under the commodity exchange Act, as amended, 7 U.S.C. section 1-27(f)filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). (djc)
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Filing 3
ORDER; Plaintif's ex parte motion to seal the entire file temporarily is granted and such file shall be sealed temporarily until service of the Ex Part Statutory Restraining Order is made upon appropriate financial institutions and the parallel criminal actions are publicly filed ; ( signed by Judge Peter K. Leisure ); (djc)
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Filing 1
ORDER, sealing this action . ( signed by Judge Peter K. Leisure ); (gmo)
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CASE REFERRED TO Judge George B. Daniels as possibly related to 1:03-cv-9124. (gmo)
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