Securities and Exchange Commission v. Amerindo Investment Advisors Inc. et al

Plaintiff:	Securities and Exchange Commission
Defendant:	Amerindo Management Inc., Amerindo Investment Advisors Inc., Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Techno Raquia, S.A., Alberto William Vilar, Amerindo Investment Advisors, Inc., Amerindo Advisors UK Limited and Amerindo Technology Growth Fund II, Inc.
Interested Party:	Alfred C. Heitkoenig, J.P. Morgan Securities LLC, Lisa Mayer, Elna Charlotte Olga, Debra Mayer, Heitkonig Parties, John Preetzman-Aggerholm, Los Angeles Opera Company and Maakie Heitkoenig
Intervenor:	James Stableford
Claimant:	Ana R Acevedo, The Deane J. Marcus Trust, The Ceryl Marcus-Podhaizer Trust, Maria Dichov, Paul Marcus, The Steven E. Marcus Trust and The Eve S. Marcus Children's Trust
Not Yet Classified:	Ian Gazes
Case Number:	1:2005cv05231
Filed:	June 1, 2005
Court:	US District Court for the Southern District of New York
Office:	Foley Square Office
Presiding Judge:	Richard J Sullivan
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 77
Jury Demanded By:	None

Date Filed	Document Text
October 18, 2019	Filing 737 LETTER MOTION to Stay Joining in Vilar motion to stay substitute asset forfeiture addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 18, 2019. Document filed by Gary Alan Tanaka.(Shevitz, Vivian)
October 17, 2019	Filing 736 ORDER. The Court in receipt of a letter submitted on behalf of Defendant Alberto Vilar, dated October 17, 2019, requesting that the Court stay the Preliminary Order of Forfeiture of Substitute Assets (Doc. No. 802) pending appellate review. (Doc. No. 833.) IT IS HEREBY ORDERED THAT the government shall submit a response no later than October 25, 2019. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 10/17/19) (yv)
October 15, 2019	Filing 735 MANDATE of USCA (Certified Copy) as to #723 Notice of Appeal, filed by Gary Alan Tanaka. USCA Case Number 19-2578. Ordered that the appeal is DISMISSED.. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/15/2019. [This document also entered in case: 05-cr-621-2]. (nd)
October 3, 2019	Filing 734 NOTICE of Petition Pursuant to Preliminary Order of Forfeiture as to substitute assets entered in the case of U.S. v. Alberto William Vilar and Gary Alan Tanaka 05-cr-621 re: #728 Order,. Document filed by John Preetzman-Aggerholm. (Colbath, Paula)
October 3, 2019	Filing 733 NOTICE of Petition Pursuant to Preliminary Order of Forfeiture as to substitute assets entered in the case of U.S. v. Alberto William Vilar and Gary Alan Tanaka 05-cr-621 re: #728 Order,. Document filed by Alfred C. Heitkoenig. (Attachments: #1 Exhibit 1-10)(Colbath, Paula)
September 28, 2019	Filing 732 NOTICE of filing of Petition in forfeiture case, 05cr621 re: #730 Notice (Other). Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Tanaka charging lien, #2 Exhibit Vilar charging lien)(Shevitz, Vivian)
September 20, 2019	Filing 731 ORDER. The Court in receipt of the attached petition from E. Ronald Salvitti. IT IS HEREBY ORDERED THAT any third parties who wish to file a petition for a hearing to adjudicate their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 802) shall do so via ECF. Any inquiries about docketing should be made to the Pro Se Intake Unit at (212) 805-0175. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/20/19) (yv)
September 20, 2019	Filing 730 NOTICE of filing of Petition in forfeiture case, 05cr621 re: #722 Memorandum & Opinion,,,,,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
September 20, 2019	Filing 729 ORDER: Having reviewed the authorities cited in the government's letter, the Court finds that the thirty-day deadline in 18 U.S.C. 853(n)(2) is a claim-processing deadline, not a jurisdictional bar, and thus the Court has the authority to grant a petition for an extension of time upon consent of the government. Accordingly, IT IS HEREBY ORDERED THAT Debra and Lisa Mayer, anthe Securities and Exchange Commission shall have until October 25, 2019 to file a petition for a hearing on the validity of their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets. SO ORDERED., ( Motions due by 10/25/2019.) (Signed by Judge Richard J. Sullivan on 9/20/2019) (ama)
September 18, 2019	Filing 728 ORDER. IT IS HEREBY ORDERED THAT any third parties that wish to file a petition for a hearing to adjudicate their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 802) shall do so via ECF. Any inquiries about docketing should be addressed to the Pro Se Intake Unit. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/18/19) (yv)
September 17, 2019	***DELETED DOCUMENT. Deleted document number #728 Order. The document was incorrectly filed in this case. (cf)
September 17, 2019	Filing 727 ORDER: The Court in receipt of (1) a letter filed by claimants Debra and Lisa Mayer, dated September 16, 2019, requesting an extension of time to file a petition for a hearing on the validity of their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 813); and (2) a letter filed by the government, also dated September 16, 2019, requesting an extension of time for the Securities and Exchange Commission to file a petition for a hearing in the same matter (Doc. No. 814), and attaching a proposed order granting such a request (Doc. No. 814-1). As neither party has addressed the Court's authority under 28 U.S.C. 853(n)(2) to provide such an extension, see United States v. Marion, 562 F.3d 1330, 1335 (11th Cir. 2009), IT IS HEREBY ORDERED THAT the parties are instructed to submit supplemental letters addressing this issue by September 19, 2019. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/17/2019) (rro)
September 17, 2019	Filing 726 MOTION Petition for Ancillary Hearing and Amendment of Order for Forfeiture . Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust. (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)(Friedman, Julian)
August 28, 2019	Filing 725 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JPMorgan Chase & Co., Corporate Parent J.P. Morgan Broker-Dealer Holdings Inc., Corporate Parent JPMorgan Chase Holdings LLC for J.P. Morgan Securities LLC. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)
August 28, 2019	Filing 724 NOTICE OF APPEARANCE by Andrea Likwornik Weiss on behalf of J.P. Morgan Securities LLC. (Weiss, Andrea)
August 14, 2019	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #723 Notice of Appeal. (tp)
August 14, 2019	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #723 Notice of Appeal, filed by Gary Alan Tanaka were transmitted to the U.S. Court of Appeals. (tp)
August 12, 2019	Filing 723 NOTICE OF APPEAL from #722 Memorandum & Opinion. Document filed by Gary Alan Tanaka. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Original Document Entered in Criminal Case #05-cr-0621-2, Doc. #810) (tp)
August 2, 2019	Filing 722 OPINION AND ORDER re: #714 MOTION for Compensation Fourth and Fijnal of Receiver filed by Ian Gazes, #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver filed by Ian Gazes. The government's motion in support of its preliminary forfeiture order is GRANTED, as set forth in the separately docketed Preliminary Order of Forfeiture as to Substitute Assets, subject to the expenses GRANTED in the Receiver's and CBIZ's motions for compensation and reimbursement. The government is directed to file an update letter no later than August 12, 2019 setting forth proposed next steps regarding the anticipated ancillary proceeding. Because the Court will not issue a final distribution plan until after the ancillary proceeding, see Fed. R. Crim. P. 32.2(c)(2), the Civil Action, No. 05-cv-5231, shall remain open and the receivership shall continue pending resolution of the ancillary forfeiture proceeding in the Criminal Action. The Clerk of Court is respectfully directed to terminate the motions pending at Doc. No. 769 in Case No. 05-cr-621 and Doc. Nos. 714 and 715 in Case No. 05-cv-5231. SO ORDERED. (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 8/2/2019) (ne)
July 25, 2019	Filing 721 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated July 25, 2019 Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)
July 24, 2019	Filing 720 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated July24, 2019 re: Marcus Claimants. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Friedman, Julian)
January 14, 2019	Filing 719 REPLY to Response to Motion re: #714 MOTION for Compensation Fourth and Fijnal of Receiver. . Document filed by Ian Gazes. (Gazes, Ian)
January 7, 2019	Filing 718 ORDER: IT IS HEREBY ORDERED THAT the Receiver, the SEC, and/or CBIZ may file a reply to Defendants' submission no later than Monday, January 14, 2019. SO ORDERED. (Replies due by 1/14/2019.) (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 1/7/2019) (ne)
January 7, 2019	Filing 717 RESPONSE in Opposition to Motion re: #714 MOTION for Compensation Fourth and Fijnal of Receiver., #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver. . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
December 18, 2018	Filing 716 ORDER: The Court is in receipt of a fourth and final application for compensation and reimbursement of expenses by the Receiver, Ian J. Gazes, as well as a fifth and final application for compensation and reimbursement of expenses by CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Account Tax & Advisory of San Diego LLC, the Court-approved financial advisors to the Receiver. (Doc. Nos. 714, 715.) IT IS HEREBY ORDERED THAT any responses to these applications shall be filed by January 7, 2019. SO ORDERED. (Set Deadlines/Hearing as to #714 MOTION for Compensation Fourth and Fijnal of Receiver. #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver: Responses due by 1/7/2019) (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 12/18/2018) (ne)
December 17, 2018	Filing 715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)
December 17, 2018	Filing 714 MOTION for Compensation Fourth and Fijnal of Receiver. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Certification, #2 Exhibit B Time Records)(Gazes, Ian)
October 5, 2018	Filing 713 ORDER: The Court is in receipt of a letter from Alfred Heitkonig, dated October 4, 2018 and attached hereto. The government is directed to include its response to this letter, if any, in its reply brief, which - per the Court's October 4, 2018 Order - shall be filed by October 12, 2018. (5-cr-621, Doc. No. 792.) Any further correspondence of this nature should be directed to the Court's Pro Se Office, rather than to the Court's chambers email inbox. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/5/2018) (anc)
October 4, 2018	Filing 712 ORDER: The Court is in receipt of a letter from the government, dated October 3, 2018, requesting an opportunity to file a reply brief in support of its forfeiture order. (05-cr-621, Doc. No. 790.) IT IS HEREBY ORDERED that the government shall file its reply by October 12, 2018. The government's reply brief shall also address the letters filed by Receiver Ian Gazes (05-cv-5231, Doc. No. 709), the SEC (05-cv-5231, Doc. No. 710), and Alfred Heitkonig (05-cv-5231, Doc. No. 711), attached hereto. SO ORDERED. (Replies due by 10/12/2018.) (Signed by Judge Richard J. Sullivan on 10/4/2018) (ne)
October 4, 2018	Filing 710 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated October 4, 2018 re: Government's Forfeiture Motion. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
October 3, 2018	Filing 711 LETTER addressed to Judge Richard J. Sullivan from Alfred Heitkoenig dated 9/24/2018 re: It is therefore my feeling that it would be very unjust that the SEC be awarded our monies. Document filed by Alfred C. Heitkoenig.(ne)
October 3, 2018	Filing 709 LETTER addressed to Judge Richard J. Sullivan from Derrelle M. Janey dated 10/3/2018 re: Government's Motion for Preliminary Order of Forfeiture as to Substitute Assets in Concurrent Criminal Case and Final Fee Applications of Receiver and his Financial Advisors. Document filed by Ian Gazes.(Janey, Derrelle)
September 28, 2018	Filing 708 BRIEF in Opposition to Motion by United States for a Proposed Preliminary Order of Forfeiture as to Substitute Assets. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Gershel, Bradley)
September 7, 2018	Filing 707 ORDER granting #706 Letter Motion for Leave to File Document. IT IS HEREBY ORDERED THAT the Marcus Claimants may respond to the government's motion no later than September 28, 2018. SO ORDERED. (Responses due by 9/28/2018) (Signed by Judge Richard J. Sullivan on 9/7/2018) (ne) Modified on 1/9/2019 (ne).
September 7, 2018	Filing 706 LETTER MOTION for Leave to File Response to the Government's Motion in the Related Criminal Action addressed to Judge Richard J. Sullivan from Julian W. Friedman dated September 7, 2018. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Gershel, Bradley)
September 6, 2018	Filing 705 MEMO ENDORSEMENT on re: #704 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: IT IS HEREBY ORDERED THAT Debra Mayer and Lisa Mayer may respond to the government's motion no later than September 28, 2018. SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/6/2018) (ne)
September 6, 2018	Filing 704 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 6, 2018 re: the Government's Motion in the Related Criminal Action. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)
July 23, 2018	Filing 703 ORDER granting #697 Motion for Compensation. Accordingly, IT IS HEREBY ORDERED that the motion is GRANTED. The Financial Advisors shall be awarded $226,656.15 in compensation for the period beginning February 1, 2016 and ending November 30, 2017. The Financial Advisor's compensation shall be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court. (Doc. No. 507.) The Clerk is respectfully directed to terminate the motion pending at docket number 697. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/20/2018) (ne)
June 6, 2018	Filing 702 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 6/6/18 re: Proposed Order. Document filed by Ian Gazes. (Attachments: #1 Proposed Order)(Gazes, Ian)
May 24, 2018	Filing 701 ORDER GRANTING LOEB & LOEB LLP'S MOTION TO WITHDRAW AS COUNSEL OF RECORD granting #691 Motion to Withdraw as Attorney. Loeb & Loeb LLP's Motion is GRANTED. Paula K. Colbath and the law firm of Loeb & Loeb LLP are permitted to withdraw as counsel of record for the Interested Parties Alfred Heitkonig, Elna Charlotte Olga a/k/a Elna Heitkonig and Maakie Olga Maria Hickok a/k/a Maakie Heitkonig ("Interested Parties"), and are relieved of any and all further duties and responsibilities for Interested Parties in this case. ORDERED, that Paula K. Colbath and Loeb & Loeb LLP are hereby withdrawn as counsel of record for Interested Parties Alfred Heitkonig, Elna Charlotte Olga a/k/a Elna Heitkonig and Maakie Olga Maria Hickok a/k/a Maakie Heitkonig. (Attorney Paula Kae Colbath terminated.) (Signed by Judge Richard J. Sullivan on 5/23/2018) (ras)
May 22, 2018	Filing 700 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, Defendants' counsel dated May 22, 2018 re: Responding to receiver's letter of May 21, 2018 (DOC 699). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
May 21, 2018	Filing 699 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 5/21/18 re: Liquidation of Receivership Assets. Document filed by Ian Gazes.(Gazes, Ian)
May 11, 2018	Filing 698 MANDATE of USCA (Certified Copy) as to Alberto William Vilar, Gary Alan Tanaka. USCA Case Number 18-26 (L), 18-46 (Con). Petitioners request writs of mandamus, consolidation of these two proceedings, and in forma pauperis ("IFP") status. Upon due consideration, it is hereby ORDERED that the motions for consolidation and IFP status are GRANTED. The mandamus petitions are DENIED. Petitioners have not demonstrated that exceptional circumstances warrant the requested relief. See In re von Bulow, 828 F.2d 94, 96 (2d Cir. 1987); see also Linde v. Arab Bank, PLC, 706 F.3d 92, 107-08 (2d Cir. 2013).. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 05/11/2018. [This document also entered in case: 05-cr-0621; 05-cv-5231; 17-cv-1491]. (nd)
February 16, 2018	Filing 697 MOTION for Compensation /Fourth Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)
January 24, 2018	Filing 696 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 1675 Broadway, 19th Floor, New York, New York, USA 10019-5820, 212-223-0200. (Friedman, Julian)
January 8, 2018	Filing 695 ORDER of USCA (Certified Copy) as to #674 Notice of Cross Appeal, filed by Lisa Mayer, Debra Mayer, #675 Notice of Cross Appeal,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc., #676 Notice of Cross Appeal, filed by Elna Charlotte Olga, Heitkonig Parties, Alfred C. Heitkoenig, Maakie Heitkoenig, #673 Notice of Appeal, filed by Paul Marcus. USCA Case Number 17-2534 (L), 17-2537 (Con), 17-2541 (Con), 17-2681 (Con). Appellee moves to dismiss these consolidated appeals from four district court orders entered on May 6, 2014, December 31, 2014, May 20, 2016, and July 14, 2017. In the alternative, Appellee moves for summary affirmance of the first three orders and of a portion of the July 14, 2017 order, and to dismiss or stay the appeal from the portion of the July 14, 2017 order denying relief under Federal Rule of Civil Procedure 60(b). Upon due consideration, it is hereby ORDERED that the motion is GRANTED to the extent that the appeal from the May 6, 2014 district court order is DISMISSED. This Court already has reviewed that order. See SEC v. Amerindo Inv. Advisors, 639 F. App'x 752, 755 (2d Cir. 2016). Thus, the present appeal from that order is barred by the law-of-the-case doctrine. See United States v. Carr, 557 F.3d 93, 102 (2d Cir. 2009). It is further ORDERED that the motion is DENIED in all other respects, and the appeals from the district court orders entered on December 31, 2014, May 20, 2016, and July 14, 2017 are STAYED until the district court enters an order approving a final distribution plan and/or dissolving the receivership. Whether or not the orders approving the receiver's interim distribution plans are appealable interlocutory orders, see SEC v. Credit Bancorp, Ltd., 290 F.3d 80, 86 (2d Cir. 2002); 28 U.S.C. 1292(a)(1)-(2), under the merger doctrine, the orders will become appealable once a final order is entered approving a final distribution plan and/or dissolving the receivership, see City of New York v. Mickalis Pawn Shop, LLC, 645 F.3d 114, 141 n.25 (2d Cir. 2011). Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 01/08/2018. (nd)
January 4, 2018	Filing 694 NOTICE of Petition for mandamus, Motion for Forma Pauperis, civil cover sheet re: #688 Memorandum & Opinion,,,,, #670 Order,,, #686 Letter,, #683 Letter,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Petition for Mandamus, #2 Exhibit Motion for Forma Pauperis and consolidation, #3 Civil Cover Sheet Civil cover sheet for mandamus)(Shevitz, Vivian)
January 2, 2018	Filing 693 AFFIDAVIT OF SERVICE of Motion to Withdraw as Counsel served on Heitkonig Interested Parties on 1/2/2018. Service was made by Mail. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)
January 2, 2018	Filing 692 AFFIDAVIT of Paula K. Colbath in Support re: #691 MOTION for Paula K. Colbath to Withdraw as Attorney .. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)
January 2, 2018	Filing 691 MOTION for Paula K. Colbath to Withdraw as Attorney . Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga.(Colbath, Paula)
December 11, 2017	Filing 690 NOTICE OF CHANGE OF ADDRESS by Leo L. Esses on behalf of Maakie Heitkoenig. New Address: The Esses Law Group, LLC, 750 Third Avenue, 9th Floor, New York, New York, USA 10017, 212-673-3160. (Esses, Leo)
December 11, 2017	Filing 689 NOTICE OF APPEARANCE by Leo L. Esses on behalf of Maakie Heitkoenig. (Esses, Leo)
November 29, 2017	Filing 688 OPINION & ORDER re: #671 MOTION for Reargument re: #653 Order, Set Deadlines, #651 Response to Motion, #660 Order on Motion for Compensation, #669 Memorandum & Opinion, #655 Response to Motion, #666 Letter, #652 Declaration in Opposition to Motion, [670 MOTION for Reconsideration re; #669 Memorandum & Opinion, #670 Order, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. The instant motion for reconsideration simply presents the same arguments already rejected by this Court, as well as a prudential argument that the Court should stay any further distributions in this civil matter until after it has ruled on Defendants' pending habeas petitions. None of these arguments warrants reconsideration of the Court's July 17, 2017 Order, and Defendants' motion is therefore DENIED. The Clerk of Court is respectfully directed to terminate the motion pending at docket number 671, and as further set forth herein. (Signed by Judge Richard J. Sullivan on 11/29/2017) (ras)
October 13, 2017	Filing 687 NOTICE OF APPEARANCE by Bradley Gershel on behalf of Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust. (Gershel, Bradley)
October 4, 2017	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Patrick Walter Begos to RE-FILE Document #685 MOTION to Withdraw as Counsel. Use the event type Letter found under the event list Other Documents. (db)
September 30, 2017	Filing 686 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 30, 2017 re: Receiver proposal (DOC 684) that he decide who to pay and how much out of "Defendants' remaining assets".. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 29, 2017	Filing 685 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Withdraw as Counsel. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick) Modified on 10/4/2017 (db).
September 28, 2017	Filing 684 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/28/17 re: Response to Letter Submitted by the Staff of the SEC. Document filed by Ian Gazes.(Gazes, Ian)
September 15, 2017	Filing 683 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 15, 2017 re: Reply to SEC and Mayer (DOC 681) proposals in response to Order 670. Document filed by Ana R Acevedo, Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 15, 2017	Filing 682 ORDER denying as moot #680 Letter Motion for Extension of Time to File Response/Reply. In light of counsel's submission dated September 15, 2017 at docket number 681, this request for an extension of time to submit a response to the Securities and Exchange Commission's letter is denied as moot. The Clerk of Court is respectfully directed to terminate the motion pending at docket number 680. (Signed by Judge Richard J. Sullivan on 9/15/2017) (ras)
September 15, 2017	Filing 681 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 15, 2017 re: response to SEC proposal (Doc. 672). Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)
September 15, 2017	Filing 680 LETTER MOTION for Extension of Time to File Response/Reply as to #670 Order,,, with respect to the 8/11/17 letter filed by SEC addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 15, 2017. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)
September 14, 2017	Filing 679 ORDER granting #678 Letter Motion for Extension of Time. IT IS HEREBY ORDERED THAT the Receiver shall submit a recommendation for future action to the Court no later than September 29, 2017. In particular, the Receiver is requested to address the proposal set forth by the Securities and Exchange Commission in its letter dated August 11, 2017 (Doc. No. 671), as well as any other proposals submitted by other parties and docketed by September 15, 2017. The Clerk of Court is respectfully requested to terminate the motion pending at docket number 678. (Signed by Judge Richard J. Sullivan on 9/14/2017) (ras)
September 14, 2017	Filing 678 LETTER MOTION for Extension of Time to Respond to SEC's Letter to the Court dated August 11, 2017 addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/14/17. Document filed by Ian Gazes.(Gazes, Ian)
September 8, 2017	Filing 677 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Paul Marcus, The Deane J. Marcus Trust, The Steven E. Marcus Trust, The Ceryl Marcus-Podhaizer Trust, The Eve S. Marcus Children's Trust. (Friedman, Julian)
August 28, 2017	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #676 Notice of Cross Appeal, filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Elna Charlotte Olga, Heitkonig Parties were transmitted to the U.S. Court of Appeals. (tp)
August 28, 2017	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #676 Notice of Cross Appeal. (tp)
August 25, 2017	Filing 676 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. Filing fee $ 505.00, receipt number 0208-14056207. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Colbath, Paula)
August 15, 2017	Filing 675 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. Filing fee $ 505.00, receipt number 0208-14016529. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Shevitz, Vivian)
August 15, 2017	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #675 Notice of Cross Appeal,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. were transmitted to the U.S. Court of Appeals. (tp)
August 15, 2017	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #675 Notice of Cross Appeal. (tp)
August 14, 2017	Filing 674 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Debra Mayer, Lisa Mayer. Filing fee $ 505.00, receipt number 0208-14012999. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Reisman, Jerome)
August 14, 2017	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #674 Notice of Cross Appeal,. (nd)
August 14, 2017	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #674 Notice of Cross Appeal, filed by Lisa Mayer, Debra Mayer were transmitted to the U.S. Court of Appeals. (nd)
August 11, 2017	Filing 673 NOTICE OF APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Paul Marcus. Filing fee $ 505.00, receipt number 0208-14006883. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Friedman, Julian)
August 11, 2017	Filing 672 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 08/11/2017 re: July 14, 2017 Order. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
August 11, 2017	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #673 Notice of Appeal, filed by Paul Marcus were transmitted to the U.S. Court of Appeals. (nd)
August 11, 2017	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #673 Notice of Appeal,. (nd)
July 26, 2017	Filing 671 MOTION for Reargument re: #653 Order, Set Deadlines,, #651 Response to Motion,, #660 Order on Motion for Compensation,,,, #669 Memorandum & Opinion,, #655 Response to Motion, #666 Letter, #652 Declaration in Opposition to Motion, #670 Order,,, #657 Memo Endorsement, #665 Letter, ., MOTION for Reconsideration re; #669 Memorandum & Opinion,, #670 Order,,, . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
July 14, 2017	Filing 670 ORDER: IT IS HEREBY ORDERED that, no later than August 18, 2017, the SEC shall submit a letter to the Court detailing its position as to whether: (1) the Receivership in this case should continue, (2) a bankruptcy proceeding should be initiated against Defendants, (3) the Court should refer this case to a bankruptcy judge under 28 U.S.C. 157(a), (4) the various proceedings should be consolidated with the related case of In re Application of Lisa and Debra Mayer, 12-cv-5240 (RJS) (S.D.N.Y.), or (5) another type of proceeding would be appropriate. IT IS FURTHER ORDERED that any interested party wishing to respond to the SEC's proposal shall do so no later than September 15, 2017. (Signed by Judge Richard J. Sullivan on 7/14/2017) (mro)
July 14, 2017	Filing 669 OPINION & ORDER re: #640 MOTION to Approve Fourth Interim Distribution filed by Ian Gazes. In sum, for the reasons set forth above, the Court concludes that it would be "fair and reasonable" to authorize the Inflation Adjustment Distribution. Accordingly, IT IS HEREBY ORDERED that the Receiver shall distribute $13,849,639.27 to investors in the amounts set forth in the attached schedule. IT IS FURTHER ORDERED that Defendants' request for vacatur under Rule 60 is DENIED. The Clerk is respectfully directed to terminate the motion pending at docket number 640. (Signed by Judge Richard J. Sullivan on 7/14/2017) (mro)
June 27, 2017	Filing 668 MEMO ENDORSEMENT on re: #667 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: No additional submissions shall be filed in the civil case, 05-cv-5231 (RJS), regarding Defendants' request for vacatur under Rule 60 of the Federal Rules of Civil Procedure. The Court will address Defendants' arguments concerning Kokesh v. SEC in a forthcoming order. (Signed by Judge Richard J. Sullivan on 6/27/2017) (ras)
June 27, 2017	Filing 667 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated June 27, 2017 re: in response to defendants' June 23, 2017 letter. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)
June 27, 2017	Filing 666 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated June 27, 2017 re: Kokesh v. SEC. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
June 23, 2017	Filing 665 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, Attorney for Defendants dated June 23, 2017 re: New Supreme Court cases bearing on remedies in this case. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
April 25, 2017	Filing 664 ENDORSED LETTER addressed to Judge Richard J. Sullivan from John Preetzmann-Aggerholm dated 4/25/2017 re: to support the Receiver's last proposal. ENDORSEMENT: The Court is in receipt of the attached letter regarding the Receiver's proposed distribution. Because this matter is fully briefed and will be resolved in due course, no further submissions or responses will be permitted. (Signed by Judge Richard J. Sullivan on 4/25/2017) (ras)
April 14, 2017	Filing 663 REPLY to Response to Motion re: #640 MOTION to Approve Fourth Interim Distribution . . Document filed by Ian Gazes. (Attachments: #1 Errata A)(Gazes, Ian)
March 30, 2017	Filing 662 MEMO ENDORSEMENT on re: #661 Letter, filed by Ian Gazes. ENDORSEMENT: SO ORDERED. (Set Deadlines/Hearing as to #661 Letter, #640 MOTION to Approve Fourth Interim Distribution : Replies due by 4/14/2017.) (Signed by Judge Richard J. Sullivan on 3/30/2017) (jwh)
March 30, 2017	Filing 661 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/30/17 re: Request for Further Extension of Time to Reply to Objections to propsoed Fourth Interim Distribution to April 14, 2017. Document filed by Ian Gazes.(Gazes, Ian)
March 21, 2017	Filing 660 ORDER granting #646 Motion for Compensation. Now before the Court is the third interim application of the Receiver, Ian J. Gazes, for compensation and reimbursement of expenses. (Doc. No. 646 ("App.").) Accordingly, IT IS HEREBY ORDERED that the Receiver is awarded $95,369.00 in compensation and $1,151.73 in expenses for the period of July 22, 2015 through January 24, 2017. IT IS FURTHER ORDERED that the Receiver is awarded the amounts held back from the previous two distributions, which total $12,168.10 and $32,119.40, respectively. The receiver's compensation and expenses shall be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court. (Doc. No. 507.) The Clerk is respectfully directed to terminate the motion pending at docket number 646. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 3/21/2017) (mro)
March 10, 2017	Set/Reset Deadlines: Replies due by 4/4/2017. (mro)
March 10, 2017	Filing 659 MEMO ENDORSEMENT on re: #658 Letter filed by Ian Gazes. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 3/10/2017) (mro)
March 10, 2017	Filing 658 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/10/17 re: Request for Extension of Time to Reply to Objections to propsoed Fourth Interim Distribution to April 4, 2017. Document filed by Ian Gazes.(Gazes, Ian)
March 6, 2017	Filing 657 MEMO ENDORSEMENT on re: (5 in case #17-cv-1491) Letter, filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: Petitioners' requests to supplement their petition and to "e-file a better copy" of their petition is granted. The Clerk is respectfully directed to file this Order in the cases 17-cv-1491 (RJS), 05-cv-5231 (RJS), and 05-cr-621 (RJS). (Signed by Judge Richard J. Sullivan on 3/3/2017) (jwh)
February 28, 2017	Filing 656 ORDER denying #654 Letter Motion for Leave to File Document. The Court does not find that additional briefing from the claimants would be useful at this time, and therefore, the request is denied. The Clerk is respectfully directed to terminate the motion pending at docket number 654. (Signed by Judge Richard J. Sullivan on 2/28/2017) (mro)
February 28, 2017	Filing 655 RESPONSE to Motion re: #640 MOTION to Approve Fourth Interim Distribution . Plaintiff Securities and Exchange Commission's Limited Objection to the Receiver's Methodology used in his Motion for an Order Authorizing and Directing a Fourth Interim Distribution to Investor Claimants. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
February 28, 2017	Filing 654 LETTER MOTION for Leave to File Reply to Mayer's Response to Receiver's application for a Fourth Interim Distribution addressed to Judge Richard J. Sullivan from Julian W. Friedman dated February 28, 2017. Document filed by Paul Marcus.(Friedman, Julian)
February 28, 2017	Filing 653 ORDER. The Court is in receipt of responses to the Receiver's application for a fourth interim distribution of assets. (Doc. No. 645, 651, 652.) IT IS HEREBY ORDERED THAT the Receiver shall file a reply no later than March 14, 2017. SO ORDERED. (Replies due by 3/14/2017.) (Signed by Judge Richard J. Sullivan on 2/28/2017) (rjm)
February 27, 2017	Filing 652 DECLARATION of Vivian Shevitz in Opposition re: #640 MOTION to Approve Fourth Interim Distribution .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 2255 filed 2-24-2017 05cr621)(Shevitz, Vivian)
February 27, 2017	Filing 651 RESPONSE to Motion re: #640 MOTION to Approve Fourth Interim Distribution . Objections of Lisa and Debra Mayer to Receiver's Motion for Fourth Interim Distribution. Document filed by Debra Mayer, Lisa Mayer. (Attachments: #1 Affidavit Transmittal Affidavit of Jerome Reisman, Esq., #2 Exhibit A to Affidavit (Proposed Distribution of Surplus Funds), #3 Exhibit B to Affidavit (Amended Criminal Judgments), #4 Exhibit C to Affidavit (Reisman 6-30-16 Letter to Hon. Sullivan), #5 Exhibit D to Affidavit (State Court Judgments), #6 Declaration of Lisa and Debra Mayer)(Reisman, Jerome)
February 21, 2017	Filing 650 NOTICE OF CHANGE OF ADDRESS by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. New Address: Robinson & Cole LLP, 1055 Washington Blvd., Stamford, CT, USA 06901, 203.462.7500. (Begos, Patrick)
February 21, 2017	Filing 649 NOTICE OF APPEARANCE by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. (Begos, Patrick)
February 15, 2017	Filing 648 ORDER: The Court is in receipt of a third interim application for compensation and reimbursement of expenses by the receiver, Ian J. Gazes. (Doc. No. 646.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by March 1, 2017. (Responses due by 3/1/2017) (Signed by Judge Richard J. Sullivan on 2/15/2017) (cla)
February 14, 2017	Filing 647 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated February 14, 2017 re: SEC v. Amerindo Investment Advisors, Inc. et al: Index No. 05 Civ. 05231 (RJS). Document filed by Paul Marcus.(Friedman, Julian)
February 13, 2017	Filing 646 MOTION for Compensation /Receiver's Third Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Certification, #2 Exhibit B - Time Records)(Gazes, Ian)
February 13, 2017	Filing 645 Objection re: #640 MOTION to Approve Fourth Interim Distribution . Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust and the Eve S. Marcus Children's Trust to the Receiver's Motion For A Fourth Interim Distribution. Document filed by Paul Marcus. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B, #3 Exhibit Exhibit C, #4 Exhibit Exhibit D, #5 Exhibit Exhibit E, #6 Exhibit Exhibit F, #7 Exhibit Exhibit G, #8 Exhibit Exhibit H, #9 Exhibit Exhibit I, #10 Exhibit Exhibit J, #11 Exhibit Exhibit K, #12 Exhibit Exhibit L)(Friedman, Julian)
February 13, 2017	Filing 644 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Paul Marcus. (Friedman, Julian)
February 6, 2017	Filing 643 MEMO ENDORSEMENT on re: #642 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: The request is granted. Accordingly, IT IS HEREBY ORDERED that any responses to the Receiver's motion shall be submitted no later than February 27, 2017. The Receiver shall file any reply no later than March 6, 2017. ( Responses due by 2/27/2017, Replies due by 3/6/2017.) (Signed by Judge Richard J. Sullivan on 2/6/2017) (mro)
February 5, 2017	Filing 642 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 5, 2017 re: seeking two-week extension, until February 27, 2017, to respond to Receiver motion for Fourth Distribution (DOC 640). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
January 30, 2017	Filing 641 ORDER: The Court is in receipt of an application for a fourth interim distribution by the Receiver, Ian J. Gazes, dated January 30, 2017. (Doc. No. 640.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by February 13, 2017. ( Responses due by 2/13/2017) (Signed by Judge Richard J. Sullivan on 1/30/2017) (mro)
January 30, 2017	Filing 640 MOTION to Approve Fourth Interim Distribution . Document filed by Ian Gazes. (Attachments: #1 Exhibit A-D)(Gazes, Ian)
December 6, 2016	Filing 639 ORDER granting #631 Motion for Compensation. IT IS HEREBY ORDERED THAT the motion is granted and CBIZ shall be compensated in the amount of $190,200.50. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 631. (Signed by Judge Richard J. Sullivan on 12/5/2016) (mro)
October 7, 2016	Filing 638 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 7, 2016 re: receiver's request (DOC 635) to increase his and his staff's fees. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
October 6, 2016	Filing 636 ORDER: Accordingly, IT IS HEREBY ORDERED THAT, to the extent that the Accounts contain Receivership Assets, the Court authorizes the Receiver to reinvest in either the (a) JPMorgan Liquidity Funds or (b) Goldman Sachs U.S. Treasury Liquid Reserves Fund, but not the potential third option, about which the Court has not received adequate information. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/06/2016) (ama)
October 6, 2016	Filing 635 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated October 6, 2016 re: Increased Hourly Compensation Rate. Document filed by Ian Gazes. (Attachments: #1 Supplement Notice of Increase in Hourly Fees)(Gazes, Ian)
September 29, 2016	Filing 634 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 29, 2016 re: Regarding Authorization to Transfer Accounts. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B)(Gazes, Ian)
September 27, 2016	Filing 633 ORDER: The Court is in receipt of an interim application for compensation and the reimbursement of expenses filed by the Receiver, Ian J. Gazes, dated September 23, 2016. (Doc. No. 631.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by October 4, 2016. SO ORDERED. (Responses due by 10/4/2016) (Signed by Judge Richard J. Sullivan on 9/27/2016) (kl)
September 23, 2016	Filing 632 RESPONSE in Support of Motion re: #631 MOTION for Compensation /Third Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Ian Gazes. (Gazes, Ian)
September 23, 2016	Filing 631 MOTION for Compensation /Third Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes. (Attachments: #1 Supplement)(Gazes, Ian)
September 14, 2016	Filing 637 MEMO ENDORSEMENT on re: #630 Letter filed by James Stableford. (We therefore respectfully request that Mr. Stableford be allowed to respond to Mr.Gazes's letter on or before October 3, 2016.) ENDORSEMENT: IT IS HEREBY ORDERED THAT, by October 3, 2016, Intervenor shall submit a letter to the Court setting forth (1) the assets held in the Pension Scheme, (2) the value of those assets, to the extent known, (3) the percentage of Pension Scheme assets owned by Defendant Gary Tanaka, and (4) the percentage of Pension Scheme assets owned by Defendant Alberto Vilar. SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/14/2016) (ama)
September 12, 2016	Filing 630 LETTER addressed to Judge Richard J. Sullivan from James M. Webster dated September 12, 2016 re: responding to September 9, 2016 letter from Ian Gazes. Document filed by James Stableford.(Webster, James)
September 12, 2016	Filing 629 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/16 re: the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme. Document filed by Ian Gazes.(Gazes, Ian)
September 12, 2016	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Ian J. Gazes to RE-FILE Document #628 LETTER MOTION to Compel James Stableford to turnover to the Court and Receiver certain Information related to the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/. Use the event type Letter found under the event list Other Documents. (db)
September 9, 2016	Filing 628 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Compel James Stableford to turnover to the Court and Receiver certain Information related to the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/16. Document filed by Ian Gazes.(Gazes, Ian) Modified on 9/12/2016 (db).
July 20, 2016	Filing 627 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated July 20, 2016 re: Supplemental Affidavit of Brian Ryniker Regarding Rate Change. Document filed by Ian Gazes.(Gazes, Ian)
July 20, 2016	Filing 626 NOTICE OF APPEARANCE by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. (Begos, Patrick)
July 18, 2016	Filing 625 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated July 18, 2016 re: Supplemental Affidavit of Brian Ryniker Regarding Rate Change. Document filed by Ian Gazes.(Gazes, Ian)
July 6, 2016	Filing 624 MEMO ENDORSEMENT on re: #621 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: The Court has been advised by the Receiver that he is aware of this account and is taking appropriate steps to determine whether it or any of the funds contained therein constitute receivership assets. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/05/2016) (ama)
July 1, 2016	Filing 623 ORDER re: #610 Letter filed by Ian Gazes, #613 Letter filed by J.P. Morgan Securities LLC, #604 Letter filed by J.P. Morgan Securities LLC, #611 Letter filed by James Stableford: that, to the extent that these funds contain receivership assets, the Court approves JPMorgan's contemplated liquidation plan and has no objection to reinvesting these funds in the alternate investment proposed by the Receiver. (Signed by Judge Richard J. Sullivan on 7/1/2016) (tn)
July 1, 2016	Filing 622 NOTICE OF APPEARANCE by Lisa Ann Giunta on behalf of Debra Mayer, Lisa Mayer. (Giunta, Lisa)
June 30, 2016	Filing 621 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman dated June 30, 2016 re: Morgan Stanley London Account. Document filed by Debra Mayer, Lisa Mayer. (Attachments: #1 Exhibit 1)(Reisman, Jerome)
June 30, 2016	Filing 620 NOTICE OF APPEARANCE by Jerome Reisman on behalf of Debra Mayer, Lisa Mayer. (Reisman, Jerome)
June 14, 2016	Filing 619 ORDER granting #585 Motion for Attorney Fees. For the reasons set forth above, Solomon Harris' Application is GRANTED. Solomon Harris shall be compensated for its services in the amount of $88,776.00 and reimbursed for expenses in the amount of $242.62, to be paid by the Receiver from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a Receivership Asset under the jurisdiction of this Court (see Doc. No. 507). The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 585. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 6/14/2016) (mro)
May 20, 2016	Filing 618 ORDER granting #584 Motion to Approve. For the reasons set forth above, the Receiver's motion is GRANTED in its entirety. Accordingly, IT IS HEREBY ORDERED THAT the Third Interim Distribution is approved and the Receiver is authorized to and shall distribute funds in accordance with the Third Interim Distribution Schedule. (See Doc. No. 607-2.) For purposes of this Third Interim Distribution, IT IS FURTHER ORDERED THAT the Zanzuri Claim shall be allowed in the amount of $1,174,596.99. In addition, for purposes of this Third Interim Distribution, IT IS FURTHER ORDERED THAT the total amount allowed for the Acevedo Claim shall be increased to $905,319.20. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 584. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 5/20/2016) (mro)
May 6, 2016	Filing 617 LETTER addressed to Judge Richard J. Sullivan from John Preetzmann-Aggerholm dated 5/3/16 re: I am an Amerindo claimant and I live in Port au Prince, Haiti, far removed from this case. I am very grateful to you for the appointment of the Amerindo Receiver, Mr. Ian Gazes who has sent me two checks so far representing more than half of my approved Amerindo claim. I recently wrote to Mr. Gazes to ask about the timing of the third distribution and also about certain issues which still remain unaddressed in my approved Amerindo claim. Mr. Gazes answered me overnight, which I really appreciated. I also keep in touch with my cousin, Alfred Heitkonig, who is has been more active than I in this case and thus I am aware of the enormous efforts undertaken thus far, and that much work remains to be done. (mro)
April 26, 2016	Filing 616 ORDER APPROVING PURCHASE AND SALE AGREEMENT: This is an Addendum to the Court's Order of today's date (collectively, the "Order") granting the Receiver's motion (Doc. No. 597 (the "Motion")) for approval and authorization to consummate the sale of certain Receivership Assets. IT IS HEREBY FOUND AND DETERMINED THAT: Proper, timely, adequate, and sufficient notice of the Motion, and the requested relief set forth therein, has been provided as evidenced by the certificate of service filed with Clerk of this Court and no other or further notice of the Motion or the entry of this Order is necessary. (As further set forth in this Order.) This Court shall retain jurisdiction to resolve any and all disputes arising from or relating to this Order or the Transaction Documents. (Signed by Judge Richard J. Sullivan on 4/26/2016) (cf)
April 26, 2016	Filing 615 ORDER granting #597 Motion to Authorize Authorize Receiver's Motion For Entry of an Order Approving the Sale of Certain Private Securities. IT IS HEREBY ORDERED THAT the Receiver is authorized and empowered to consummate the sale of the Purchased Securities pursuant to the terms and conditions set forth in the Purchase and Sale Agreement and as otherwise set forth in the attached Order Approving the Purchase and Sale Agreement. (As further set forth in this Order.) IT IS FURTHER ORDERED THAT the Receiver is authorized and empowered to pay Oxis the success fee pursuant to the terms set forth in the Engagement Letter. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 597. (Signed by Judge Richard J. Sullivan on 4/26/2016) (cf)
April 18, 2016	Filing 614 MANDATE of USCA (Certified Copy) as to #447 Notice of Appeal,,,,,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. USCA Case Number 14-2425. UPON DUE CONSIDERATION, IT IS HEREBY ORDERED, ADJUDGED AND DECREED that the judgment of the district court be AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 04/18/2016. (nd)
March 24, 2016	Filing 613 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 03/24/2016 re: Letter dated 3/18/2016. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)
March 22, 2016	Filing 612 DECLARATION of Vivian Shevitz in Opposition re: #597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593)., #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
March 18, 2016	Filing 611 LETTER addressed to Judge Richard J. Sullivan from James M. Webster III dated 3/18/2016 re: #609 Court Order. Document filed by James Stableford. (Attachments: #1 Exhibit A)(Webster, James)
March 18, 2016	Filing 610 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/18/16 re: JPMorgan letter dated 3/4/16 and Court's Order dated 3/10/16. Document filed by Ian Gazes.(Gazes, Ian)
March 10, 2016	Filing 609 ORDER: The Court is in receipt of a letter from non-party J.P. Morgan Securities LLC ("JPMorgan"), dated March 4, 2016, seeking the Court's "guidance with respect to two accounts" that contain Receivership Assets: (1) Amerindo Investment Advisors Inc. Money Purchase Plan and Trust (account number ending in 5612); and (2) the Trustees of the Amerindo Advisors (UK) Ltd. Retirement Benefits Scheme (account number ending in 5012). (Doc. No. 604.) Specifically, to comply with recent amendments to U.S. Securities and Exchange Commission Rules and Regulations, JPMorgan wishes to liquidate these two accounts' investments in a Dreyfus Liquid Assets money market fund and then reinvest these liquidated funds in an alternate investment. JPMorgan seeks the Court's approval regarding this proposed course of action and the Court's direction as to the appropriate alternate investment for these funds. Accordingly, IT IS HEREBY ORDERED THAT, by March 21, 2016, Receiver Ian Gazes shall submit a response to JPMorgan's letter, which shall also include a proposed alternate investment for these funds. (Signed by Judge Richard J. Sullivan on 3/10/2016) (mro)
March 9, 2016	Filing 608 REPLY to Response to Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi - Mayers' Cross-Motion for Amendment of Their Claim. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
March 8, 2016	Filing 607 REPLY to Response to Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi, #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver. . Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Gazes, Ian)
March 7, 2016	Filing 606 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Amerindo Investment Advisors Inc.. (Friedman, Julian)
March 7, 2016	Filing 605 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #606) NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Amerindo Investment Advisors Inc.. (Friedman, Julian) Modified on 3/10/2016 (lb).
March 4, 2016	Filing 604 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 03/04/2016 re: Instruction Regarding Trust Accounts. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)
March 4, 2016	Filing 603 RESPONSE in Support of Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizing and Directing a Third Interim Distribution. Filed by Claimants Paul Marcus, The Deane J. Marcus Trust, The Steven E. Marcus Trust, The Cheryl Marcus-Podhaizer Trust and The Eve S. Marcus Children's Trust. (kko)
March 1, 2016	Filing 602 DECLARATION of Vivian Shevitz in Opposition re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi, #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
February 25, 2016	Filing 601 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated February 11, 2016 re: /Proposed Order Approving Purchase and Sale Agreement (Related to Doc No. 593). Document filed by Ian Gazes.(Gazes, Ian)
February 25, 2016	Filing 600 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated January 15, 2016 re: Motion for An Order Approving the Proposed Sale of Certain Private Securities (Related to Doc No. 593).. Document filed by Ian Gazes.(Gazes, Ian)
February 25, 2016	Filing 599 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 22, 2014 re: Motion for An Order Approving the Proposed Sale of Certain Private Securities (Related to Doc No. 593).. Document filed by Ian Gazes.(Gazes, Ian)
February 25, 2016	Filing 598 AFFIDAVIT of Oxis Capital Inc. in Support re: #597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593)., #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities .. Document filed by Ian Gazes. (Gazes, Ian)
February 25, 2016	Filing 597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593). Document filed by Ian Gazes.(Gazes, Ian)
February 25, 2016	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Ian J. Gazes to RE-FILE Document #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
February 24, 2016	Filing 596 MEMO ENDORSEMENT on re: #595 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: Defendants' extension request is GRANTED. Accordingly, IT IS HEREBY ORDERED THAT Defendants shall submit a response to Receiver Ian Gazes' motion to approve a private sale (Doc. No. 593) by March 22, 2016. No further extensions will be granted. ( Responses due by 3/22/2016) (Signed by Judge Richard J. Sullivan on 2/24/2016) (mro)
February 23, 2016	Filing 595 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 23, 2016 re: Response to DOC 593, Motion re private equities. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
February 23, 2016	Filing 594 ORDER. The Court is in receipt of Receiver Ian Gazes' motion for an order approving the proposed sale of certain private securities currently held by the Receiver as receivership assets. (Doc. No. 593.) Accordingly, IT IS HEREBY ORDERED THAT any responses to this motion shall be filed by March 1, 2016. (Responses due by 3/1/2016) (Signed by Judge Richard J. Sullivan on 2/23/2016) (rjm)
February 23, 2016	Filing 593 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities . Document filed by Ian Gazes. (Attachments: #1 Affidavit In Support of Receiver's Motion, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C - Proposed Order)(Gazes, Ian) Modified on 2/25/2016 (db).
February 15, 2016	Filing 592 MEMORANDUM OF LAW in Opposition re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi , in opposition to Zanzuri and Acevedo claims, and in support of cross-motion for Amendment to increase Mayer claim. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
February 3, 2016	Filing 591 MEMO ENDORSEMENT on re: #589 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: While the Court is sympathetic to counsel's demanding schedule, and will grant a limited extension of time in which to respond to the motion and application filed by Receiver Ian Gazes on January 27, 2016 (Doc. Nos. 584 and 585), the Court finds that several additional months in this already-prolonged case is excessive, especially given the interests of the defrauded investors in this case, who have been waiting years to be made whole. Accordingly, IT IS HEREBY ORDERED THAT Ms. Shevitz, on behalf of her clients, shall file a response to the Receiver's motion and application by March 1, 2016. IT IS FURTHER ORDERED THAT the Receiver shall file a reply, if any, by March 8, 2016. ( Responses due by 3/1/2016, Replies due by 3/8/2016.) (Signed by Judge Richard J. Sullivan on 2/3/2016) (mro)
February 3, 2016	Filing 590 LETTER addressed to Judge Richard J. Sullivan from Mark D. Salzberg dated February 2, 2016 re: In Opposition to Defendants' February 2, 2016 Letter. Document filed by Securities and Exchange Commission.(Salzberg, Mark)
February 2, 2016	Filing 589 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 2, 2016 re: Extended time to respond to Motions 584, 585, and consent to pay Zanzuri and Acevedo at this time.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
January 27, 2016	Filing 588 ORDER: The Court is in receipt of the following two submissions from Receiver Ian Gazes: (1) a motion for fixing, allowing, and amending certain investor claims and authorizing an interim distribution (Doc. No. 584), and (2) an application for compensation and reimbursement of expenses on behalf of the law firm Solomon Harris (Doc. No. 585). Accordingly, IT IS HEREBY ORDERED THAT any responses to the Receiver's motion and the application shall be filed by February 15, 2016. ( Responses due by 2/15/2016) (Signed by Judge Richard J. Sullivan on 1/27/2016) (mro)
January 27, 2016	Filing 587 NOTICE OF APPEARANCE by Leo L. Esses on behalf of Maakie Heitkoenig. (Esses, Leo)
January 27, 2016	Filing 586 DECLARATION of Ian J. Gazes in Support re: #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver.. Document filed by Ian Gazes. (Gazes, Ian)
January 27, 2016	Filing 585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)
January 27, 2016	Filing 584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizing and Directing a Third Interim Distribution. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian)
November 18, 2015	Filing 583 ORDER denying #576 Motion for Reconsideration: that Defendants' motion for reconsideration is DENIED. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 576. (Signed by Judge Richard J. Sullivan on 11/18/2015) (tn)
October 9, 2015	Filing 582 MEMO ENDORSEMENT granting #580 Motion to Authorize. ENDORSEMENT: In light of the lack of any objections from or actual prejudice to other investors, IT IS HEREBY ORDERED THAT this request is GRANTED and the Receiver shall promptly distribute $18,889.31 to investor Graciela Lecube Chavez. (Signed by Judge Richard J. Sullivan on 10/8/2015) (mro)
September 30, 2015	Filing 581 RESPONSE in Support of Motion re: #580 MOTION to Authorize Emergency Interim Distribution to Investor Claimant Graciela Lecube Chavez . . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
September 30, 2015	Filing 580 MOTION to Authorize Emergency Interim Distribution to Investor Claimant Graciela Lecube Chavez . Document filed by Ian Gazes.(Gazes, Ian)
September 25, 2015	Filing 579 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/25/15 re: Withdrawal of Pending Application to Retain the law firm of Withers LLP. Document filed by Ian Gazes.(Gazes, Ian)
September 22, 2015	Filing 578 ORDER FOR ADMISSION PRO HAC VICE granting #577 Motion for James M. Webster, III to Appear Pro Hac Vice. (Signed by Judge Richard J. Sullivan on 9/21/2015) (rjm)
September 21, 2015	Filing 577 MOTION for James M. Webster, III to Appear Pro Hac Vice CORRECTED. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by James Stableford. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Exhibit B - Certificate of Good Standing, #3 Text of Proposed Order Proposed Order)(Webster, James)
September 21, 2015	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #577 MOTION for James M. Webster, III to Appear Pro Hac Vice CORRECTED. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 19, 2015	Filing 576 MOTION for Reconsideration re; #574 Order on Motion for Compensation,,,, . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 17, 2015	Filing 575 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for James M. Webster, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11400570. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by James Stableford. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Exhibit B - Certificate of Good Standing, #3 Text of Proposed Order Proposed Order)(Webster, James) Modified on 9/17/2015 (sdi).
September 17, 2015	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #575 MOTION for James M. Webster, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11400570. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Clerk of Appeals of Maryland;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (sdi)
September 14, 2015	Filing 574 ORDER granting #549 Motion for Compensation. Now before the Court is the Receiver's second interim application for compensation and reimbursement of expenses. (Doc. No. 549.) Specifically, the Receiver seeks $160,597 in compensation, subject to a 20% holdback of $32,119.40, and $4,147.19 in reimbursement of expenses for the period beginning November 5, 2013 and ending July 22, 2015. IT IS HEREBY ORDERED THAT the Receiver is awarded $128,477.60 in compensation and $4,147.19 in expenses, to be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court (Doc. No. 507). The remaining 20% of compensation (amounting to $32,119.40) shall be held back until the Receiver's work is complete to the Court's satisfaction. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 9/14/2015) (mro) Modified on 9/14/2015 (mro).
September 8, 2015	Filing 573 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 9-8-15 re: Reconsideration of characterization of defendants' objections as "moot", in court orddr 572 granting time to receiver to continue unauthorized conduct. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 4, 2015	Filing 572 ORDER: The Court is in receipt of a letter from the Receiver, Ian Gazes, dated September 4, 2015 (Doc. No. 570), requesting an extension of time to file a response to Defendants' and third-party James Stableford's August 28, 2015 objections to the Receiver's application to retain a law firm in connection with the liquidation of Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme (Doc. No. 568). Specifically, the Receiver requests the extension in light of his ongoing communications with Mr. Stableford regarding "the methodology for the liquidation/dissolution of th[is] [U.K. pension]." (Doc. No. 570.) Because the Court believes that such communications may be beneficial to the orderly resolution of this dispute, IT IS HEREBY ORDERED THAT the Receiver's request is GRANTED and he shall file his response to the August 28 objections by September 29, 2015. (Signed by Judge Richard J. Sullivan on 9/4/2015) (mro)
September 4, 2015	Filing 571 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 4, 2015 re: Gazes' application to not respond to defendants'-appellants' objections to his proceeding to "administer and control" non-receivership asset UK Pension (Gazes' letter DOC 570). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 4, 2015	Filing 570 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 4, 2015 re: Extension for Receiver to Reply to Defendants' and James Stableford's Submissions. Document filed by Ian Gazes.(Gazes, Ian)
September 2, 2015	Filing 569 RESPONSE in Support of Motion re: #562 MOTION to Authorize Receiver's Retention of Withers LLP . Response to Stableford's Opposition to Motion. Document filed by Lisa Mayer, Debra Mayer. (Begos, Patrick)
August 31, 2015	Filing 568 ORDER granting #566 Motion to Intervene. On August 20, 2015, court-appointed Receiver Ian Gazes's filed an application, dated August 18, 2015, requesting permission to retain Withers LLP to serve as "solicitors" with respect to the liquidation of Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme (the "Pension Scheme"). (Doc. No. 562 (the "Application").) On August 21, 2015, the Court issued an Order directing that any responses to the Application shall be filed by August 28, 2015. (Doc. No. 563.) The Court is now in receipt of (1) Defendants' self-styled declaration, dated August 28, 2015, opposing the Application (Doc. No. 565); (2) third-party James Stableford's motion to intervene in this case as "one of four managing trustees and members" of the Pension Scheme, pursuant to Federal Rule of Civil Procedure 24(a)(2) or 24(b)(1) (Doc. No. 567); and (3) Mr. Stableford's opposition to the Application, dated August 28, 2015, and attached as Exhibit A to his motion (Doc. No. 567-1). Rule 24(b)(1) provides that a court "may permit anyone to intervene who...has claim or defense that shares with the main action a common question of law or fact." Pursuant to this rule, the Court previously allowed Mr. Stableford to intervene in a related civil matter based on his role as a managing trustee of the Pension Scheme. (Mayer v. J.P. Morgan Securities, LLC, 12-cv-5240 (RJS), Doc. No. 102.) Thus, for largely the same reasons, the Court finds that Mr. Stableford also meets the relevant intervenor standard in the instant matter. Accordingly, IT IS HEREBY ORDERED THAT, pursuant to Rule 24(b)(1), Mr. Stableford's motion to intervene is GRANTED. IT IS FURTHER ORDERED THAT, by September 8, 2015, the Receiver shall respond to the factual and legal assertions contained in Defendants' and Mr. Stableford's August 28 submissions regarding the Application (see Doc. Nos. 565 and 567-1). (Signed by Judge Richard J. Sullivan on 8/31/2015) (mro) Modified on 9/4/2015 (mro).
August 28, 2015	Filing 567 MEMORANDUM OF LAW in Support re: #566 MOTION to Intervene . . Document filed by James Stableford. (Attachments: #1 Exhibit A)(Goldsmith, Andrew)
August 28, 2015	Filing 566 MOTION to Intervene . Document filed by James Stableford.(Goldsmith, Andrew)
August 28, 2015	Filing 565 DECLARATION of Vivian Shevitz in Opposition re: #562 MOTION to Authorize Receiver's Retention of Withers LLP .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
August 28, 2015	Filing 564 NOTICE OF APPEARANCE by Andrew Edward Goldsmith on behalf of James Stableford. (Goldsmith, Andrew)
August 21, 2015	Filing 563 ORDER: The Court is in receipt of Receiver Ian Gazes's application, dated August 18, 2015, requesting permission to retain Withers LLP to serve "as solicitors in connection with the liquidation of the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme." (Doc. No. 562.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by August 28, 2015. Set Deadlines/Hearing as to #562 MOTION to Authorize Receiver's Retention of Withers LLP: (Responses due by 8/28/2015) (Signed by Judge Richard J. Sullivan on 8/21/2015) (kko)
August 20, 2015	Filing 562 MOTION to Authorize Receiver's Retention of Withers LLP . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)
August 14, 2015	Filing 561 ORDER denying #555 Motion for Attorney Fees; denying #555 Motion to Disqualify; denying #555 Motion for Recusal; denying #555 Motion for Release of Funds; denying #555 Motion to Stay. For all the reasons set forth above. IT IS HEREBY ORDERED THAT Defendants' August 10 Motion is DENIED. Moreover, since there is no need for additional briefing or a hearing on Defendants' motion, IT IS FURTHER ORDERED THAT the SEC's and Receiver's requests for an extension of time in which to respond to the motion and a later return date for the hearing are DENIED as moot. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 555. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 8/14/2015) (mro)
August 14, 2015	Filing 560 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated August 14, 2015 re: Response and opposition to Ian Gazes' letter request (DOC 559) to decide his motion for fees, etc., before deciding motion for recusal and a stay (DOC 555). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
August 13, 2015	Filing 559 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 8/13/15 re: Defendants' Declaration and Cross Motion. Document filed by Ian Gazes.(Gazes, Ian)
August 12, 2015	Filing 558 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated August 12, 2015 re: Responding to Mark Salzberg's letter seeking September 11, 2015 date to respond to Motion 555. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
August 12, 2015	Filing 557 LETTER addressed to Judge Richard J. Sullivan from Mark D. Salzberg dated August 12, 2015 re: Defendants' August 10, 2015 Filing. Document filed by Securities and Exchange Commission.(Salzberg, Mark)
August 10, 2015	Filing 556 DECLARATION of Vivian Shevitz in Opposition re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.., #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses., #548 MOTION to Authorize and Direct J.P. Morgan Securities LLC or its Affiliates to Turn Over Original Stock Certificates .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Securities and Exchange Commission, Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
August 10, 2015	Filing 555 MOTION for Attorney Fees under CJA.( Return Date set for 8/20/2015 at 10:00 AM.), MOTION to Disqualify Judge Sullivan., MOTION for Recusal of Judge Sullivan.( Return Date set for 8/20/2015 at 10:00 AM.), MOTION for Release of Funds -- UK Pension Account., MOTION to Stay proceedings and specifically Receiver Motions 548 and 549. ( Return Date set for 8/20/2015 at 10:00 AM.) Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
August 6, 2015	Filing 554 STATUS REPORT. Receiver's Fourth Status Report Document filed by Ian Gazes. (Attachments: #1 Errata A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H)(Gazes, Ian)
August 5, 2015	Filing 553 CERTIFICATE OF SERVICE of ORDER served on J.P. Morgan on August 3, 2015. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)
August 3, 2015	Filing 552 RESPONSE in Support of Motion re: #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)
August 3, 2015	Filing 551 ORDER: The Court is in receipt of a motion filed by the Receiver, Ian J. Gazes (the "Receiver"), requesting that the Court compel third-party J.P. Morgan Securities, LLC ("J.P. Morgan") to turn over receivership assets held by J.P. Morgan. (Doc. No. 548.) IT IS HEREBY ORDERED THAT, by August 6, 2015, the Receiver shall serve this Order upon J.P. Morgan, and by August 14, 2015, J.P. Morgan shall comply with the Court's prior Orders or, in the alternative, shall submit a letter informing the Court (1) why it has not been responsive to the Receiver's requests, (2) whether it believes the stock certificates referenced by the Receiver are held for the benefit of the Amerindo Technology Growth Fund II Inc., and (3) of any other information it believes the Court would find useful pertaining to the relevant assets. (Signed by Judge Richard J. Sullivan on 8/1/2015) (mro)
August 3, 2015	Filing 550 ORDER: The Court is in receipt of an interim application for compensation and the reimbursement of expenses filed by the Receiver, Ian J. Gazes, dated July 30, 2015. (Doc. No. 549.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by August 10, 2015. Set Deadlines/Hearing as to #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses: ( Responses due by 8/10/2015) (Signed by Judge Richard J. Sullivan on 8/1/2015) (mro)
July 30, 2015	Filing 549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Account Statement, #2 Exhibit B - Certification, #3 Exhibit C- Time Records)(Gazes, Ian)
July 30, 2015	Filing 548 MOTION to Authorize and Direct J.P. Morgan Securities LLC or its Affiliates to Turn Over Original Stock Certificates . Document filed by Ian Gazes. (Attachments: #1 Proposed Order, #2 Exhibit B)(Gazes, Ian)
July 14, 2015	Filing 547 ORDER granting #537 Motion for Compensation. IT IS HEREBY ORDERED THAT the motion is GRANTED. CBIZ shall be compensated in the amount of $146,066.20 for services rendered and reimbursed for expenses in the amount of $17.61. The Clerk of the Court is respectfully directed to terminate the motion pending at docket number 537. (Signed by Judge Richard J. Sullivan on 7/14/2015) (mro)
July 14, 2015	Filing 546 NOTICE of Withdrawal of Appearance of David Burger. Document filed by Alberto William Vilar. (Ringel, Fred)
July 7, 2015	Filing 545 REPLY to Response to Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Reply to NEAL JACOBSON'S ENDORSEMENT (DOC 544). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
July 6, 2015	Filing 544 RESPONSE in Support of Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)
July 4, 2015	Filing 543 REPLY to Response to Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. RESPONDING TO IAN GAZES' 542 --. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
June 29, 2015	Filing 542 RESPONSE in Support of Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. . Document filed by Ian Gazes. (Gazes, Ian)
June 18, 2015	Filing 541 ORDER granting #540 Letter Motion for Extension of Time to File Response/Reply. IT IS HEREBY ORDERED THAT the Receiver's deadline to respond to any opposition to CBIZ's application shall be June 29, 2015. Responses due by 6/29/2015. (Signed by Judge Richard J. Sullivan on 6/17/2015) (mro)
June 17, 2015	Filing 540 MOTION for Extension of Time to File Response/Reply as to #539 Order,,, Set Deadlines,, . Document filed by Ian Gazes.(Gazes, Ian)
June 10, 2015	Filing 539 ORDER: The Court is in receipt of an interim application filed by CBIZ Accounting Tax & Advisory of New York LLC ("CBIZ"), dated May 20, 2015 and filed June 4, 2015, seeking compensation for services rendered and reimbursement for expenses incurred in connection with this receivership, in the total amount of $146,083.81. (Doc. No. 537.) The Court is also in receipt of a declaration in opposition to CBIZ's application submitted by Vivian Shevitz on behalf of Defendants. (Doc. No. 538.) IT IS HEREBY ORDERED THAT any other responses to CBIZ's application shall be filed by June 19, 2015. SO ORDERED. (Responses due by 6/19/2015) (Signed by Judge Richard J. Sullivan on 6/10/2015) (ajs)
June 8, 2015	Filing 538 DECLARATION of Vivian Shevitz in Opposition re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver... Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
June 4, 2015	Filing 537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Document filed by Ian Gazes.(Gazes, Ian)
May 18, 2015	Filing 536 ORDER: IT IS HEREBY ORDERED THAT, by May 22, 2015, the Receiver shall serve this Order upon S.G. Americas, and by June 1, 2015, S.G. Americas shall comply with the Court's prior Orders or, in the alternative, shall submit a letter informing the Court (1) why it has not been responsive to the Receiver's requests, (2) whether it believes the assets referenced by the Receiver are held for the benefit of the Amerindo Technology Growth Fund, and (3) of any other information it believes the Court would find useful pertaining to the relevant assets. (Signed by Judge Richard J. Sullivan on 5/15/2015) (kko)
May 11, 2015	Filing 535 DECLARATION of Vivian Shevitz in Opposition re: #518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets ., #534 MOTION to Compel S.G. Americas Securities, LLC to Turn Over Receivership Assets .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
May 11, 2015	Filing 534 MOTION to Compel S.G. Americas Securities, LLC to Turn Over Receivership Assets . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Account Statement)(Gazes, Ian)
April 7, 2015	Updated Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #533 Order on Motion to Compel, USCA Case Number 14-2425, were transmitted to the U.S. Court of Appeals. (tp)
March 24, 2015	Filing 533 ORDER granting #518 Motion to Compel. Now before the Court is the Receiver's motion for an order compelling U.S. Bank N.A. ("U.S. Bank") to turn over receivership assets in its possession. (Doc. No. 518.) Pursuant to the Court's February 25, 2015 Order (Doc. No. 521), the Court is also in receipt of the attached letter from U.S. Bank, taking no position on the relief sought by the Receiver but expressing concern as to the implications of the Post-Conviction Restraining Order in the parallel criminal case, United Stales v. Vilar, et al., No. 05-cr-621 (RJS) ("Criminal Action"), Doc. No. 364 (S.D.N.Y. Oct. 26, 2009). The Court notes that the Post-Conviction Restraining Order has been superseded-in the first instance by the original Substitute Asset Forfeiture Order dated November 9, 2010 (Criminal Action, Doc. No. 463)-and is no longer in effect. Moreover, to the extent the restraining order remains in effect, it is hereby lifted for purposes of the disposition of the funds held by U.S. Bank for the benefit of Amerindo Technology Growth Fund II, Inc. ("ATGF II"). Additionally, based on the contents of the letter submitted by U.S. Bank, the Court is satisfied that the funds in question were held for the benefit of ATGF II investors, and are thus a part of the receivership. (See Doc. No. 507.) Accordingly, IT IS HEREBY ORDERED THAT U.S. Bank shall turn over the funds in its possession held for the benefit of ATGF II investors to the Receiver in this case, Ian J. Gazes, by April 13, 2015. (Signed by Judge Richard J. Sullivan on 3/23/2015) (mro)
March 24, 2015	Filing 532 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/9/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
March 24, 2015	Filing 531 TRANSCRIPT of Proceedings re: conference held on 12/9/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)
March 24, 2015	Filing 530 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/11/2012 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
March 24, 2015	Filing 529 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/11/2012 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)
March 24, 2015	Filing 528 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/2/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
March 24, 2015	Filing 527 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/2/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)
March 24, 2015	Filing 526 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/1/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
March 24, 2015	Filing 525 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/1/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)
March 4, 2015	Filing 524 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/4/15 re: Receivership Assets Held by U.S. Bank. N.A.. Document filed by Ian Gazes.(Gazes, Ian)
March 2, 2015	Filing 523 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 919 Third Avenue, 37th Floor, New York, New York, 10022, 212-223-0200. (Friedman, Julian)
February 27, 2015	Filing 522 CERTIFICATE OF SERVICE of Order served on U.S Bank N.A. on 2/26/15. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)
February 25, 2015	Filing 521 ORDER: The Court is in receipt of a motion filed by the Receiver, Ian J. Gazes (the "Receiver"), requesting that the Court compel third-party U.S. Bank N.A. ("U.S. Bank") to turn over receivership assets held by U.S. Bank. (Doc. No. 518.) The Court is also in receipt of a declaration from Defendants' counsel opposing the Receiver's motion, largely on the ground that the motion lacks sufficient information from which the Court could conclude that U.S. Bank is in possession of Receivership Assets. (Doc. No. 520.) IT IS HEREBY ORDERED THAT, by March 4, 2015, the Receiver shall file a letter informing the Court of his basis for concluding that the funds held at U.S. Bank are, in fact, held for the benefit of Amerindo Technology Growth Fund II, Inc. ("ATGF II"). IT IS FURTHER ORDERED THAT, by February 27, 2015, the Receiver shall serve this Order upon U.S. Bank, and by March 13, 2015, U.S. Bank shall submit a letter informing the Court (1) why it has declined the Receiver's requests, (2) whether it believes the funds referenced by the Receiver are held for the benefit of ATGF II, and (3) of any other information it believes the Court would find useful pertaining to the relevant funds. (Signed by Judge Richard J. Sullivan on 2/25/2015) (mro)
February 23, 2015	Filing 520 DECLARATION of Vivian Shevitz in Opposition re: #518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
February 18, 2015	Filing 519 CERTIFICATE OF SERVICE of Motion served on U.S Bank N.A. on 2/18/15. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)
February 18, 2015	Filing 518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets . Document filed by Ian Gazes.(Gazes, Ian)
February 3, 2015	Filing 517 ORDER denying #512 Motion for Reconsideration. On December 30, 2014, the Court issued an Order on the motion of Ian J. Gazes, Court-appointed Receiver, authorizing a second interim distribution of funds in partial satisfaction of investor claims in this receivership. (Doc. No. 510 ("Distribution Order").) Now before the Court is a motion for reconsideration of the Distribution Order filed by Defendants. (Doc. No. 512 ("Reconsideration Motion").) Accordingly, IT IS HEREBY ORDERED THAT Defendants' motion for reconsideration of the Distribution Order is DENIED. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 512. (Signed by Judge Richard J. Sullivan on 2/3/2015) (mro)
January 20, 2015	Filing 516 REPLY to Response to Motion re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
January 16, 2015	Filing 515 RESPONSE in Opposition to Motion re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)
January 6, 2015	Filing 514 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 425 Park Avenue, New York, New York, 10022, 212-223-0200. (Friedman, Julian)
January 6, 2015	Filing 513 DECLARATION of Vivian Shevitz in Support re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
January 6, 2015	Filing 512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
January 6, 2015	Filing 511 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Reconsideration re; #510 Order on Motion to Approve,, SEcond Distribution. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 Affidavit Declaration in support of reconsideration of Order granting second distribution (DOC 510))(Shevitz, Vivian) Modified on 1/6/2015 (db).
January 6, 2015	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #511 MOTION for Reconsideration re; #510 Order on Motion to Approve,, SEcond Distribution. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
December 31, 2014	Filing 510 ORDER granting #499 Motion to Approve. Having reviewed the Receiver's motion, all of the objections and responses, and the Receiver's Reply, the Court determines that the Receiver's proposed Second Interim Distribution, as set forth in the Second Interim Distribution Schedule, is fair and reasonable. Accordingly, IT IS HEREBY ORDERED THAT the Receiver's motion for a Second Interim Distribution is GRANTED. The Receiver shall distribute funds according to the schedule set forth in the Second Interim Distribution Schedule. The Clerk of the Cout1 is respectfully directed to close the motion pending at docket entry number 499. SO ORDERED. (See Order.) (Signed by Judge Richard J. Sullivan on 12/30/2014) (ajs)
November 24, 2014	Filing 509 REPLY to Response to Motion re: #499 MOTION to Approve Second Interim Distribution . Receivers Omnibus Reply to Objection to the Receivers Motion for a Order Authorizing and Directing a Second Interim Distribution. Document filed by Ian Gazes. (Gazes, Ian)
November 21, 2014	Filing 508 REPLY to Response to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Maria Dichov. (Attachments: #1 Exhibit Exhibit A to Dichov Response to Marcus Objections to 2nd Interim Distribution)(Winick, Paul)
November 21, 2014	Filing 507 ORDER granting in part and denying in part #491 Motion for for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation). IT IS HEREBY ORDERED THAT the Receivership Assets of the Companies over which the Receiver has been appointed include all assets of the Companies, wherever held. IT IS FURTHER ORDERED THAT the Receiver is empowered to take all steps necessary to recover the Receivership Assets, including, where necessary, seeking recognition of his appointment in jurisdictions outside the United States where Receivership Assets are located, such as in the Cayman Proceeding. IT IS FURTHER ORDERED THAT the term "assets" includes, but shall not be limited to, cash or its equivalent, securities, bonds, depository accounts, claims, causes of action, accounts, escheated assets, and dividends held by or for the benefit of the Companies wherever located, including the dividend due to ATGFII in the Cayman Proceeding. IT IS FURTHER ORDERED THAT the Receiver is authorized to pay SG Americas Securities, LLC, or any other custodian of a Receivership Asset, the customary fees and expenses attendant to the liquidation of any Receivership Asset. However, the Court finds that an order enjoining Defendants and their representatives from defending any property interests they may have in any proceeding throughout the world would be overly broad and is not necessary to effectuate the Court's jurisdiction over the receivership estate. Accordingly, IT IS FURTHER ORDERED THAT the Receiver's motion for a broad order enjoining Defendants from interfering with Receivership Assets is DENIED. With respect to the Cayman Proceeding, the Court is confident that this clarifying Order will be sufficient to establish the Receiver's authority with respect to any and all Receivership Assets in that country. (Signed by Judge Richard J. Sullivan on 11/20/2014) (mro)
November 17, 2014	Filing 506 Objection re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)
November 14, 2014	Filing 505 RESPONSE in Opposition to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
November 14, 2014	Filing 504 RESPONSE in Opposition to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Paul Marcus. (Attachments: #1 Exhibit A)(Friedman, Julian)
November 5, 2014	***DELETED DOCUMENT. Deleted document number #504 Order. The document was deleted pursuant to instructions from Chambers and is only docketed in 14cv3662. (mro)
November 3, 2014	Filing 503 ORDER granting #498 Letter Motion for Extension of Time. IT IS HEREBY ORDERED THAT counsel's request is GRANTED and the deadline for objections to the proposed Second Interim Distribution is ADJOURNED to November 17, 2014. IT IS FURTHER ORDERED THAT the Receiver's deadline to respond to any objections is ADJOURNED to November 24, 2014. (Signed by Judge Richard J. Sullivan on 11/2/2014) (mro)
November 3, 2014	Filing 502 RESPONSE in Opposition to Motion re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In SUPPLEMENTARY REPLY TO RECEIVER'S RESPONSE (DOC 500). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
November 3, 2014	Filing 501 DECLARATION of Vivian Shevitz in Opposition re: #499 MOTION to Approve Second Interim Distribution .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
October 31, 2014	Filing 500 REPLY to Response to Motion re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)
October 31, 2014	Filing 499 MOTION to Approve Second Interim Distribution . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Second Interim Distribution)(Gazes, Ian)
October 30, 2014	Filing 498 LETTER MOTION for Extension of Time for submitting objections to the Second Interim Distribution addressed to Judge Richard J. Sullivan from Julian W. Friedman dated October 30, 2014. Document filed by Paul Marcus.(Friedman, Julian)
October 22, 2014	Filing 497 ORDER: Pursuant to the Court's October 14, 2014 Order (Doc. No. 492), the Court is in receipt of a declaration of Vivian Shevitz (Doc. No. 496) opposing the Receiver's motion to enjoin Defendants from interfering in foreign proceedings and clarifying the designation of receivership assets (Doc. No. 491). IT IS HEREBY ORDERED THAT the Receiver shall respond to this objection no later than October 31, 2014. (Signed by Judge Richard J. Sullivan on 10/22/2014) (mro)
October 21, 2014	Filing 496 DECLARATION of Vivian Shevitz in Opposition re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 Exhibit Exhibits to Declaration in opposition to motion to enjoin defendants and their counsel)(Shevitz, Vivian)
October 17, 2014	Filing 495 ORDER: The Court having given thorough consideration to all of the submissions in support of and opposition to the claims, IT IS HEREBY ORDERED THAT, for purposes of the Second Interim Distribution, the Additional Claims shall be allowed in amounts as set forth herein. IT IS FURTHER ORDERED THAT the allowed amount of the Acevedo Claim shall be without prejudice to recomputation pending further investigation by the Receiver. IT IS FURTHER ORDERED THAT, pursuant to the Court's September 30, 2014 Order, the Receiver shall submit a proposed Second Interim Distribution application by October 31, 2014, any objections to the Second Interim Distribution application shall be filed by November 10, 2014, and the Receiver shall submit a reply to any objections by November 17, 2014. (Signed by Judge Richard J. Sullivan on 10/16/2014) (mro)
October 15, 2014	Filing 494 ORDER granting #487 Motion for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator. Accordingly, IT IS HEREBY ORDERED THAT the Receiver is authorized to employ Oxis and StillPoint pursuant to the terms and conditions set forth in the Engagement Letter and Addendum attached to the Application as Exhibit "C", which is incorporated herein. IT IS FURTHER ORDERED THAT the Receiver is authorized to pay Oxis Capital the Sum of $10,000 from the Amerindo Technology Growth Fund II account and $5,000 per month commencing thirty (30) days after entry of this Order for a period of six (6) months subject to a cap of $35,000.00 without further order of the Court. The payment of any Success Fee as that term is defined in the Engagement Letter may only be paid upon application to this Court and entry of a further order of this Court. IT IS FURTHER ORDERED THAT neither the Receiver nor any professionals, entities, or parties retained or employed by the Receiver shall have or incur any liability to any entity/person for any action taken or omitted to be taken in connection with or related to the preparation, implementation, administration or liquidation of receivership assets including public and private securities except for willful misconduct or gross negligence. IT IS FURTHER ORDERED THAT Oxis and StillPoint and their respective employees are under a continuing obligation to immediately notify in writing the Court, the Securities and Exchange Commission, and the Receiver of any potential conflicts that relate to or concern their employment authorized herein upon discovery thereof. IT IS FURTHER ORDERED THAT Oxis and StillPoint are directed to turn over all realized funds from the sale or liquidation of receivership assets to the Receiver. (Signed by Judge Richard J. Sullivan on 10/15/2014) (tro)
October 15, 2014	Filing 493 RESPONSE re: #466 Response, Reply,,,, Receiver's Supplemental Position Regarding Investor Claims of Maria Dichov and Ana Acevedo. Document filed by Ian Gazes. (Gazes, Ian)
October 14, 2014	Filing 492 ORDER: The Court is in receipt of the Receiver's Motion for an order (A) clarifying the designation of Receivership Assets, and (B) enjoining Defendants and their representatives from interfering with the Court's jurisdiction over the receivership assets. (Doc. No. 490.) IT IS HEREBY ORDERED THAT any objections to the motion shall be filed by October 21, 2014. Set Deadlines/Hearing as to #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In: Responses due by 10/21/2014. (Signed by Judge Richard J. Sullivan on 10/14/2014) (tn)
October 14, 2014	Filing 491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation) . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Order, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian)
October 14, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Ian J. Gazes to RE-FILE Document #490 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In. ERROR(S): No signature or s/. (db)
October 13, 2014	Filing 490 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation) . Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian) Modified on 10/14/2014 (db).
October 10, 2014	Filing 489 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated october 6, 2014 re: objecting to receiver request (DOC 487) to hire OXIS and its broker. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
October 6, 2014	Filing 488 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE to Motion re: #487 MOTION for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator . OBJECTION to RECEIVER MOTION TO RETAIN OXIS. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian) Modified on 10/6/2014 (db).
October 6, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #488 Response to Motion. Use the event type Letter found under the event list Other Documents. (db)
October 2, 2014	Filing 487 MOTION for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Order, #2 Exhibit B, #3 Exhibit C - Engagement Letter)(Gazes, Ian)
October 2, 2014	Filing 486 RESPONSE re: #464 Objection (non-motion), -- Response to Objections to the Claim of the Los Angeles Opera. Document filed by Los Angeles Opera Company. (Harris, Christopher)
September 30, 2014	Set/Reset Deadlines: Motions due by 10/31/2014. Responses due by 11/10/2014 Replies due by 11/17/2014. (kgo)
September 30, 2014	Filing 485 MEMO ENDORSEMENT on re: #483 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Receiver's deadline to submit a proposed Second Interim Distribution application pursuant to the Court's August 1, 2014 Order (Doc. No. 459) is ADJOURNED to October 31, 2 014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than November 10, 2014, and the Receiver shall submit a reply to any objections by November 17, 2014. (Signed by Judge Richard J. Sullivan on 9/29/2014) (kgo)
September 29, 2014	Filing 484 ORDER: IT IS HEREBY ORDERED THAT the Receiver's deadline to submit a proposed Second Interim Distribution application pursuant to the Court's August 4, 2014 Order (Doc. No. 459) is ADJOURNED to October 17, 2014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than October 27, 2014, and the Receiver shall submit a reply to any objections by November 3, 2014. ( Motions due by 10/17/2014., Responses due by 10/27/2014, Replies due by 11/3/2014.) (Signed by Judge Richard J. Sullivan on 9/29/2014) (mro)
September 29, 2014	Filing 483 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/26/14 re: Extension of time to submit propsoed Second Interim Distribution to October 31, 2014. Document filed by Ian Gazes.(Gazes, Ian)
September 19, 2014	Filing 482 NOTICE OF APPEARANCE by Ronald Wolf Adelman on behalf of Maria Dichov. (Adelman, Ronald)
September 19, 2014	Filing 481 NOTICE OF APPEARANCE by Ronald Wolf Adelman on behalf of Ana R Acevedo. (Adelman, Ronald)
September 19, 2014	Filing 480 RESPONSE re: #464 Objection (non-motion), . Document filed by Ana R Acevedo, Maria Dichov. (Winick, Paul)
September 19, 2014	Filing 479 NOTICE OF APPEARANCE by Paul A. Winick on behalf of Maria Dichov. (Winick, Paul)
September 19, 2014	Filing 478 NOTICE OF APPEARANCE by Paul A. Winick on behalf of Ana R Acevedo. (Winick, Paul)
September 19, 2014	Filing 477 REPLY re: #468 Response in Opposition to Motion,,, #463 Letter, #464 Objection (non-motion), #467 Objection (non-motion) ., RESPONSE of Receiver to Objections to Additional Investor Claims. Document filed by Ian Gazes. (Gazes, Ian)
September 18, 2014	Filing 476 ORDER: The Court is in receipt of defense counsel's "Letter-Motion to withdraw in favor of pro bono counsel," which apparently conditions her motion to withdraw on the Court's "appointment of pro bono counsel." (Doc. No. 475.) Counsel bases her motion to withdraw in part on a "potential conflict that may be influencing [her] legal advice." (Id.) However, the Court finds numerous problems with counsel's request; as further set forth herein. Accordingly, IT IS HEREBY ORDERED THAT defense counsel's request is DENIED without prejudice to renewal. (Signed by Judge Richard J. Sullivan on 9/18/2014) (mro)
September 17, 2014	Filing 475 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 17, 2014 re: Withdrawal in favor of pro bono counsel. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
September 16, 2014	Filing 474 ORDER: The Court is in receipt of Defendants' request for new pro bono counsel to be appointed for their representation. (Doc. No. 472.) However, the individual Defendants are currently represented by counsel, and the entity Defendant has defaulted. If Defendants' counsel wishes to withdraw, she may submit a motion to withdraw as counsel pursuant to Local Civil Rule 1.4. If she makes such a motion and the Court grants it, Defendants may at that point submit a request for pro bono counsel using the same form on which they submitted their current request. Accordingly, IT IS HEREBY ORDERED THAT Defendant's request is DENIED without prejudice to renewal if Defendants' counsel moves to withdraw as counsel and the Court grants that motion. (Signed by Judge Richard J. Sullivan on 9/16/2014) (mro)
September 16, 2014	Filing 473 LETTER addressed to Judge Richard J. Sullivan from Edward T Swanson dated 09-16-14 re: Anna Gladkoff Claim. Document filed by Lily Cates.(Swanson, Edward)
September 12, 2014	Filing 472 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 12, 2014 re: Appointment of pro bono counsel for defendants in ongoing proceedings. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 9, 2014	Filing 471 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 9, 2014 re: Objecting To Edward Swanson's Conclusions in DOC 469 about Gladkoff claims and to receiver's acceptance of claim. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)
September 8, 2014	Filing 470 ORDER re: #468 Response in Opposition to Motion, filed by Techno Raquia, S.A., Amerindo Investment Advisors, Inc. (Panama), Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc., #463 Letter filed by Alfred C. Heitkoenig, #464 Objection (non-motion), filed by Paul Marcus, #467 Objection (non-motion) filed by Lisa Mayer, Debra Mayer: that the Receiver shall respond to these objections no later than September 19, 2014. (Signed by Judge Richard J. Sullivan on 9/4/2014) (tn)
September 8, 2014	Filing 469 LETTER addressed to Judge Richard J. Sullivan from Edward T Swanson dated 09/08/2014 re: Response to Objections of Defendants re Claim for Anna Gladkoff. Document filed by Lily Cates.(Swanson, Edward)
September 4, 2014	Filing 468 RESPONSE in Opposition to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist AND IN OPPOSITION TO ADDITIONAL CLAIMS APPROVED IN RECEIVER 8-29-14 SUBMISSION #466 ------. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
August 29, 2014	Filing 467 Objection re: #466 Response, Reply,,,, . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
August 29, 2014	Filing 466 RESPONSE /RECEIVERS POSITION IN RESPONSE TO ADDITIONAL INVESTOR CLAIMS., REPLY . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Schedule of Additional Investor Claims, #2 Exhibit B - Lohman Proof of Claim, #3 Exhibit C - Acevedo Proof of Claim, #4 Exhibit D - Gazambide Proof of Claim, #5 Exhibit E - Dichov Proof of Claim, #6 Exhibit F - LA Opera Proof of Claim, #7 Exhibit G - Gladkoff Proof of Claim, #8 Exhibit H - Mainzer Proof of Claim)(Gazes, Ian)
August 29, 2014	Filing 465 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 08/29/2014 re: Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust, and the Eve S. Marcus Children's Trust to Additional Claims. Document filed by Paul Marcus.(Friedman, Julian)
August 29, 2014	Filing 464 Objection re: #455 Status Report, Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust and the Eve S. Marcus Children's Trust to Additional Claims. Document filed by Paul Marcus. (Friedman, Julian)
August 29, 2014	Filing 463 LETTER addressed to Judge Richard J. Sullivan from Alfried Heitkonig dated August 28, 2014 re: Comments to Receiver's Third Status Report. Document filed by Alfred C. Heitkoenig.(Colbath, Paula)
August 27, 2014	Filing 462 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated August 27, 2014 re: Anna Gladkoff Claim. Document filed by Lily Cates.(Swanson, Edward)
August 8, 2014	Filing 461 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 4/2/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
August 8, 2014	Filing 460 TRANSCRIPT of Proceedings re: conference held on 4/2/2014 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/2/2014. Redacted Transcript Deadline set for 9/11/2014. Release of Transcript Restriction set for 11/10/2014.(McGuirk, Kelly)
August 4, 2014	Filing 459 MEMO ENDORSEMENT on #455 Status Report, filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT any objections to the Additional Claims shall be filed no later than August 29, 2014. IT IS FURTHER ORDERED THAT the Receiver shall submit a proposed Second Interim Distribution application no later than September 30, 2014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than October 10, 2014. IT IS FURTHER ORDERED THAT the Receiver shall submit a reply to any objections no later than October 17, 2014. (Signed by Judge Richard J. Sullivan on 8/1/2014) (cd)
August 4, 2014	Filing 458 ORDER granting #448 Motion for Compensation. The Clerk of the Court is respectfully directed to terminate the motion pending at docket number 448. (Signed by Judge Richard J. Sullivan on 8/1/2014) (cd)
July 30, 2014	Filing 457 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Status Conference proceeding held on 1/7/2009 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(nt)
July 30, 2014	Filing 456 TRANSCRIPT of Proceedings re: Status Conference held on 1/7/2009 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Sally Reidy/Shari Riemer, (518) 581-8973. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/25/2014. Redacted Transcript Deadline set for 9/5/2014. Release of Transcript Restriction set for 10/31/2014.(nt)
July 29, 2014	Filing 455 STATUS REPORT. Third Status Report of Ian J. Gazes, Receiver Document filed by Ian Gazes. (Attachments: #1 Exhibit A First Interim Distribution, #2 Exhibit B Other Disbursements, #3 Exhibit C Additional Claimants, #4 Exhibit D Securities Sales, #5 Exhibit E Other Public Shares, #6 Exhibit F Acquired Companies, #7 Exhibit G Private Securities, #8 Exhibit H Cash Assets)(Gazes, Ian)
July 24, 2014	Filing 454 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 7/24/2014 re: Request to extend time to 7/29/2014 to submit the Receiver's status report. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Sullivan on 7/24/2014) (cd)
July 24, 2014	Filing 453 RESPONSE in Support of Motion re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Ian Gazes. (Gazes, Ian)
July 24, 2014	Filing 452 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 7/24/14 re: Extention of Deadline to Submit Status Report to July 29, 2014. Document filed by Ian Gazes.(Gazes, Ian)
July 18, 2014	Filing 451 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT (EXHIBIT) - RESPONSE in Support of Motion re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Exhibit A to Motion. Document filed by Ian Gazes. (Gazes, Ian) Modified on 7/21/2014 (db).
July 16, 2014	Filing 450 MEMORANDUM OF LAW in Support re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)
July 14, 2014	Filing 449 DECLARATION of vivian Shevitz in Opposition re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)
July 11, 2014	Filing 448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)
July 7, 2014	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files (ONLY) for #447 Notice of Appeal, filed by Techno Raquia, S.A., Amerindo Investment Advisors, Inc. (Panama), Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. were transmitted to the U.S. Court of Appeals. (tp)
July 7, 2014	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #447 Notice of Appeal. (tp)
July 4, 2014	Filing 447 NOTICE OF APPEAL from #358 Order, Set Motion and R&R Deadlines/Hearings,,,, #443 Endorsed Letter,, #435 Default Judgment,, #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #434 Judgment, #322 Memo Endorsement, #309 Order,, #230 Order, #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, #433 Judgment, #323 Endorsed Letter, #311 Order on Motion for Conference,,, #338 Order, #425 Order,, #365 Endorsed Letter,, #362 Memo Endorsement, #291 Order,, #367 Order, Set Deadlines/Hearings, #406 Order, #321 Order, Set Deadlines,, #348 Order on Motion for Reconsideration, Order on Motion to Stay,,,,,,,,,,,,, #293 Order,, #267 Order,,,, #298 Endorsed Letter, #418 Order,, #335 Order on Motion for Miscellaneous Relief, #312 Order on Motion for Miscellaneous Relief, #290 Order Adopting Report and Recommendations,,, #382 Order to Show Cause,,, #297 Memo Endorsement, #345 Memo Endorsement, #232 Order,,. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. Filing fee $ 505.00, receipt number 0208-9856067. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Shevitz, Vivian)
July 4, 2014	Filing 446 NOTICE OF APPEARANCE OF PRO BONO COUNSEL by Vivian Shevitz on behalf of Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Techno Raquia, S.A. (Shevitz, Vivian)
June 11, 2014	Filing 445 ORDER: Now before the Court is the motion of Lisa Mayer and Debra Mayer (the "Mayers") seeking certification that an interlocutory appeal of the Court's May 6, 2014 Order (Doc. No. 432) is proper pursuant to 28 U.S.C. 1292(b). (Doc. No. 440.) For the reasons set forth within, the motion is denied. SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/10/2014) (ajs)
June 11, 2014	Filing 444 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated June 11, 2014 re: Certification for Interlocutory Appeal. Document filed by Securities and Exchange Commission.(Salzberg, Mark)
June 10, 2014	Filing 443 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 6/9/2014 re: The Receiver requests permission to supplement the Mayers' interim distribution by remitting an additional payment of $1,163,911.95 representing the difference between the interim distribution set forth in the Receiver's Affidavit, which has been approved by your honor, and the interim distribution utilizing the Mayers' Adjusted Claim Amount as defined in the attached Letter. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Sullivan on 6/9/2014) (cd)
June 9, 2014	Filing 442 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 6/9/14 re: Distribution. Document filed by Ian Gazes.(Gazes, Ian)
June 9, 2014	Filing 440 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated June 9, 2014 re: Certification for Interlocutory Appeal. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick)
May 29, 2014	Filing 439 ORDER: The Court is in receipt of the attached email from Jacqueline A. Gaztambide requesting that the Court include her claims in the initial distribution. As the Order setting the amounts for the initial distribution was issued two weeks ago (Doc. No. 432), including Ms. Gaztambide's claim in that distribution is not possible. Nevertheless, Ms. Gaztambide may of course seek to have her claim recognized in future distributions, which are expected. Accordingly, IT IS HEREBY ORDERED THAT the request is DENIED. (Signed by Judge Richard J. Sullivan on 5/28/2014) (cd)
May 27, 2014	Filing 438 NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFF'S SEVENTH CLAIM FOR RELIEF: Plaintiff, Securities and Exchange Commission, pursuant to Fed. R. Civ. P. 41 (a)(1)(A), hereby dismisses its seventh claim for relief alleged in its May 25, 2012 Second Amended Complaint in this action against defendants Alberto W. Vilar and Gary Alan Tanaka, alleging that each of them aided and abetted violations of Section 206(4) of the Investment Advisers Act of 1940, 15 U.S.C. 80b-6(4), and Rule 206(4)-2(a) thereunder, 17 C.F.R. 275.206(4)(-2(a). SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/23/2014) (ama)
May 27, 2014	Filing 437 ORDER: IT IS HEREBY ORDERED THAT the Receiver shall submit a status report to the Court no later than July 25, 2014 informing the Court of his progress in valuing the Entity Defendants' assets and proposing a timeline for future distributions. SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/23/2014) (ama)
May 22, 2014	***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Neal Jacobson Document #436 Notice of Voluntary Dismissal, was referred to Judge Richard J. Sullivan for approval. (jno)
May 21, 2014	Filing 436 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, against the defendant(s) Gary Alan Tanaka, Alberto William Vilar. Document filed by Securities and Exchange Commission. (Jacobson, Neal) Modified on 5/22/2014 (jno).
May 16, 2014	Filing 435 FINAL DEFAULT JUDGMENT AGAINST ALL ENTITY DEFENDANTS in favor of Securities and Exchange Commission against Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc.("Amerindo US"), Amerindo Investment Advisors, Inc. ("Amerindo Panama") for a total of $36,570,451.87, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)
May 16, 2014	Filing 434 FINAL JUDGMENT AGAINST GARY ALAN TANAKA in favor of Securities and Exchange Commission against Gary Alan Tanaka in the total amount of $13,118,693.96, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)
May 16, 2014	Filing 433 FINAL JUDGMENT AGAINST ALBERTO W. VILAR in favor of Securities and Exchange Commission against Alberto William Vilar in the total amount of $18,572,902.02, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)
May 6, 2014	Filing 432 MEMORANDUM AND ORDER granting in part and denying in part #332 Motion for Judgment; granting in part and denying in part #370 Motion. For the foregoing reasons, IT IS HEREBY ORDERED THAT the SEC's motions for penalties and remedies against Defendants are GRANTED in part and DENIED in part. IT IS FURTHER ORDERED THAT the Entity Defendants shall be jointly and severally liable for $36,570,451.87 in disgorgement. The Individual Defendants shall be jointly and severally liable with the Entity Defendants for $13,118,693.96. Vilar, but not Tanaka, shall also be jointly and severally liable with the Entity Defendants for an additional $5,454,208.06. IT IS FURTHER ORDERED THAT the Individual Defendants shall each be liable for $10,000,000 in civil fines pursuant to 15 U.S.C. 77t(d)(2), 78u(d)(3)(B), and 80b- 9(e)(2). The Entity Defendants shall each be liable for $17,969,803.27. IT IS FURTHER ORDERED THAT the Entity Defendants are enjoined from future violations of the securities laws. IT IS FURTHER ORDERED THAT, no later than May 16, 2014, the SEC shall submit a proposed judgment reflecting Defendants liability and the Courts injunction. IT IS FURTHER ORDERED THAT, no later than May 16, 2014, the SEC shall submit a letter informing the Court of how and whether it intends to move forward on its remaining claims in this action. IT IS FURTHER ORDERED THAT the Receiver's amended motion for an initial distribution is GRANTED. The Receiver shall distribute funds according to the schedule set forth in the Revised Interim Distribution Schedule. Before distributing any funds to a claimant, however, the Receiver must obtain an affidavit from that claimant swearing to the accuracy of the claim and statements made in connection with the claim. The Clerk of the Court is respectfully directed to terminate the motions pending at docket numbers 332 and 370. (Signed by Judge Richard J. Sullivan on 5/6/2014) (cd)
May 1, 2014	Filing 431 LETTER addressed to Judge Richard J. Sullivan from Alfred Heitkonig dated April 29, 2014 re: Account Valuation. Document filed by Alfred C. Heitkoenig. (Attachments: #1 Letter to Ian Gazes)(Colbath, Paula)
April 28, 2014	Filing 430 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 4/25/14 re: Claim of Lisa and Debra Mayer. Document filed by Ian Gazes.(Gazes, Ian)
April 24, 2014	Filing 429 ORDER: The Clerk of the Court is respectfully directed to docket the attached letters. (Signed by Judge Richard J. Sullivan on 4/24/2014) (cd)
April 24, 2014	Filing 428 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 04/24/2014 re: Response to Docket No. 424. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)
April 22, 2014	Filing 427 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated April 22, 2014 re: Recent Submissions Concerning Interim Distribution. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick)
April 21, 2014	Filing 426 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-21-14 re: Court order DOC 425 concerning investors who had not filed claims previously. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
April 21, 2014	Filing 425 ORDER re: #291 Order. IT IS HEREBY ORDERED THAT these purported investors shall, no later than May 5, 2014, contact the Receiver and file a claim according to the previously established claims procedure. (Doc. No. 291.) IT IS FURTHER ORDERED THAT these purported investors shall submit a letter to the Court no later than April 23, 2014 explaining why they did not file a claim previously and how, when, and by whom they were informed that Amerindo assets might soon be distributed. (Signed by Judge Richard J. Sullivan on 4/21/2014) (ajs)
April 21, 2014	Filing 424 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-21-14 re: Receiver's suppelmental filing (DOC 422) and REceiver's response to David Mainzer about pension account. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
April 18, 2014	Filing 423 ORDER FOR ADMISSION PRO HAC VICE granting #399 Motion to Amend/Correct. IT IS HEREBY ORilERED that Applicant Edward T. Swanson is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court arc subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Richard J. Sullivan on 4/18/2014) (cd) Modified on 4/25/2014 (cd).
April 18, 2014	Filing 422 AFFIDAVIT of Ian J. Gazes, Receiver in Support re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Gazes, Ian)
April 11, 2014	Filing 421 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-11-14 re: Mayer judgment - Hearing on Motion to Vacate in State court, 4-1-14, and transcript requested by Justice Korneich. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Transcript 4-1-14 Mayer v Vilar motion to vacate State court judgment - hearing)(Shevitz, Vivian)
April 5, 2014	Filing 420 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-5-14 re: Replying To Edward Swanson (DOC 419) concerning Lily Cates' $250,000 claim. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
April 4, 2014	Filing 419 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 04-04-2005 re: Anna Gladkoff Claim. Document filed by Lily Cates. (Attachments: #1 Exhibit Gladkoff Closing Statement, #2 Exhibit Wire Transfer Confirmation, #3 Exhibit Gladkoff Check to Amerindo, #4 Exhibit Amerindo Note, #5 Exhibit Gladkoff Will, #6 Exhibit Power of Attorney, #7 Exhibit Swanson Notes of 5-10-05 Meeting)(Swanson, Edward)
April 3, 2014	Filing 418 ORDER: For the reasons set forth on the record at the April 2, 2014 conference, IT IS HEREBY ORDERED THAT Plaintiffs motion for default judgment against Defendants Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Growth Fund, Inc., Amerindo Technology Growth Fund II, Inc., and Techno Raquia, S.A. is GRANTED as to liability only. The Court will address damages and injunctive relief in a subsequent order. (Signed by Judge Richard J. Sullivan on 4/2/2014) (cd)
April 3, 2014	Filing 417 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/14/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
April 3, 2014	Filing 416 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/14/2014 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/28/2014. Redacted Transcript Deadline set for 5/8/2014. Release of Transcript Restriction set for 7/7/2014.(Rodriguez, Somari)
April 2, 2014	Minute Entry for proceedings held before Judge Richard J. Sullivan: Default Hearing was held on 4/2/2014. Plaintiff's counsel, Neal Jacobson and Mark Salzberg, were present. Counsel Vivian Shevitz was present for the defendants, Vilar and Tanaka. Court reporter was present. The Court entered a default judgment with respect to liability against all of the corporate defendants. The Court reserved judgment on the remedies. (sc)
March 31, 2014	Filing 415 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 3-31-2014 re: Lily Cates proof of claim. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
March 28, 2014	Filing 414 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 3/27/2014 re: Request for default judgment to be entered without a hearing. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Court will hold the previously scheduled default judgment hearing before entering default judgment, as is the Court's usual practice. (Signed by Judge Richard J. Sullivan on 3/28/2014) (cd)
March 26, 2014	Filing 413 NOTICE OF CHANGE OF ADDRESS by Vivian Shevitz on behalf of Gary Alan Tanaka, Alberto William Vilar. New Address: Vivian Shevitz, 46 Truesdale Lake Drive, South Salem, NY, USA 10590, 914 763 2122. (Shevitz, Vivian)
March 26, 2014	Filing 412 Objection re: #363 Declaration in Support of Motion,,,,,,,, #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Elna Charlotte Olga. (Colbath, Paula)
March 26, 2014	Filing 411 NOTICE OF APPEARANCE by Paula Kae Colbath on behalf of Alfred C. Heitkoenig, Elna Charlotte Olga, Maakie Heitkoenig. (Colbath, Paula)
March 26, 2014	Filing 410 LETTER addressed to Judge Richard J. Sullivan from Paul Marcus dated 03/26/2014 re: Pending motion by receiver regarding interim distribution. Document filed by Paul Marcus.(Friedman, Julian)
March 24, 2014	Filing 409 REPLY MEMORANDUM OF LAW re: #382 Order to Show Cause,,,., REPLY MEMORANDUM OF LAW in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
March 20, 2014	Filing 408 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated March 20 2014 re: request to file brief supplement as to March 14, 2014 hearing issues. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
March 17, 2014	Filing 407 DECLARATION of Vivian Shevitz in Opposition re: #382 Order to Show Cause,,,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
March 14, 2014	Minute Entry for proceedings held before Judge Richard J. Sullivan: Default Hearing was held on 3/14/2014. Defense counsel, Vivian Shevitz,was present. Plaintiff's counsel, Neal Jacobson and Mark Salzberg, were present. Receiver Ian Gazes was present. Defendants, Vilar and Tanaka, were present in custody. United States Marshals were present. The court reporter was present. The Court heard objections and arguments from the claimants. (sc)
March 13, 2014	Filing 406 ORDER: The Court is in receipt of the attached correspondences regarding the Receiver's Initial Distribution Motions. The Court reminds all parties that communication with the Court should generally be docketed and made part of the public record. (Signed by Judge Richard J. Sullivan on 3/12/2014) (cd)
March 12, 2014	Filing 405 ORDER FOR ADMISSION PRO HAC VICE: Edward T. Swason added for Lily Cates. (Signed by Judge Richard J. Sullivan on 3/11/2014) (cd)
March 12, 2014	Filing 404 LETTER addressed to Judge Richard J. Sullivan from Lance Jurich dated March 12, 2014 Document filed by John W Sweetland.(Licker, Eugene)
March 12, 2014	Filing 403 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 3/09/2014 re: order to show cause and SEC motion for default judgment against entity defendants. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
March 12, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #401 Declaration in Opposition to Motion. ERROR(S): Document linked to filing error. (db)
March 11, 2014	Filing 402 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 03/11/2014 re: Revised Proof of Claim re Anna Gladkoff. Document filed by Lily Cates. (Attachments: #1 Exhibit Revised Proof of Claim re Anna Gladkoff)(Swanson, Edward)
March 11, 2014	Filing 401 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc.. (Shevitz, Vivian) Modified on 3/12/2014 (db).
March 10, 2014	Filing 400 CERTIFICATE OF SERVICE of Receiver's Omnibus Reply to Opposition to the Receiver's Amended Motion on 3/7/14. Document filed by Ian Gazes. (Gazes, Ian)
March 10, 2014	Filing 399 MOTION to Amend/Correct Motion to Appear Pro Hac Vice. Document filed by Lily Cates. (Attachments: #1 Exhibit Good Standing certificate from Clerk of CA Supreme Court, #2 Exhibit CT Good Standing certificate, #3 Text of Proposed Order Text of Proposed Order)(Swanson, Edward)
March 10, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #398 Declaration in Opposition to Motion. ERROR(S): Document linked to filing error. (db)
March 9, 2014	Filing 398 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment., #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian) Modified on 3/10/2014 (db).
March 7, 2014	Filing 397 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 3/7/2014 re: Response to Albert Vilar, Gary Tanaka, and Lisa and Debra Mayer's objections to J.P. Morgan Securities LLC's claim for legal fees and expenses. Document filed by J.P. Morgan Securities LLC. (Attachments: #1 Exhibit Exhibit A)(Weiss, Andrea)
March 7, 2014	Filing 396 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist re: Claim of JP Morgan. Document filed by Ian Gazes. (Gazes, Ian)
March 7, 2014	Filing 395 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)
March 7, 2014	Filing 394 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 03/07/2014 re: 05 Civ 5231. Document filed by Lily Cates.(Swanson, Edward)
March 7, 2014	Filing 393 REPLY to Response to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)
March 7, 2014	Filing 392 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Edward Thomas Swanson to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9431478. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Lily Cates. (Attachments: #1 Exhibit CT Good Standing Certificate, #2 Exhibit CA Good Standing Certificate, #3 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Swanson, Edward) Modified on 3/7/2014 (wb).
March 7, 2014	Filing 391 MEMORANDUM OF LAW in Support re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
March 7, 2014	Filing 390 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Paul Marcus. (Friedman, Julian)
March 7, 2014	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #392 MOTION for Edward Thomas Swanson to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9431478. Motion and supporting papers to be reviewed by Clerk's Office staff.. Certificate of Good Standing Must be issued from Supreme Court of California with a Clerk of Court Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (wb)
March 6, 2014	Filing 389 ORDER: The Court is in receipt of the attached email, which it is docketing in keeping with the presumption of public access to judicial documents. See Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 124 (2d Cir. 2006). The Court reminds all interested parties that the hearing on the Receiver's motion is scheduled for March 14, 2014, not the 18th. The Court also wishes Ms. Shevitz a speedy and complete recovery from her injury. (Signed by Judge Richard J. Sullivan on 3/6/2014) (cd)
March 6, 2014	Filing 388 LETTER addressed to Judge Richard J. Sullivan from Eugene R. Licker dated 3/6/2014 re: Response to claims of alleged conflicts of interest. Document filed by Heitkonig Parties.(Licker, Eugene)
March 6, 2014	Filing 387 MEMORANDUM OF LAW in Support re: #382 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
March 6, 2014	Filing 386 DECLARATION in Support re: #382 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A-Acknowledgment of Service, #2 Exhibit B-Acknowledgment of Service, #3 Exhibit C-Affidavits of Service, #4 Exhibit D-Galindo Affidavit Part 1, #5 Exhibit D-Galindo Affidavit Part 2, #6 Exhibit D-Galindo Affidavit Part 3, #7 Exhibit E-Form ADV and FSR, #8 Exhibit F-Second Amended Complaint, #9 Exhibit G-Affidavits of Service, #10 Exhibit H-Clerk's Certificate of Default, #11 Exhibit I-Prejudgment Interest Calculation)(Jacobson, Neal)
March 6, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #384 Memorandum of Law in Support of Motion. Use the event type Memorandum in Support (non-motion) found under the event list Other Answers, then link to #382 Order. (db)
March 6, 2014	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Use the event type Declaration in Support (non-motion) found under the event list Other Answers, then link to #382 Order. (db)
March 5, 2014	Filing 385 AFFIDAVIT OF SERVICE. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
March 5, 2014	Filing 384 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MEMORANDUM OF LAW in Support re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Jacobson, Neal) Modified on 3/6/2014 (db).
March 5, 2014	Filing 383 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A-Acknowledgment of Service, #2 Exhibit B-Acknowledgment of Service, #3 Exhibit C-Affidavits of Service, #4 Exhibit D-Galindo Affidavit Part 1, #5 Exhibit D-Galindo Affidavit Part 2, #6 Exhibit D-Galindo Affidavit Part 3, #7 Exhibit E-Form ADV and FSR, #8 Exhibit F-Second Amended Complaint, #9 Exhibit G-Affidavits of Service, #10 Exhibit H-Clerk's Certificate of Default, #11 Exhibit I-Prejudgment Interest Calculation)(Jacobson, Neal) Modified on 3/6/2014 (db).
March 4, 2014	Filing 382 ORDER TO SHOW CAUSE: Accordingly, IT IS HEREBY ORDERED that the Entity Defendants, through counsel, shall respond in writing to Plaintiffs submission no later than March 21, 2014. IT IS FURTHER ORDERED that Plaintiff and the Entity Defendants, through counsel, shall appear for a hearing on Plaintiffs request for a default judgment on April 2, 2014, at 10:00 a.m. in Courtroom 905 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. IT IS FURTHER ORDERED THAT, no later than March 7, 2014, Plaintiffs shall serve the Entity Defendants with a copy of this Order and the supporting papers, file a certificate of service on ECF indicating that this service was effectuated, and docket the supporting papers on ECF. The Entity Defendants shall thereafter obtain counsel, who shall file a notice of appearance through ECF. (Signed by Judge Richard J. Sullivan on 2/28/2014) (cd)
March 4, 2014	Set/Reset Hearings: Hearing set for 4/2/2014 at 10:00 AM in Courtroom 905, 40 Centre Street, New York, NY 10007 before Judge Richard J. Sullivan. (cd)
February 28, 2014	Filing 381 MEMORANDUM OF LAW in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist -- SPECIFICALLY, In Opposition to RECEIVER'S CLAIM NUMBERS, METHODOLOGY and AUTHORITY. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
February 28, 2014	Filing 380 DECLARATION of Vivian Shevitz in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Cates Pending Arbitration Against Bear Stearns)(Shevitz, Vivian)
February 28, 2014	Filing 379 MEMORANDUM OF LAW in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor., #330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist SPECIFICALLY: OBJECTING TO PAYMENTS TO JP MORGAN. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
February 28, 2014	Filing 378 RESPONSE in Opposition to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Robin Sayko. (Hall, Thomas)
February 27, 2014	Filing 377 RESPONSE to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Paul Marcus. (Friedman, Julian)
February 27, 2014	Filing 376 MEMORANDUM OF LAW in Opposition re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Lisa Mayer, Debra Mayer. (Begos, Patrick)
February 26, 2014	Filing 375 CERTIFICATE OF SERVICE of Receiver's Amended Motion for an Order (a) Fixing Claims and (b) Authorizing Interim Distribution on 2/24/14 and 2/25/14. Document filed by Ian Gazes. (Gazes, Ian)
February 26, 2014	Filing 374 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/26/14 re: Custodial Fees for Receiver Accounts.. Document filed by Ian Gazes.(Gazes, Ian)
February 25, 2014	Filing 373 MEMO ENDORSEMENT on #371 Letter filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: In light of the fact that the conference on this issue is scheduled for March 14, 2014, IT IS HEREBY ORDERED THAT the request is respectfully DENIED. (Signed by Judge Richard J. Sullivan on 2/25/2014) (cd)
February 25, 2014	Filing 372 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/25/14 re: Letter of Vivian Shevitz dated 2/24/14. Document filed by Ian Gazes.(Gazes, Ian)
February 24, 2014	Filing 371 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-24-14 re: extension of time to respond to Mr. Gazes' AMENDED motion. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
February 24, 2014	Filing 370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. Return Date set for 3/14/2014 at 03:30 PM. (Attachments: #1 Exhibit A - Claims Summary, #2 Exhibit B - Proposed Distribution, #3 Exhibit C)(Gazes, Ian)
February 19, 2014	Filing 369 ORDER: In light of the above, the Court concludes that granting the Mayers a preliminary distribution of $50,000 is appropriate and just. Accordingly, IT IS HEREBY ORDERED THAT the Receiver shall immediately distribute $50,000 to the Mayers. This $50,000 shall be deemed an advance on any interim distribution that the Court subsequently authorizes. (Signed by Judge Richard J. Sullivan on 2/19/2014) (cd)
February 19, 2014	Filing 368 MEMO ENDORSEMENT on #366 Letter filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: Although the Court is sympathetic, the request is respectfully DENIED. Any adjournment would unfairly burden investors who have already waited nine years to recover their assets. (Signed by Judge Richard J. Sullivan on 2/19/2014) (cd)
February 19, 2014	Filing 367 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the SEC shall move for a default judgment against these Defendants no later than February 28, 2014. ( Motion due by 2/28/2014.) (Signed by Judge Richard J. Sullivan on 2/18/2014) (cd)
February 19, 2014	Filing 366 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-19-14 re: reconsideration of denial of more time, and request for 2-week extension. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
February 18, 2014	Filing 365 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2/18/2014 re: Request for a one month extension of time to respond to Gazes' motions. ENDORSEMENT: IT IS HEREBY ORDERED THAT the request for an adjournment is DENIED. IT IS FURTHER ORDERED THAT the request that the Receiver provide hard copies of his ECF filings is DENIED. IT IS FURTHER ORDERED THAT the request to have Defendants present at the March 14, 2014 hearing is GRANTED. (Signed by Judge Richard J. Sullivan on 2/18/2014) (cd)
February 18, 2014	Filing 364 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-18-14 re: extension of time to respond to Mr. Gazes' motions. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
February 17, 2014	Filing 363 DECLARATION of Ian J. Gazes, Receiver in Support re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Claim 1 Salvitti, #2 Exhibit B Claim 2 Preetzman Aggerholm, #3 Exhibit C Claim 3 QGCI Nominees, #4 Exhibit D Claim 4(1) Lisa & Debra Mayer, #5 Exhibit D Claim 4(2) Lisa & Debra Mayer, #6 Exhibit D Claim 4(3) Lisa & Debra Mayer, #7 Exhibit D Claim 4(4) Lisa & Debra Mayer, #8 Exhibit D Claim 4(5) Lisa & Debra Mayer, #9 Exhibit D Claim 4(6) Lisa & Debra Mayer, #10 Exhibit D Claim 4(7) Lisa & Debra Mayer, #11 Exhibit D Claim 4(8) Lisa & Debra Mayer, #12 Exhibit E Claim 6(1) E. Knope, #13 Exhibit E Claim 6(2) E. Knope, #14 Exhibit E Claim 6(3) E. Knope, #15 Exhibit F Claim 7 M Walsh, #16 Exhibit G Claim 8 Rametra, #17 Exhibit H Claim 9 Sheridan Sec., #18 Exhibit I Claim 10 J Chares, #19 Exhibit J Claim 11 A Sanchez, #20 Exhibit K Claim 12 R Sayko, #21 Exhibit L Claim 13 D & M Walsh, #22 Exhibit M Claim 14 F Harris, #23 Exhibit N Claim 15 C Kaye, #24 Exhibit O Claim 16 Heitkoenig, #25 Exhibit P Claim 17 The Winsford Corp, #26 Exhibit Q Claim 18 P Sweetland, #27 Exhibit R Claim 19 J Sweetland, #28 Exhibit S Claim 20 T Sweetland, #29 Exhibit T Claim 21 J Sweetland, #30 Exhibit U Claim 22 A Gibbs, #31 Exhibit V Claim 23 P Kabara, #32 Exhibit W Claim 24 National Investors Group, #33 Exhibit X Claim 25 A Jordan, #34 Exhibit Y Claim 29-a P Marcus, #35 Exhibit Z Claim 29-b D Marcus Trust, #36 Exhibit AA Claim 29-c S Marcus Trust, #37 Exhibit BB Claim 29-d C Marcus Trust, #38 Exhibit CC Claim 29-e E Marcus Trust, #39 Exhibit DD Claim 30 Imagineers Profit Sharing Plan, #40 Exhibit EE Claim 32 L Cates, #41 Exhibit FF Claim 33 R Cox, #42 Exhibit GG Graciela Lecube Chavez)(Gazes, Ian)
February 13, 2014	Filing 362 MEMO ENDORSEMENT on re: #359 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Court will address this claim at the hearing scheduled for March 14, 2014. Any objections to this claim shall be included along with objections to the Receiver's motion and shall be submitted no later than February 28, 2014. So ordered. (Signed by Judge Richard J. Sullivan on 2/13/2014) (rjm)
February 13, 2014	Filing 361 REPLY MEMORANDUM OF LAW in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)
February 13, 2014	Filing 360 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-13-14 re: Obecting to Patrick Begos unofficial intervention and to "hardship request" or any preference to Amerindo clients. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
February 13, 2014	Filing 359 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/12/2014 re: Claim of JP Morgan for Legal Fees and Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit Claim pp 1-25, #2 Exhibit Claim pp 26-50, #3 Exhibit Claim pp 51-75, #4 Exhibit Claim pp 76-100, #5 Exhibit Claim pp 101-125, #6 Exhibit Claim pp 126-150, #7 Exhibit Claim pp 151-175, #8 Exhibit Claim pp 176-199, #9 Exhibit Claim pp 200-225, #10 Exhibit Claim pp 226-275, #11 Exhibit Claim pp 276-342)(Gazes, Ian)
February 11, 2014	Filing 358 ORDER: Accordingly, IT IS HEREBY ORDERED THAT all objections to the Receiver's motion shall be submitted no later than February 28, 2014. The Receiver shall respond to these objections no later than March 7, 2014. IT IS FURTHER ORDERED that the Court shall hold a hearing on this motion on March 14,2014 at 3:30 p.m. SO ORDERED. Set Deadlines/Hearing as to ( Responses due by 2/28/2014, Replies due by 3/7/2014., Motion Hearing set for 3/14/2014 at 03:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 2/10/2014) (ama)
February 10, 2014	Filing 357 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/10/14 re: Mayers' Request for Emergency Payment. Document filed by Ian Gazes.(Gazes, Ian)
February 10, 2014	Filing 356 NOTICE of Hearing on Receiver's Motion for an Order (a) Fixing Investor Claims and ( b) Authorizing Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. (Gazes, Ian)
February 8, 2014	Filing 355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Claims Summary, #2 Exhibit B - Proposed Distribution)(Gazes, Ian)
February 7, 2014	Filing 354 FILING ERROR - DUPLICATE DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit burger/vilar motion to vacate Mayer state court judgment, #2 Exhibit Tanaka motion to vacate Mayer judgment part 1, #3 Exhibit Tanaka motion to vacate mayer State court judgment part 2, #4 Exhibit receiver proof of claim form, #5 Exhibit SEC Byers brief second Circuit excerpt, #6 Exhibit administrative penalty -Vilar and Tanaka)(Shevitz, Vivian) Modified on 2/10/2014 (db).
February 7, 2014	Filing 353 DECLARATION of Vivian Shevitz in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit 1992 letter Amerindo to SEC, #2 Exhibit 1993 letters Amerindo/SEC, #3 Exhibit 2003-05 Audit Amerindo)(Shevitz, Vivian)
February 7, 2014	Filing 352 MEMORANDUM OF LAW in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
February 4, 2014	Filing 351 MEMO ENDORSEMENT on re: #349 Letter filed by Paul Marcus. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 2/4/2014) (tro)
February 4, 2014	Filing 350 LETTER addressed to Judge Richard J. Sullivan from Paula K. Colbath dated February 4, 2014 Document filed by Heitkonig Parties.(Colbath, Paula)
February 4, 2014	Filing 349 LETTER addressed to Judge Richard J. Sullivan from JULIAN W. FRIEDMAN dated 02/4/2014 re: Extension of date to file objections. Document filed by Paul Marcus.(Friedman, Julian)
February 3, 2014	Filing 441 INTERNET CITATION NOTE: Material from decision with Internet citation re: #348 Order on Motion for Reconsideration, Order on Motion to Stay. (fk)
February 3, 2014	Filing 348 MEMORANDUM AND ORDER denying #275 Motion for Reconsideration ; denying #275 Motion to Stay ; granting #299 Motion for Reconsideration. For the foregoing reasons, the Court has reconsidered its denial of summary judgment with regard to the Mayer claims. Accordingly, IT IS HEREBY ORDERED THAT the SEC's motion for reconsideration is granted. The Court grants the SEC summary judgment on its claims that the Individual Defendants violated, with respect to the Mayer Family, Section 17(a) of the Securities Act Section 10(b) of the Exchange Act, and Rule 10b-5 of the Exchange Act Rules and Regulations. IT IS FURTHER ORDERED THAT the Individual Defendants' motion for reconsideration and a stay is denied. No other holdings of the March 11 Order are modified. The clerk of the court is respectfully directed to terminate the motions pending at docket numbers 275 and 299. The SEC's motion for disgorgement and civil penalties is scheduled to be fully briefed on February 14, 2014. (Doc. No. 342.) Once all briefing has been submitted, the Court will turn to that issue. SO ORDERED.(Signed by Judge Richard J. Sullivan on 1/31/2014) (ama)
February 3, 2014	Transmission to Judgments and Orders Clerk. Transmitted re: #348 Order on Motion for Reconsideration, Order on Motion to Stay, to the Judgments and Orders Clerk. (ama)
January 29, 2014	Filing 347 ORDER: The Court has already ruled on the Receiver's request that his compensation be paid from the Distribution Fund, as opposed to the $50,000 already set aside by the Court for his payment. (Doc. Nos. 344, 345). In any event, Defendants' letter does not alter the Court's decision. The letter objects to paying the Receiver beyond the $50,000, and the Court's January 27, 2014 Order does not authorize any payment beyond that $50,000. Instead, the Court ordered payment from the $50,000 and stated that "the Receiver may apply to have additional funds set aside for future payments." (Id.) If the Receiver makes such an application, Defendants' objections will then be considered. As for Defendants' objections to the Receiver's other request involving payment of custodial fees they will be considered by the Court when it makes its decision on that request. SO ORDERED. (Signed by Judge Richard J. Sullivan on 1/28/2014) (ama)
January 29, 2014	CASHIERS OFFICE REGISTRY DISBURSEMENT as per #338 Order, dated 12/30/2013, from Judge Richard J. Sullivan, on 01/10/2014 disbursed to pay Ian Gazes $49,169.16 Check No. 00993495 dated 01/10/2014 Fedex# 8996 1385 9431 (jd)
January 28, 2014	Filing 346 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated January 28 2014 re: Objection TO REceiver request to use substitute assets. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
January 28, 2014	Filing 345 MEMO ENDORSEMENT on #344 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Receiver's compensation and expenses shall be paid from the Restrained Fund. The Court notes, however, that the Restrained Fund is not a cap on the Receiver's compensation or exepsnses. Once that fund is exhausted, the Receiver may apply to have additional funds set aside for future payments. (Signed by Judge Richard J. Sullivan on 1/27/2014) (cd)
January 27, 2014	Filing 344 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 1/26/14 re: Compensation Fund. Document filed by Ian Gazes.(Gazes, Ian)
January 27, 2014	Filing 343 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes. Receiver dated 1/26/14 re: Custodial Fees for Receiver Accounts. Document filed by Ian Gazes.(Gazes, Ian)
January 24, 2014	Filing 342 MEMO ENDORSEMENT on re: #341 Letter filed by Securities and Exchange Commission. ENDORSEMENT: IT IS HEREBY ORDERED THAT Defendants' shall submit their response no later than February 7, 2014. The SEC shall submit its reply no later than February 14, 2014. (Signed by Judge Richard J. Sullivan on 1/24/2014) (mro)
January 24, 2014	Filing 341 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson, Esq. dated January 24, 2014 re: Extension of Time. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
January 21, 2014	Filing 340 MEMO ENDORSEMENT on re: #339 Letter, filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: So ordered. (Signed by Judge Richard J. Sullivan on 1/21/2014) (mro)
January 21, 2014	Filing 339 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated January 21, 2014 re: consensual extension of time to respond to SEC motion for disgorgement and penalties until January 31, 2014. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
December 31, 2013	Filing 338 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the Receiver is awarded $48,672.40 in compensation and $496.76 in expenses, to be paid from the $50,000 that the Court has already authorized for receiver compensation (Doc. No. 272). The remaining 20% of compensation,equal to $12,168.10, shall be held back and paid once the Receiver's work is satisfactorily completed. (Signed by Judge Richard J. Sullivan on 12/30/2013) (js)
December 13, 2013	Filing 337 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated December 13, 2013 re: Objection to Receiver Compensation Application. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
December 2, 2013	Filing 336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A SFAR, #2 Exhibit B Certification, #3 Exhibit C Time Records)(Gazes, Ian)
November 22, 2013	Filing 335 ORDER AUTHORIZING THE RECEIVER'S RETENTION OF SOLOMON HARRIS AS CAYMAN ISLAND COUNSEL AND PAYMENT OF THE FILING FEE granting #330 Motion. (Signed by Judge Richard J. Sullivan on 11/21/2013) (rsh)
November 22, 2013	Filing 334 MEMORANDUM OF LAW in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
November 22, 2013	Filing 333 DECLARATION of Neal Jacobson in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (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)(Jacobson, Neal)
November 22, 2013	Filing 332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
November 20, 2013	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Ian J. Gazes: Document No. #331 Letter is not filed via ECF. ONLY certain letter motions are allowed to be filed on ECF. A Motion to Amend/Correct is filed formally. (ldi)
November 20, 2013	Filing 331 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Amend/Correct #330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel. Amended Exhibit "C". Document filed by Ian Gazes.(Gazes, Ian) Modified on 11/21/2013 (ldi).
November 19, 2013	Filing 330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel. Document filed by Ian Gazes. (Attachments: #1 Exhibit Proposed Order, #2 Exhibit Order of Grand Court, Cayman Islands, #3 Exhibit Engagement Letter)(Gazes, Ian)
November 14, 2013	Filing 329 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 11/14/13 re: Updated Analysis of Assets and Liabilities. Document filed by Ian Gazes.(Gazes, Ian)
November 8, 2013	Filing 328 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated November 8, 2013 re: Response to Request for Pre-Motion Conference. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
November 7, 2013	Filing 327 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/25/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
November 7, 2013	Filing 326 TRANSCRIPT of Proceedings re: CONFERENCE held on 10/25/2013 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Sabrina D'Emidio, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/5/2013. Redacted Transcript Deadline set for 12/12/2013. Release of Transcript Restriction set for 2/8/2014.(Rodriguez, Somari)
November 7, 2013	Filing 325 REPLY MEMORANDUM OF LAW in Support re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
November 4, 2013	Filing 324 DECLARATION of Vivian Shevitz in Opposition re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #252 MOTION to Dismiss second amended complaint and entire case.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
October 28, 2013	Filing 323 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 10/18/2013 re: It is requested respectfully requested that your Honor so-order this letter and the Receivers Second Status Report. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/25/2013) (ama)
October 28, 2013	Filing 322 MEMO ENDORSEMENT on RECEIVER'S SECOND STATUS REPORT re: #314 Status Report filed by Ian Gazes. ENDORSEMENT: The Receiver requests that the Court so-order this Second Status Report and adopt the recommendations set forth in paragraphs "16" and"17" above. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/25/2013) (ama)
October 25, 2013	Minute Entry for proceedings held before Judge Richard J. Sullivan: Pre-Motion Conference held on 10/25/2013. Counsel for Plaintiff SEC was present. Counsel for Defendants Vilar and Tanaka were present. receiver Gazes was present. The Court deemed the defendants' motion for a stay and for CJA funds made and denied. The Court ordered the SEC to make its motions for summary judgment on disgorgement and penalties no later than 12/6/13. Defendants shall respond no later than 1/24/14. The SEC shall submit any reply by 2/3/14. The Court granted the receiver's request to adjourn the claims objection deadline to 2/8/14 and adjourn the objection hearing date to 3/8/14. (sc)
October 25, 2013	Filing 321 ORDER re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss. filed by Securities and Exchange Commission, ( Responses due by 11/4/2013) (Signed by Judge Richard J. Sullivan on 10/23/2013) (djc)
October 22, 2013	Filing 320 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 10/18/2013 re: By reason thereof, the Receiver requests that your Honor extend the claims objection date to after February 8, 2014. (ama)
October 17, 2013	Filing 319 MANDATE of USCA (Certified Copy). USCA Case Number 13-2527; 13-2550. Petitioners, through counsel, move to consolidate these two matters. Upon due consideration, it is hereby ORDERED that the motion is GRANTED, and the matters are consolidated for the purposes of this order. Petitioners additionally petition for writs of mandamus, and move for leave to proceed in forma pauperis, in both cases, and for a stay, pending resolution of the mandamus proceeding, of the District Court's July 8, 2013 order, denying the petitioners motion for a stay. This request for a stay is before this panel by way of a motion for reconsideration of an order of an applications judge of this Court denying an emergency motion for a stay. Upon due consideration, it is hereby ORDERED that the motions for leave to proceed in forma pauperis are GRANTED for the purpose of filing the mandamus petitions. It is further ORDERED that the petitions for writs of mandamus are DENIED. We deny the petitions in part because of the petitioners failure to make out the exceptional circumstances necessary to justify issuing the extraordinary writ of mandamus, and in part because we have no doubt that the District Court will recognize the importance of a prompt decision of these motions. See In re von Bulow, 828 F.2d 94, 96-97 (2d Cir. 1987). It is further ORDERED that the motions in Case No. 13-2550 for a stay, and for reconsideration of the prior denial of a stay by the applications judge, are GRANTED in part, pending the disposition of the criminal appeal, Case Nos. 10-521-cr(L), 10-580-cv(CON), 10-4639-cr(CON). The motions for stay and for reconsideration are granted only to the extent that they request a stay of the distribution of the substitute assets. In all respects other than the actual distribution of the substitute assets the motions are DENIED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Mandate issued on: 10/17/2013. (nd)
October 10, 2013	Filing 318 ORDER: The Court is in receipt of a letter from Defendants Vilar and Tanaka (Doc. No. 313) and a letter from Plaintiff (Doc. No. 316). Defendants Vilar and Tanka request a conference on several issues, and Plaintiff does not object. Accordingly, IT IS HEREBY ORDERED THAT the parties shall appear for a conference on Friday, October 25, 2013 at 3:00 p.m. to address the issues raised in Defendants Vilar and Tanaka's letter. ( Status Conference set for 10/25/2013 at 03:00 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 10/9/2013) (mro)
October 9, 2013	Filing 317 LETTER RESPONSE to Motion addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 10/9/13 re: #310 LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, Statement of CBIZ. Document filed by Ian Gazes. (Gazes, Ian)
October 9, 2013	Filing 316 LETTER RESPONSE to Motion addressed to Judge Richard J. Sullivan from Neal Jacobson dated October 9, 2013 re: #313 LETTER MOTION for Conference addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 3, 2013.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
October 4, 2013	Filing 315 NOTICE of Claims Register. Document filed by Ian Gazes. (Gazes, Ian)
October 4, 2013	Filing 314 STATUS REPORT. Receiver's Second Status Report Document filed by Ian Gazes. (Attachments: #1 Exhibit Affidavit of Publication, #2 Exhibit Claims Register)(Gazes, Ian)
October 3, 2013	Filing 313 LETTER MOTION for Conference addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 3, 2013. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
October 2, 2013	Filing 312 ORDER AUTHORIZING THE RECEIVER'S RETENTION OF CBIZ ACCOUNTING, TAX & ADVISORY OF NEW YORK, LLC AND CBIZ ACCOUNTING, TAX & ADVISORY OF SAN DIEGO, LLC granting #308 Motion for Order Authorizing Receiver to Retain CBIZ as Financial Advisor. It is hereby ORDERED, that the Receiver is authorized to retain CBIZ on the terms and conditions set forth in the Engagement Letter nunc pro tunc to July 11, 2013. (Signed by Judge Richard J. Sullivan on 10/2/2013) (mro)
October 2, 2013	Filing 311 ORDER denying #310 Letter Motion for Conference. Now before the Court is an eight-page letter from Defendants Vilar and Tanaka, dated September 30, 2013, requesting a stay, a conference, and CJA funds. To the extent the letter is a motion for a stay or for CJA funds, it violates Rule 2(A) of the Court's Individual Rules of Practice, which requires parties to submit a letter requesting a pre-motion conference before submitting a motion, unless the motion was previously authorized by court order or is exempted from the rule. To the extent the letter is a request for a pre-motion conference, it also violates Rule 2(A), which states that such letters may not exceed three pages. Accordingly, all requests in the letter are DENIED, without prejudice for renewal in a properly submitted letter or motion. The clerk of the court is respectfully directed to terminate the motion pending at Doc. No. 310. (Signed by Judge Richard J. Sullivan on 10/2/2013) (mro)
October 1, 2013	***DELETED DOCUMENT. Deleted document number #311 STANDING ORDER M10-468: Stay of Certain Civil Cases Pending the Restoration of Department of Justice Funding.. The document was incorrectly filed in this case. (ad)
September 30, 2013	Filing 310 LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #300 Memorandum of Law in Support of Motion, #308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor., #304 Declaration in Opposition, #309 Order,, #305 Certificate of Clerk AND FOR A Stay addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 30, 2013. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)
September 30, 2013	Filing 309 ORDER: The Court is in receipt of the two attached letters from the Receiver. In light of these letters, IT IS HEREBY ORDERED THAT the Claims Register shall be submitted by October 4, 2013. IT IS FURTHER ORDERED THAT all objections to the Claims Register shall be submitted by November 8, 2013. IT IS FURTHER ORDERED THAT the Receiver shall file a revised Claims Register by November 22, 2013. Other than the deadlines just mentioned, all directives in the Court's June 20, 2013 and July 30, 2013 Orders (Doc. Nos. 291, 297) shall remain in effect. (Signed by Judge Richard J. Sullivan on 9/27/2013) (cd)
September 27, 2013	Filing 308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Proposed Order, #2 Exhibit B Engagement Letter)(Gazes, Ian)
September 26, 2013	Filing 307 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Marc Litt dated 9/23/2013 re: Accordingly, I write to respectfully request that I be removed from the list of counsel to be noticed in the above case. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/25/2013) (ama)
September 12, 2013	Filing 306 NOTICE OF CHANGE OF ADDRESS by Vivian Shevitz on behalf of Gary Alan Tanaka, Alberto William Vilar. New Address: Attorney at Law, 46 Truesdale Lake Drive, South Salem, New York, United States 10590, 9147632122. (Shevitz, Vivian)
September 11, 2013	Filing 305 CLERK'S CERTIFICATE OF DEFAULT as to Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Groeth Fund, Inc., Amerindo Technology Growth Fund II, Inc., and Techno Raquia, S.A. (jno)
September 11, 2013	Filing 304 DECLARATION of Vivian Shevitz in Opposition re: #303 Declaration, Declaration in Support, #302 Opposition Brief, #301 Request to Enter Default,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
September 11, 2013	Filing 303 DECLARATION of Neal Jacobson, Esq. in support of Certificate of Default., DECLARATION of Neal Jacobson, Esq. in Support. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
September 11, 2013	Filing 302 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - OPPOSITION BRIEF re: #301 Request to Enter Default,. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian) Modified on 9/11/2013 (ka).
September 11, 2013	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #301 Request to Enter Default. Use the event type Declaration in Support(non-motion) found under the event list Other Answers. (ka)
September 11, 2013	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #302 Opposition Brief. Use the event type Declaration in Opposition(non-motion) found under the event list Other Answers. (ka)
September 10, 2013	Filing 301 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REQUEST TO ENTER DEFAULT against Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Growth Fund, Inc., Amerindo Technology Growth Fund II, Inc., Techno Raquia, S.A.. Document filed by Securities and Exchange Commission.(Jacobson, Neal) Modified on 9/11/2013 (ka).
September 5, 2013	Filing 300 FIRST MEMORANDUM OF LAW in Support re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)
September 5, 2013	Filing 299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. Document filed by Securities and Exchange Commission.(Jacobson, Neal)
August 1, 2013	Filing 298 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 7/30/2013 re: In order to avoid any confusion that may be caused by the Tanaka/Vilar letter, the Receiver, with the support of the SEC, respectfully requests that the Court authorize the Receiver to send a letter, in the form attached hereto as Exhibit "B", to the Amerindo investors. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/31/2013) (ama)
July 30, 2013	Filing 297 MEMO ENDORSEMENT on RECEIVER'S FIRST STATUS REPORT: ENDORSEMENT: The Court hereby adopts all of the proposed modifications to its orders of June 20, 2013. However, to give the Receiver adequate time to act on this Order, IT IS HEREBY ORDERED THAT the Receiver may publish the notice of the Bar date in Financial Times before August 6, 2013, and the bar Date shall be forty-five days thereafter, or September 20, 2013. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/29/2013) (ama)
July 19, 2013	Filing 296 STATUS REPORT. Receiver's First Status Report Document filed by Ian Gazes.(Gazes, Ian)
July 8, 2013	Filing 295 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 7/03/2013 re: I write in response to JP Morgan's letter to you dated July 2, 2013. Although we are not parties to the designated lawsuit in which it writes, i.e., 12 cv 5240 (RJS), Ms. Weiss sent me a copy of the letter. I ask that this letter be docketed in the criminal case, 05 cr 621, the SEC case, 05 cv 5231, and the interpleader case, 12 cv 5240. (ama)
July 8, 2013	Filing 294 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 7/02/2013 re: Accordingly, we request that the Court convene a conference to resolve the turnover/Interpleader matter or permit JPMorgan to move for a discharge, injunction, and attorneys' fees, as requested in our June 10, 2013 letter. (ama)
July 8, 2013	Filing 293 ORDER: Accordingly, Defendants' requests are DENIED, and IT IS HEREBY ORDERED THAT JP Morgan shall comply with the Court's Orders as to the liquidation of public securities held in restrained accounts. The Court notes that, under its Order of June 19, 2013, "[n]either the Receiver nor any professionals retained or employed by the Receiver shall have or incur any liability... for any action taken or omitted to be taken in connection with or related to the preparation, implementation, or administration of the [claims and interim distribution process] except for willful misconduct or gross negligence." SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/08/2013) (ama)
June 25, 2013	Filing 292 NOTICE OF APPEARANCE by Ian J. Gazes on behalf of Ian Gazes. (Gazes, Ian)
June 20, 2013	Filing 291 ORDER: For the reasons set forth in the accompanying Order dated June 19, 2013, the Receiver is authorized to implement a claims and interim distribution process (the "Claims Process") as set forth herein. IT IS HEREBY ORDERED THAT the Receiver is empowered and authorized to establish a Distribution Fund consisting of the Cash and the liquidation proceeds of the Public Securities (the ''Liquidation Proceeds'') held in the Investor Accounts for the purposes of making an interim distribution (the ("Interim Distribution") to holders of Allowed Claims (as herein defined). SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/19/2013) (ama)
June 20, 2013	Filing 290 ORDER: Except for Defendants, the responses to the R&R generally favor moving forward with the Receiver's recommendations. Because the Court agrees that the R&R proposes a prudent, expeditious course to resolving this litigation and restoring the forfeited assets to their rightful owners, the Court hereby adopts in their entirety the proposals set forth in the R&R and in the accompanying Order dated June 19,2013. Accordingly, IT IS HEREBY ORDERED THAT the Receiver shall begin the process of establishing a distribution fund and a claims and interim distribution procedure. IT IS FURTHER ORDERED THAT the Receiver shall update the Court by July 19, 2013 regarding the status of these activities. No distributions, however, shall be made without further order of the Court. While the Receiver is working to establish the distribution mechanisms, the Court will work in parallel to resolve the Turnover Proceeding. SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/19/2013) (ama)
June 18, 2013	Filing 289 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 5/29/2013 re: I write in response to SEC Receiver Ian J. Gazes' request for more time to file a first report and in anticipation of, and objection to, Mr. Gazes' apparent plan to let JP Morgan escape accountability for malfeasance, to continue to "employ" JP Morgan, and allow it to set its own terms for sale of the securities it has held. (ama)
June 18, 2013	Filing 288 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 6/17/2013 re: Now the SEC has weighed in on what to do with the assets it has held since 2005. With its June 10, 2013 letter to Judge Sullivan (once again litigation is conducted through "off the books" letters not filed on the docket. I ask that they all be filed), the SEC wants to accommodate the receiver and allow the expenditure of more funds to accomplish the payout that defendants proposed long ago. (ama)
June 18, 2013	Filing 287 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 6/11/2013 re: Mr. Marcus and Dr. Salvitti are ready to dispute the Mayers' claim to priority in whatever forum this Court determines to be appropriate, and we respectfully request that the Court grant Mr. Marcus's pending motion to intervene if it allows the Turnover Proceeding to move forward despite the request to the contrary in Mr. Jacobson's letter. However, in the interim, Mr. Begos's erroneous assertion that no one has disputed his clients' claim to priority must be corrected. Document filed by Ronald Salvetti.(cd)
June 18, 2013	Filing 286 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 6/10/2013 re: The SEC requests that the Court implement the Receiver's proposals. Document filed by United States Securities and Exchange Commission.(cd)
June 18, 2013	Filing 285 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 6/10/2013 re: Report filed by Ian Gazes, Receiver appointed by the Court. Document filed by J.P. Morgan Securities LLC.(cd)
June 18, 2013	Filing 284 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated 6/7/2013 re: Receiver's 5/30/2013 Initial Report and Recommendation. Document filed by Debra Mayer, Lisa Mayer.(cd)
May 30, 2013	Filing 283 STATUS REPORT. Receiver's Initial Report and Recommendations Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B)(Gazes, Ian)
May 23, 2013	Filing 282 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 5/22/2013 re: The undersigned was appointed the Receiver pursuant to Order dated March 11, 2013 and was granted a first extension to file his report to May 22, 2013. Since the Receiver's appointment he has among other things been diligently seeking a consensual resolution with all interested parties but these negotiations have concluded and the parties could not agree on all points. The negotiations ended yesterday. By reason of the foregoing the Receiver is finalizing his First Interim Report and requests additional time to file same to May 30, 2013. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/22/2013) (ama)
May 6, 2013	Filing 281 REPLY to Response to Motion re: #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)
April 22, 2013	Filing 280 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 4/22/2013 re: Goldman Sachs has advised the Receiver that they need more time to complete their investigation and it is therefore requested that your honor extend the Receiver's time to submit the Report for thirty (30) days or May 22, 2013 without prejudice to seek another extension if appropriate. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 4/22/2013) (ama)
April 10, 2013	Filing 279 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4/10/2013 re: Mr. Jacobson just pointed out that in fact he had agreed to a stay "at least pending the filing of the Receiver's Report," which is currently scheduled to be filed on April 22, 2013, not more generally, and would wait and see thereafter. I thus again suggest and ask that our reply papers be stayed as well. I do not want to waive a reply should it be necessary, and ask the Court to schedule the Reply to be filed ten days after any stay is lifted. ENDORSEMENT: Defendant's request to stay the deadline for filing reply papers on their motion for reconsideration pending completion of the receiver's Report is Hereby Granted. Accordingly, IT I S HEREBY ORDERED THAT Defendants shall submit any reply papers by May 3, 2013. If, following the completion of t he Receiver's Report, either of the parties believes there is cause for extending the stay,they may request to do so. SO ORDERED. ( Replies due by 5/3/2013.) (Signed by Judge Richard J. Sullivan on 4/10/2013) (ama)

October 18, 2019

Filing 737 LETTER MOTION to Stay Joining in Vilar motion to stay substitute asset forfeiture addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 18, 2019. Document filed by Gary Alan Tanaka.(Shevitz, Vivian)

October 17, 2019

Filing 736 ORDER. The Court in receipt of a letter submitted on behalf of Defendant Alberto Vilar, dated October 17, 2019, requesting that the Court stay the Preliminary Order of Forfeiture of Substitute Assets (Doc. No. 802) pending appellate review. (Doc. No. 833.) IT IS HEREBY ORDERED THAT the government shall submit a response no later than October 25, 2019. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 10/17/19) (yv)

October 15, 2019

Filing 735 MANDATE of USCA (Certified Copy) as to #723 Notice of Appeal, filed by Gary Alan Tanaka. USCA Case Number 19-2578. Ordered that the appeal is DISMISSED.. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/15/2019. [This document also entered in case: 05-cr-621-2]. (nd)

October 3, 2019

Filing 734 NOTICE of Petition Pursuant to Preliminary Order of Forfeiture as to substitute assets entered in the case of U.S. v. Alberto William Vilar and Gary Alan Tanaka 05-cr-621 re: #728 Order,. Document filed by John Preetzman-Aggerholm. (Colbath, Paula)

October 3, 2019

Filing 733 NOTICE of Petition Pursuant to Preliminary Order of Forfeiture as to substitute assets entered in the case of U.S. v. Alberto William Vilar and Gary Alan Tanaka 05-cr-621 re: #728 Order,. Document filed by Alfred C. Heitkoenig. (Attachments: #1 Exhibit 1-10)(Colbath, Paula)

September 28, 2019

Filing 732 NOTICE of filing of Petition in forfeiture case, 05cr621 re: #730 Notice (Other). Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Tanaka charging lien, #2 Exhibit Vilar charging lien)(Shevitz, Vivian)

September 20, 2019

Filing 731 ORDER. The Court in receipt of the attached petition from E. Ronald Salvitti. IT IS HEREBY ORDERED THAT any third parties who wish to file a petition for a hearing to adjudicate their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 802) shall do so via ECF. Any inquiries about docketing should be made to the Pro Se Intake Unit at (212) 805-0175. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/20/19) (yv)

September 20, 2019

Filing 730 NOTICE of filing of Petition in forfeiture case, 05cr621 re: #722 Memorandum & Opinion,,,,,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

September 20, 2019

Filing 729 ORDER: Having reviewed the authorities cited in the government's letter, the Court finds that the thirty-day deadline in 18 U.S.C. 853(n)(2) is a claim-processing deadline, not a jurisdictional bar, and thus the Court has the authority to grant a petition for an extension of time upon consent of the government. Accordingly, IT IS HEREBY ORDERED THAT Debra and Lisa Mayer, anthe Securities and Exchange Commission shall have until October 25, 2019 to file a petition for a hearing on the validity of their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets. SO ORDERED., ( Motions due by 10/25/2019.) (Signed by Judge Richard J. Sullivan on 9/20/2019) (ama)

September 18, 2019

Filing 728 ORDER. IT IS HEREBY ORDERED THAT any third parties that wish to file a petition for a hearing to adjudicate their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 802) shall do so via ECF. Any inquiries about docketing should be addressed to the Pro Se Intake Unit. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/18/19) (yv)

September 17, 2019

***DELETED DOCUMENT. Deleted document number #728 Order. The document was incorrectly filed in this case. (cf)

September 17, 2019

Filing 727 ORDER: The Court in receipt of (1) a letter filed by claimants Debra and Lisa Mayer, dated September 16, 2019, requesting an extension of time to file a petition for a hearing on the validity of their alleged interest in the property subject to the Court's Preliminary Order of Forfeiture as to Substitute Assets (Doc. No. 813); and (2) a letter filed by the government, also dated September 16, 2019, requesting an extension of time for the Securities and Exchange Commission to file a petition for a hearing in the same matter (Doc. No. 814), and attaching a proposed order granting such a request (Doc. No. 814-1). As neither party has addressed the Court's authority under 28 U.S.C. 853(n)(2) to provide such an extension, see United States v. Marion, 562 F.3d 1330, 1335 (11th Cir. 2009), IT IS HEREBY ORDERED THAT the parties are instructed to submit supplemental letters addressing this issue by September 19, 2019. SO ORDERED. (Signed by Judge Richard J. Sullivan, Sitting by Designation on 9/17/2019) (rro)

September 17, 2019

Filing 726 MOTION Petition for Ancillary Hearing and Amendment of Order for Forfeiture . Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust. (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)(Friedman, Julian)

August 28, 2019

Filing 725 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JPMorgan Chase & Co., Corporate Parent J.P. Morgan Broker-Dealer Holdings Inc., Corporate Parent JPMorgan Chase Holdings LLC for J.P. Morgan Securities LLC. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)

August 28, 2019

Filing 724 NOTICE OF APPEARANCE by Andrea Likwornik Weiss on behalf of J.P. Morgan Securities LLC. (Weiss, Andrea)

August 14, 2019

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #723 Notice of Appeal. (tp)

August 14, 2019

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #723 Notice of Appeal, filed by Gary Alan Tanaka were transmitted to the U.S. Court of Appeals. (tp)

August 12, 2019

Filing 723 NOTICE OF APPEAL from #722 Memorandum & Opinion. Document filed by Gary Alan Tanaka. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Original Document Entered in Criminal Case #05-cr-0621-2, Doc. #810) (tp)

August 2, 2019

Filing 722 OPINION AND ORDER re: #714 MOTION for Compensation Fourth and Fijnal of Receiver filed by Ian Gazes, #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver filed by Ian Gazes. The government's motion in support of its preliminary forfeiture order is GRANTED, as set forth in the separately docketed Preliminary Order of Forfeiture as to Substitute Assets, subject to the expenses GRANTED in the Receiver's and CBIZ's motions for compensation and reimbursement. The government is directed to file an update letter no later than August 12, 2019 setting forth proposed next steps regarding the anticipated ancillary proceeding. Because the Court will not issue a final distribution plan until after the ancillary proceeding, see Fed. R. Crim. P. 32.2(c)(2), the Civil Action, No. 05-cv-5231, shall remain open and the receivership shall continue pending resolution of the ancillary forfeiture proceeding in the Criminal Action. The Clerk of Court is respectfully directed to terminate the motions pending at Doc. No. 769 in Case No. 05-cr-621 and Doc. Nos. 714 and 715 in Case No. 05-cv-5231. SO ORDERED. (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 8/2/2019) (ne)

July 25, 2019

Filing 721 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated July 25, 2019 Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)

July 24, 2019

Filing 720 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated July24, 2019 re: Marcus Claimants. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Friedman, Julian)

January 14, 2019

Filing 719 REPLY to Response to Motion re: #714 MOTION for Compensation Fourth and Fijnal of Receiver. . Document filed by Ian Gazes. (Gazes, Ian)

January 7, 2019

Filing 718 ORDER: IT IS HEREBY ORDERED THAT the Receiver, the SEC, and/or CBIZ may file a reply to Defendants' submission no later than Monday, January 14, 2019. SO ORDERED. (Replies due by 1/14/2019.) (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 1/7/2019) (ne)

January 7, 2019

Filing 717 RESPONSE in Opposition to Motion re: #714 MOTION for Compensation Fourth and Fijnal of Receiver., #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver. . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

December 18, 2018

Filing 716 ORDER: The Court is in receipt of a fourth and final application for compensation and reimbursement of expenses by the Receiver, Ian J. Gazes, as well as a fifth and final application for compensation and reimbursement of expenses by CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Account Tax & Advisory of San Diego LLC, the Court-approved financial advisors to the Receiver. (Doc. Nos. 714, 715.) IT IS HEREBY ORDERED THAT any responses to these applications shall be filed by January 7, 2019. SO ORDERED. (Set Deadlines/Hearing as to #714 MOTION for Compensation Fourth and Fijnal of Receiver. #715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver: Responses due by 1/7/2019) (Signed by Judge Richard J. Sullivan United States Circuit Judge Sitting By Designation on 12/18/2018) (ne)

December 17, 2018

Filing 715 MOTION for Compensation Fifth and Final of CBIZ Accounting Tax and Advisory as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)

December 17, 2018

Filing 714 MOTION for Compensation Fourth and Fijnal of Receiver. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Certification, #2 Exhibit B Time Records)(Gazes, Ian)

October 5, 2018

Filing 713 ORDER: The Court is in receipt of a letter from Alfred Heitkonig, dated October 4, 2018 and attached hereto. The government is directed to include its response to this letter, if any, in its reply brief, which - per the Court's October 4, 2018 Order - shall be filed by October 12, 2018. (5-cr-621, Doc. No. 792.) Any further correspondence of this nature should be directed to the Court's Pro Se Office, rather than to the Court's chambers email inbox. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/5/2018) (anc)

October 4, 2018

Filing 712 ORDER: The Court is in receipt of a letter from the government, dated October 3, 2018, requesting an opportunity to file a reply brief in support of its forfeiture order. (05-cr-621, Doc. No. 790.) IT IS HEREBY ORDERED that the government shall file its reply by October 12, 2018. The government's reply brief shall also address the letters filed by Receiver Ian Gazes (05-cv-5231, Doc. No. 709), the SEC (05-cv-5231, Doc. No. 710), and Alfred Heitkonig (05-cv-5231, Doc. No. 711), attached hereto. SO ORDERED. (Replies due by 10/12/2018.) (Signed by Judge Richard J. Sullivan on 10/4/2018) (ne)

October 4, 2018

Filing 710 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated October 4, 2018 re: Government's Forfeiture Motion. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

October 3, 2018

Filing 711 LETTER addressed to Judge Richard J. Sullivan from Alfred Heitkoenig dated 9/24/2018 re: It is therefore my feeling that it would be very unjust that the SEC be awarded our monies. Document filed by Alfred C. Heitkoenig.(ne)

October 3, 2018

Filing 709 LETTER addressed to Judge Richard J. Sullivan from Derrelle M. Janey dated 10/3/2018 re: Government's Motion for Preliminary Order of Forfeiture as to Substitute Assets in Concurrent Criminal Case and Final Fee Applications of Receiver and his Financial Advisors. Document filed by Ian Gazes.(Janey, Derrelle)

September 28, 2018

Filing 708 BRIEF in Opposition to Motion by United States for a Proposed Preliminary Order of Forfeiture as to Substitute Assets. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Gershel, Bradley)

September 7, 2018

Filing 707 ORDER granting #706 Letter Motion for Leave to File Document. IT IS HEREBY ORDERED THAT the Marcus Claimants may respond to the government's motion no later than September 28, 2018. SO ORDERED. (Responses due by 9/28/2018) (Signed by Judge Richard J. Sullivan on 9/7/2018) (ne) Modified on 1/9/2019 (ne).

September 7, 2018

Filing 706 LETTER MOTION for Leave to File Response to the Government's Motion in the Related Criminal Action addressed to Judge Richard J. Sullivan from Julian W. Friedman dated September 7, 2018. Document filed by Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust.(Gershel, Bradley)

September 6, 2018

Filing 705 MEMO ENDORSEMENT on re: #704 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: IT IS HEREBY ORDERED THAT Debra Mayer and Lisa Mayer may respond to the government's motion no later than September 28, 2018. SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/6/2018) (ne)

September 6, 2018

Filing 704 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 6, 2018 re: the Government's Motion in the Related Criminal Action. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)

July 23, 2018

Filing 703 ORDER granting #697 Motion for Compensation. Accordingly, IT IS HEREBY ORDERED that the motion is GRANTED. The Financial Advisors shall be awarded $226,656.15 in compensation for the period beginning February 1, 2016 and ending November 30, 2017. The Financial Advisor's compensation shall be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court. (Doc. No. 507.) The Clerk is respectfully directed to terminate the motion pending at docket number 697. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/20/2018) (ne)

June 6, 2018

Filing 702 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 6/6/18 re: Proposed Order. Document filed by Ian Gazes. (Attachments: #1 Proposed Order)(Gazes, Ian)

May 24, 2018

Filing 701 ORDER GRANTING LOEB & LOEB LLP'S MOTION TO WITHDRAW AS COUNSEL OF RECORD granting #691 Motion to Withdraw as Attorney. Loeb & Loeb LLP's Motion is GRANTED. Paula K. Colbath and the law firm of Loeb & Loeb LLP are permitted to withdraw as counsel of record for the Interested Parties Alfred Heitkonig, Elna Charlotte Olga a/k/a Elna Heitkonig and Maakie Olga Maria Hickok a/k/a Maakie Heitkonig ("Interested Parties"), and are relieved of any and all further duties and responsibilities for Interested Parties in this case. ORDERED, that Paula K. Colbath and Loeb & Loeb LLP are hereby withdrawn as counsel of record for Interested Parties Alfred Heitkonig, Elna Charlotte Olga a/k/a Elna Heitkonig and Maakie Olga Maria Hickok a/k/a Maakie Heitkonig. (Attorney Paula Kae Colbath terminated.) (Signed by Judge Richard J. Sullivan on 5/23/2018) (ras)

May 22, 2018

Filing 700 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, Defendants' counsel dated May 22, 2018 re: Responding to receiver's letter of May 21, 2018 (DOC 699). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

May 21, 2018

Filing 699 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 5/21/18 re: Liquidation of Receivership Assets. Document filed by Ian Gazes.(Gazes, Ian)

May 11, 2018

Filing 698 MANDATE of USCA (Certified Copy) as to Alberto William Vilar, Gary Alan Tanaka. USCA Case Number 18-26 (L), 18-46 (Con). Petitioners request writs of mandamus, consolidation of these two proceedings, and in forma pauperis ("IFP") status. Upon due consideration, it is hereby ORDERED that the motions for consolidation and IFP status are GRANTED. The mandamus petitions are DENIED. Petitioners have not demonstrated that exceptional circumstances warrant the requested relief. See In re von Bulow, 828 F.2d 94, 96 (2d Cir. 1987); see also Linde v. Arab Bank, PLC, 706 F.3d 92, 107-08 (2d Cir. 2013).. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 05/11/2018. [This document also entered in case: 05-cr-0621; 05-cv-5231; 17-cv-1491]. (nd)

February 16, 2018

Filing 697 MOTION for Compensation /Fourth Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)

January 24, 2018

Filing 696 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 1675 Broadway, 19th Floor, New York, New York, USA 10019-5820, 212-223-0200. (Friedman, Julian)

January 8, 2018

Filing 695 ORDER of USCA (Certified Copy) as to #674 Notice of Cross Appeal, filed by Lisa Mayer, Debra Mayer, #675 Notice of Cross Appeal,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc., #676 Notice of Cross Appeal, filed by Elna Charlotte Olga, Heitkonig Parties, Alfred C. Heitkoenig, Maakie Heitkoenig, #673 Notice of Appeal, filed by Paul Marcus. USCA Case Number 17-2534 (L), 17-2537 (Con), 17-2541 (Con), 17-2681 (Con). Appellee moves to dismiss these consolidated appeals from four district court orders entered on May 6, 2014, December 31, 2014, May 20, 2016, and July 14, 2017. In the alternative, Appellee moves for summary affirmance of the first three orders and of a portion of the July 14, 2017 order, and to dismiss or stay the appeal from the portion of the July 14, 2017 order denying relief under Federal Rule of Civil Procedure 60(b). Upon due consideration, it is hereby ORDERED that the motion is GRANTED to the extent that the appeal from the May 6, 2014 district court order is DISMISSED. This Court already has reviewed that order. See SEC v. Amerindo Inv. Advisors, 639 F. App'x 752, 755 (2d Cir. 2016). Thus, the present appeal from that order is barred by the law-of-the-case doctrine. See United States v. Carr, 557 F.3d 93, 102 (2d Cir. 2009). It is further ORDERED that the motion is DENIED in all other respects, and the appeals from the district court orders entered on December 31, 2014, May 20, 2016, and July 14, 2017 are STAYED until the district court enters an order approving a final distribution plan and/or dissolving the receivership. Whether or not the orders approving the receiver's interim distribution plans are appealable interlocutory orders, see SEC v. Credit Bancorp, Ltd., 290 F.3d 80, 86 (2d Cir. 2002); 28 U.S.C. 1292(a)(1)-(2), under the merger doctrine, the orders will become appealable once a final order is entered approving a final distribution plan and/or dissolving the receivership, see City of New York v. Mickalis Pawn Shop, LLC, 645 F.3d 114, 141 n.25 (2d Cir. 2011). Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 01/08/2018. (nd)

January 4, 2018

Filing 694 NOTICE of Petition for mandamus, Motion for Forma Pauperis, civil cover sheet re: #688 Memorandum & Opinion,,,,, #670 Order,,, #686 Letter,, #683 Letter,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Petition for Mandamus, #2 Exhibit Motion for Forma Pauperis and consolidation, #3 Civil Cover Sheet Civil cover sheet for mandamus)(Shevitz, Vivian)

January 2, 2018

Filing 693 AFFIDAVIT OF SERVICE of Motion to Withdraw as Counsel served on Heitkonig Interested Parties on 1/2/2018. Service was made by Mail. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)

January 2, 2018

Filing 692 AFFIDAVIT of Paula K. Colbath in Support re: #691 MOTION for Paula K. Colbath to Withdraw as Attorney .. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)

January 2, 2018

Filing 691 MOTION for Paula K. Colbath to Withdraw as Attorney . Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga.(Colbath, Paula)

December 11, 2017

Filing 690 NOTICE OF CHANGE OF ADDRESS by Leo L. Esses on behalf of Maakie Heitkoenig. New Address: The Esses Law Group, LLC, 750 Third Avenue, 9th Floor, New York, New York, USA 10017, 212-673-3160. (Esses, Leo)

December 11, 2017

Filing 689 NOTICE OF APPEARANCE by Leo L. Esses on behalf of Maakie Heitkoenig. (Esses, Leo)

November 29, 2017

Filing 688 OPINION & ORDER re: #671 MOTION for Reargument re: #653 Order, Set Deadlines, #651 Response to Motion, #660 Order on Motion for Compensation, #669 Memorandum & Opinion, #655 Response to Motion, #666 Letter, #652 Declaration in Opposition to Motion, [670 MOTION for Reconsideration re; #669 Memorandum & Opinion, #670 Order, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. The instant motion for reconsideration simply presents the same arguments already rejected by this Court, as well as a prudential argument that the Court should stay any further distributions in this civil matter until after it has ruled on Defendants' pending habeas petitions. None of these arguments warrants reconsideration of the Court's July 17, 2017 Order, and Defendants' motion is therefore DENIED. The Clerk of Court is respectfully directed to terminate the motion pending at docket number 671, and as further set forth herein. (Signed by Judge Richard J. Sullivan on 11/29/2017) (ras)

October 13, 2017

Filing 687 NOTICE OF APPEARANCE by Bradley Gershel on behalf of Paul Marcus, The Ceryl Marcus-Podhaizer Trust, The Deane J. Marcus Trust, The Eve S. Marcus Children's Trust, The Steven E. Marcus Trust. (Gershel, Bradley)

October 4, 2017

***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Patrick Walter Begos to RE-FILE Document #685 MOTION to Withdraw as Counsel. Use the event type Letter found under the event list Other Documents. (db)

September 30, 2017

Filing 686 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 30, 2017 re: Receiver proposal (DOC 684) that he decide who to pay and how much out of "Defendants' remaining assets".. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 29, 2017

Filing 685 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Withdraw as Counsel. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick) Modified on 10/4/2017 (db).

September 28, 2017

Filing 684 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/28/17 re: Response to Letter Submitted by the Staff of the SEC. Document filed by Ian Gazes.(Gazes, Ian)

September 15, 2017

Filing 683 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 15, 2017 re: Reply to SEC and Mayer (DOC 681) proposals in response to Order 670. Document filed by Ana R Acevedo, Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 15, 2017

Filing 682 ORDER denying as moot #680 Letter Motion for Extension of Time to File Response/Reply. In light of counsel's submission dated September 15, 2017 at docket number 681, this request for an extension of time to submit a response to the Securities and Exchange Commission's letter is denied as moot. The Clerk of Court is respectfully directed to terminate the motion pending at docket number 680. (Signed by Judge Richard J. Sullivan on 9/15/2017) (ras)

September 15, 2017

Filing 681 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 15, 2017 re: response to SEC proposal (Doc. 672). Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)

September 15, 2017

Filing 680 LETTER MOTION for Extension of Time to File Response/Reply as to #670 Order,,, with respect to the 8/11/17 letter filed by SEC addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated September 15, 2017. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)

September 14, 2017

Filing 679 ORDER granting #678 Letter Motion for Extension of Time. IT IS HEREBY ORDERED THAT the Receiver shall submit a recommendation for future action to the Court no later than September 29, 2017. In particular, the Receiver is requested to address the proposal set forth by the Securities and Exchange Commission in its letter dated August 11, 2017 (Doc. No. 671), as well as any other proposals submitted by other parties and docketed by September 15, 2017. The Clerk of Court is respectfully requested to terminate the motion pending at docket number 678. (Signed by Judge Richard J. Sullivan on 9/14/2017) (ras)

September 14, 2017

Filing 678 LETTER MOTION for Extension of Time to Respond to SEC's Letter to the Court dated August 11, 2017 addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/14/17. Document filed by Ian Gazes.(Gazes, Ian)

September 8, 2017

Filing 677 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Paul Marcus, The Deane J. Marcus Trust, The Steven E. Marcus Trust, The Ceryl Marcus-Podhaizer Trust, The Eve S. Marcus Children's Trust. (Friedman, Julian)

August 28, 2017

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #676 Notice of Cross Appeal, filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Elna Charlotte Olga, Heitkonig Parties were transmitted to the U.S. Court of Appeals. (tp)

August 28, 2017

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #676 Notice of Cross Appeal. (tp)

August 25, 2017

Filing 676 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. Filing fee $ 505.00, receipt number 0208-14056207. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Colbath, Paula)

August 15, 2017

Filing 675 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. Filing fee $ 505.00, receipt number 0208-14016529. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Shevitz, Vivian)

August 15, 2017

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #675 Notice of Cross Appeal,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. were transmitted to the U.S. Court of Appeals. (tp)

August 15, 2017

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #675 Notice of Cross Appeal. (tp)

August 14, 2017

Filing 674 NOTICE OF CROSS APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Debra Mayer, Lisa Mayer. Filing fee $ 505.00, receipt number 0208-14012999. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Reisman, Jerome)

August 14, 2017

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #674 Notice of Cross Appeal,. (nd)

August 14, 2017

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #674 Notice of Cross Appeal, filed by Lisa Mayer, Debra Mayer were transmitted to the U.S. Court of Appeals. (nd)

August 11, 2017

Filing 673 NOTICE OF APPEAL from #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #669 Memorandum & Opinion,, #510 Order on Motion to Approve,, #618 Order on Motion to Approve,,,. Document filed by Paul Marcus. Filing fee $ 505.00, receipt number 0208-14006883. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Friedman, Julian)

August 11, 2017

Filing 672 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 08/11/2017 re: July 14, 2017 Order. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

August 11, 2017

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #673 Notice of Appeal, filed by Paul Marcus were transmitted to the U.S. Court of Appeals. (nd)

August 11, 2017

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #673 Notice of Appeal,. (nd)

July 26, 2017

Filing 671 MOTION for Reargument re: #653 Order, Set Deadlines,, #651 Response to Motion,, #660 Order on Motion for Compensation,,,, #669 Memorandum & Opinion,, #655 Response to Motion, #666 Letter, #652 Declaration in Opposition to Motion, #670 Order,,, #657 Memo Endorsement, #665 Letter, ., MOTION for Reconsideration re; #669 Memorandum & Opinion,, #670 Order,,, . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

July 14, 2017

Filing 670 ORDER: IT IS HEREBY ORDERED that, no later than August 18, 2017, the SEC shall submit a letter to the Court detailing its position as to whether: (1) the Receivership in this case should continue, (2) a bankruptcy proceeding should be initiated against Defendants, (3) the Court should refer this case to a bankruptcy judge under 28 U.S.C. 157(a), (4) the various proceedings should be consolidated with the related case of In re Application of Lisa and Debra Mayer, 12-cv-5240 (RJS) (S.D.N.Y.), or (5) another type of proceeding would be appropriate. IT IS FURTHER ORDERED that any interested party wishing to respond to the SEC's proposal shall do so no later than September 15, 2017. (Signed by Judge Richard J. Sullivan on 7/14/2017) (mro)

July 14, 2017

Filing 669 OPINION & ORDER re: #640 MOTION to Approve Fourth Interim Distribution filed by Ian Gazes. In sum, for the reasons set forth above, the Court concludes that it would be "fair and reasonable" to authorize the Inflation Adjustment Distribution. Accordingly, IT IS HEREBY ORDERED that the Receiver shall distribute $13,849,639.27 to investors in the amounts set forth in the attached schedule. IT IS FURTHER ORDERED that Defendants' request for vacatur under Rule 60 is DENIED. The Clerk is respectfully directed to terminate the motion pending at docket number 640. (Signed by Judge Richard J. Sullivan on 7/14/2017) (mro)

June 27, 2017

Filing 668 MEMO ENDORSEMENT on re: #667 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: No additional submissions shall be filed in the civil case, 05-cv-5231 (RJS), regarding Defendants' request for vacatur under Rule 60 of the Federal Rules of Civil Procedure. The Court will address Defendants' arguments concerning Kokesh v. SEC in a forthcoming order. (Signed by Judge Richard J. Sullivan on 6/27/2017) (ras)

June 27, 2017

Filing 667 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman, Esq. dated June 27, 2017 re: in response to defendants' June 23, 2017 letter. Document filed by Debra Mayer, Lisa Mayer.(Reisman, Jerome)

June 27, 2017

Filing 666 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated June 27, 2017 re: Kokesh v. SEC. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

June 23, 2017

Filing 665 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, Attorney for Defendants dated June 23, 2017 re: New Supreme Court cases bearing on remedies in this case. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

April 25, 2017

Filing 664 ENDORSED LETTER addressed to Judge Richard J. Sullivan from John Preetzmann-Aggerholm dated 4/25/2017 re: to support the Receiver's last proposal. ENDORSEMENT: The Court is in receipt of the attached letter regarding the Receiver's proposed distribution. Because this matter is fully briefed and will be resolved in due course, no further submissions or responses will be permitted. (Signed by Judge Richard J. Sullivan on 4/25/2017) (ras)

April 14, 2017

Filing 663 REPLY to Response to Motion re: #640 MOTION to Approve Fourth Interim Distribution . . Document filed by Ian Gazes. (Attachments: #1 Errata A)(Gazes, Ian)

March 30, 2017

Filing 662 MEMO ENDORSEMENT on re: #661 Letter, filed by Ian Gazes. ENDORSEMENT: SO ORDERED. (Set Deadlines/Hearing as to #661 Letter, #640 MOTION to Approve Fourth Interim Distribution : Replies due by 4/14/2017.) (Signed by Judge Richard J. Sullivan on 3/30/2017) (jwh)

March 30, 2017

Filing 661 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/30/17 re: Request for Further Extension of Time to Reply to Objections to propsoed Fourth Interim Distribution to April 14, 2017. Document filed by Ian Gazes.(Gazes, Ian)

March 21, 2017

Filing 660 ORDER granting #646 Motion for Compensation. Now before the Court is the third interim application of the Receiver, Ian J. Gazes, for compensation and reimbursement of expenses. (Doc. No. 646 ("App.").) Accordingly, IT IS HEREBY ORDERED that the Receiver is awarded $95,369.00 in compensation and $1,151.73 in expenses for the period of July 22, 2015 through January 24, 2017. IT IS FURTHER ORDERED that the Receiver is awarded the amounts held back from the previous two distributions, which total $12,168.10 and $32,119.40, respectively. The receiver's compensation and expenses shall be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court. (Doc. No. 507.) The Clerk is respectfully directed to terminate the motion pending at docket number 646. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 3/21/2017) (mro)

March 10, 2017

Set/Reset Deadlines: Replies due by 4/4/2017. (mro)

March 10, 2017

Filing 659 MEMO ENDORSEMENT on re: #658 Letter filed by Ian Gazes. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 3/10/2017) (mro)

March 10, 2017

Filing 658 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/10/17 re: Request for Extension of Time to Reply to Objections to propsoed Fourth Interim Distribution to April 4, 2017. Document filed by Ian Gazes.(Gazes, Ian)

March 6, 2017

Filing 657 MEMO ENDORSEMENT on re: (5 in case #17-cv-1491) Letter, filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: Petitioners' requests to supplement their petition and to "e-file a better copy" of their petition is granted. The Clerk is respectfully directed to file this Order in the cases 17-cv-1491 (RJS), 05-cv-5231 (RJS), and 05-cr-621 (RJS). (Signed by Judge Richard J. Sullivan on 3/3/2017) (jwh)

February 28, 2017

Filing 656 ORDER denying #654 Letter Motion for Leave to File Document. The Court does not find that additional briefing from the claimants would be useful at this time, and therefore, the request is denied. The Clerk is respectfully directed to terminate the motion pending at docket number 654. (Signed by Judge Richard J. Sullivan on 2/28/2017) (mro)

February 28, 2017

Filing 655 RESPONSE to Motion re: #640 MOTION to Approve Fourth Interim Distribution . Plaintiff Securities and Exchange Commission's Limited Objection to the Receiver's Methodology used in his Motion for an Order Authorizing and Directing a Fourth Interim Distribution to Investor Claimants. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

February 28, 2017

Filing 654 LETTER MOTION for Leave to File Reply to Mayer's Response to Receiver's application for a Fourth Interim Distribution addressed to Judge Richard J. Sullivan from Julian W. Friedman dated February 28, 2017. Document filed by Paul Marcus.(Friedman, Julian)

February 28, 2017

Filing 653 ORDER. The Court is in receipt of responses to the Receiver's application for a fourth interim distribution of assets. (Doc. No. 645, 651, 652.) IT IS HEREBY ORDERED THAT the Receiver shall file a reply no later than March 14, 2017. SO ORDERED. (Replies due by 3/14/2017.) (Signed by Judge Richard J. Sullivan on 2/28/2017) (rjm)

February 27, 2017

Filing 652 DECLARATION of Vivian Shevitz in Opposition re: #640 MOTION to Approve Fourth Interim Distribution .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 2255 filed 2-24-2017 05cr621)(Shevitz, Vivian)

February 27, 2017

Filing 651 RESPONSE to Motion re: #640 MOTION to Approve Fourth Interim Distribution . Objections of Lisa and Debra Mayer to Receiver's Motion for Fourth Interim Distribution. Document filed by Debra Mayer, Lisa Mayer. (Attachments: #1 Affidavit Transmittal Affidavit of Jerome Reisman, Esq., #2 Exhibit A to Affidavit (Proposed Distribution of Surplus Funds), #3 Exhibit B to Affidavit (Amended Criminal Judgments), #4 Exhibit C to Affidavit (Reisman 6-30-16 Letter to Hon. Sullivan), #5 Exhibit D to Affidavit (State Court Judgments), #6 Declaration of Lisa and Debra Mayer)(Reisman, Jerome)

February 21, 2017

Filing 650 NOTICE OF CHANGE OF ADDRESS by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. New Address: Robinson & Cole LLP, 1055 Washington Blvd., Stamford, CT, USA 06901, 203.462.7500. (Begos, Patrick)

February 21, 2017

Filing 649 NOTICE OF APPEARANCE by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. (Begos, Patrick)

February 15, 2017

Filing 648 ORDER: The Court is in receipt of a third interim application for compensation and reimbursement of expenses by the receiver, Ian J. Gazes. (Doc. No. 646.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by March 1, 2017. (Responses due by 3/1/2017) (Signed by Judge Richard J. Sullivan on 2/15/2017) (cla)

February 14, 2017

Filing 647 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated February 14, 2017 re: SEC v. Amerindo Investment Advisors, Inc. et al: Index No. 05 Civ. 05231 (RJS). Document filed by Paul Marcus.(Friedman, Julian)

February 13, 2017

Filing 646 MOTION for Compensation /Receiver's Third Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Certification, #2 Exhibit B - Time Records)(Gazes, Ian)

February 13, 2017

Filing 645 Objection re: #640 MOTION to Approve Fourth Interim Distribution . Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust and the Eve S. Marcus Children's Trust to the Receiver's Motion For A Fourth Interim Distribution. Document filed by Paul Marcus. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B, #3 Exhibit Exhibit C, #4 Exhibit Exhibit D, #5 Exhibit Exhibit E, #6 Exhibit Exhibit F, #7 Exhibit Exhibit G, #8 Exhibit Exhibit H, #9 Exhibit Exhibit I, #10 Exhibit Exhibit J, #11 Exhibit Exhibit K, #12 Exhibit Exhibit L)(Friedman, Julian)

February 13, 2017

Filing 644 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Paul Marcus. (Friedman, Julian)

February 6, 2017

Filing 643 MEMO ENDORSEMENT on re: #642 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: The request is granted. Accordingly, IT IS HEREBY ORDERED that any responses to the Receiver's motion shall be submitted no later than February 27, 2017. The Receiver shall file any reply no later than March 6, 2017. ( Responses due by 2/27/2017, Replies due by 3/6/2017.) (Signed by Judge Richard J. Sullivan on 2/6/2017) (mro)

February 5, 2017

Filing 642 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 5, 2017 re: seeking two-week extension, until February 27, 2017, to respond to Receiver motion for Fourth Distribution (DOC 640). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

January 30, 2017

Filing 641 ORDER: The Court is in receipt of an application for a fourth interim distribution by the Receiver, Ian J. Gazes, dated January 30, 2017. (Doc. No. 640.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by February 13, 2017. ( Responses due by 2/13/2017) (Signed by Judge Richard J. Sullivan on 1/30/2017) (mro)

January 30, 2017

Filing 640 MOTION to Approve Fourth Interim Distribution . Document filed by Ian Gazes. (Attachments: #1 Exhibit A-D)(Gazes, Ian)

December 6, 2016

Filing 639 ORDER granting #631 Motion for Compensation. IT IS HEREBY ORDERED THAT the motion is granted and CBIZ shall be compensated in the amount of $190,200.50. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 631. (Signed by Judge Richard J. Sullivan on 12/5/2016) (mro)

October 7, 2016

Filing 638 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 7, 2016 re: receiver's request (DOC 635) to increase his and his staff's fees. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

October 6, 2016

Filing 636 ORDER: Accordingly, IT IS HEREBY ORDERED THAT, to the extent that the Accounts contain Receivership Assets, the Court authorizes the Receiver to reinvest in either the (a) JPMorgan Liquidity Funds or (b) Goldman Sachs U.S. Treasury Liquid Reserves Fund, but not the potential third option, about which the Court has not received adequate information. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/06/2016) (ama)

October 6, 2016

Filing 635 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated October 6, 2016 re: Increased Hourly Compensation Rate. Document filed by Ian Gazes. (Attachments: #1 Supplement Notice of Increase in Hourly Fees)(Gazes, Ian)

September 29, 2016

Filing 634 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 29, 2016 re: Regarding Authorization to Transfer Accounts. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B)(Gazes, Ian)

September 27, 2016

Filing 633 ORDER: The Court is in receipt of an interim application for compensation and the reimbursement of expenses filed by the Receiver, Ian J. Gazes, dated September 23, 2016. (Doc. No. 631.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by October 4, 2016. SO ORDERED. (Responses due by 10/4/2016) (Signed by Judge Richard J. Sullivan on 9/27/2016) (kl)

September 23, 2016

Filing 632 RESPONSE in Support of Motion re: #631 MOTION for Compensation /Third Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Ian Gazes. (Gazes, Ian)

September 23, 2016

Filing 631 MOTION for Compensation /Third Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes. (Attachments: #1 Supplement)(Gazes, Ian)

September 14, 2016

Filing 637 MEMO ENDORSEMENT on re: #630 Letter filed by James Stableford. (We therefore respectfully request that Mr. Stableford be allowed to respond to Mr.Gazes's letter on or before October 3, 2016.) ENDORSEMENT: IT IS HEREBY ORDERED THAT, by October 3, 2016, Intervenor shall submit a letter to the Court setting forth (1) the assets held in the Pension Scheme, (2) the value of those assets, to the extent known, (3) the percentage of Pension Scheme assets owned by Defendant Gary Tanaka, and (4) the percentage of Pension Scheme assets owned by Defendant Alberto Vilar. SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/14/2016) (ama)

September 12, 2016

Filing 630 LETTER addressed to Judge Richard J. Sullivan from James M. Webster dated September 12, 2016 re: responding to September 9, 2016 letter from Ian Gazes. Document filed by James Stableford.(Webster, James)

September 12, 2016

Filing 629 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/16 re: the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme. Document filed by Ian Gazes.(Gazes, Ian)

September 12, 2016

***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Ian J. Gazes to RE-FILE Document #628 LETTER MOTION to Compel James Stableford to turnover to the Court and Receiver certain Information related to the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/. Use the event type Letter found under the event list Other Documents. (db)

September 9, 2016

Filing 628 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Compel James Stableford to turnover to the Court and Receiver certain Information related to the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/9/16. Document filed by Ian Gazes.(Gazes, Ian) Modified on 9/12/2016 (db).

July 20, 2016

Filing 627 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated July 20, 2016 re: Supplemental Affidavit of Brian Ryniker Regarding Rate Change. Document filed by Ian Gazes.(Gazes, Ian)

July 20, 2016

Filing 626 NOTICE OF APPEARANCE by Patrick Walter Begos on behalf of Debra Mayer, Lisa Mayer. (Begos, Patrick)

July 18, 2016

Filing 625 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated July 18, 2016 re: Supplemental Affidavit of Brian Ryniker Regarding Rate Change. Document filed by Ian Gazes.(Gazes, Ian)

July 6, 2016

Filing 624 MEMO ENDORSEMENT on re: #621 Letter filed by Lisa Mayer, Debra Mayer. ENDORSEMENT: The Court has been advised by the Receiver that he is aware of this account and is taking appropriate steps to determine whether it or any of the funds contained therein constitute receivership assets. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/05/2016) (ama)

July 1, 2016

Filing 623 ORDER re: #610 Letter filed by Ian Gazes, #613 Letter filed by J.P. Morgan Securities LLC, #604 Letter filed by J.P. Morgan Securities LLC, #611 Letter filed by James Stableford: that, to the extent that these funds contain receivership assets, the Court approves JPMorgan's contemplated liquidation plan and has no objection to reinvesting these funds in the alternate investment proposed by the Receiver. (Signed by Judge Richard J. Sullivan on 7/1/2016) (tn)

July 1, 2016

Filing 622 NOTICE OF APPEARANCE by Lisa Ann Giunta on behalf of Debra Mayer, Lisa Mayer. (Giunta, Lisa)

June 30, 2016

Filing 621 LETTER addressed to Judge Richard J. Sullivan from Jerome Reisman dated June 30, 2016 re: Morgan Stanley London Account. Document filed by Debra Mayer, Lisa Mayer. (Attachments: #1 Exhibit 1)(Reisman, Jerome)

June 30, 2016

Filing 620 NOTICE OF APPEARANCE by Jerome Reisman on behalf of Debra Mayer, Lisa Mayer. (Reisman, Jerome)

June 14, 2016

Filing 619 ORDER granting #585 Motion for Attorney Fees. For the reasons set forth above, Solomon Harris' Application is GRANTED. Solomon Harris shall be compensated for its services in the amount of $88,776.00 and reimbursed for expenses in the amount of $242.62, to be paid by the Receiver from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a Receivership Asset under the jurisdiction of this Court (see Doc. No. 507). The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 585. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 6/14/2016) (mro)

May 20, 2016

Filing 618 ORDER granting #584 Motion to Approve. For the reasons set forth above, the Receiver's motion is GRANTED in its entirety. Accordingly, IT IS HEREBY ORDERED THAT the Third Interim Distribution is approved and the Receiver is authorized to and shall distribute funds in accordance with the Third Interim Distribution Schedule. (See Doc. No. 607-2.) For purposes of this Third Interim Distribution, IT IS FURTHER ORDERED THAT the Zanzuri Claim shall be allowed in the amount of $1,174,596.99. In addition, for purposes of this Third Interim Distribution, IT IS FURTHER ORDERED THAT the total amount allowed for the Acevedo Claim shall be increased to $905,319.20. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 584. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 5/20/2016) (mro)

May 6, 2016

Filing 617 LETTER addressed to Judge Richard J. Sullivan from John Preetzmann-Aggerholm dated 5/3/16 re: I am an Amerindo claimant and I live in Port au Prince, Haiti, far removed from this case. I am very grateful to you for the appointment of the Amerindo Receiver, Mr. Ian Gazes who has sent me two checks so far representing more than half of my approved Amerindo claim. I recently wrote to Mr. Gazes to ask about the timing of the third distribution and also about certain issues which still remain unaddressed in my approved Amerindo claim. Mr. Gazes answered me overnight, which I really appreciated. I also keep in touch with my cousin, Alfred Heitkonig, who is has been more active than I in this case and thus I am aware of the enormous efforts undertaken thus far, and that much work remains to be done. (mro)

April 26, 2016

Filing 616 ORDER APPROVING PURCHASE AND SALE AGREEMENT: This is an Addendum to the Court's Order of today's date (collectively, the "Order") granting the Receiver's motion (Doc. No. 597 (the "Motion")) for approval and authorization to consummate the sale of certain Receivership Assets. IT IS HEREBY FOUND AND DETERMINED THAT: Proper, timely, adequate, and sufficient notice of the Motion, and the requested relief set forth therein, has been provided as evidenced by the certificate of service filed with Clerk of this Court and no other or further notice of the Motion or the entry of this Order is necessary. (As further set forth in this Order.) This Court shall retain jurisdiction to resolve any and all disputes arising from or relating to this Order or the Transaction Documents. (Signed by Judge Richard J. Sullivan on 4/26/2016) (cf)

April 26, 2016

Filing 615 ORDER granting #597 Motion to Authorize Authorize Receiver's Motion For Entry of an Order Approving the Sale of Certain Private Securities. IT IS HEREBY ORDERED THAT the Receiver is authorized and empowered to consummate the sale of the Purchased Securities pursuant to the terms and conditions set forth in the Purchase and Sale Agreement and as otherwise set forth in the attached Order Approving the Purchase and Sale Agreement. (As further set forth in this Order.) IT IS FURTHER ORDERED THAT the Receiver is authorized and empowered to pay Oxis the success fee pursuant to the terms set forth in the Engagement Letter. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry 597. (Signed by Judge Richard J. Sullivan on 4/26/2016) (cf)

April 18, 2016

Filing 614 MANDATE of USCA (Certified Copy) as to #447 Notice of Appeal,,,,,, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. USCA Case Number 14-2425. UPON DUE CONSIDERATION, IT IS HEREBY ORDERED, ADJUDGED AND DECREED that the judgment of the district court be AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 04/18/2016. (nd)

March 24, 2016

Filing 613 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 03/24/2016 re: Letter dated 3/18/2016. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)

March 22, 2016

Filing 612 DECLARATION of Vivian Shevitz in Opposition re: #597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593)., #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

March 18, 2016

Filing 611 LETTER addressed to Judge Richard J. Sullivan from James M. Webster III dated 3/18/2016 re: #609 Court Order. Document filed by James Stableford. (Attachments: #1 Exhibit A)(Webster, James)

March 18, 2016

Filing 610 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/18/16 re: JPMorgan letter dated 3/4/16 and Court's Order dated 3/10/16. Document filed by Ian Gazes.(Gazes, Ian)

March 10, 2016

Filing 609 ORDER: The Court is in receipt of a letter from non-party J.P. Morgan Securities LLC ("JPMorgan"), dated March 4, 2016, seeking the Court's "guidance with respect to two accounts" that contain Receivership Assets: (1) Amerindo Investment Advisors Inc. Money Purchase Plan and Trust (account number ending in 5612); and (2) the Trustees of the Amerindo Advisors (UK) Ltd. Retirement Benefits Scheme (account number ending in 5012). (Doc. No. 604.) Specifically, to comply with recent amendments to U.S. Securities and Exchange Commission Rules and Regulations, JPMorgan wishes to liquidate these two accounts' investments in a Dreyfus Liquid Assets money market fund and then reinvest these liquidated funds in an alternate investment. JPMorgan seeks the Court's approval regarding this proposed course of action and the Court's direction as to the appropriate alternate investment for these funds. Accordingly, IT IS HEREBY ORDERED THAT, by March 21, 2016, Receiver Ian Gazes shall submit a response to JPMorgan's letter, which shall also include a proposed alternate investment for these funds. (Signed by Judge Richard J. Sullivan on 3/10/2016) (mro)

March 9, 2016

Filing 608 REPLY to Response to Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi - Mayers' Cross-Motion for Amendment of Their Claim. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

March 8, 2016

Filing 607 REPLY to Response to Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi, #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver. . Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Gazes, Ian)

March 7, 2016

Filing 606 NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Amerindo Investment Advisors Inc.. (Friedman, Julian)

March 7, 2016

Filing 605 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #606) NOTICE OF APPEARANCE by Julian Walter Friedman on behalf of Amerindo Investment Advisors Inc.. (Friedman, Julian) Modified on 3/10/2016 (lb).

March 4, 2016

Filing 604 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 03/04/2016 re: Instruction Regarding Trust Accounts. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)

March 4, 2016

Filing 603 RESPONSE in Support of Motion re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizing and Directing a Third Interim Distribution. Filed by Claimants Paul Marcus, The Deane J. Marcus Trust, The Steven E. Marcus Trust, The Cheryl Marcus-Podhaizer Trust and The Eve S. Marcus Children's Trust. (kko)

March 1, 2016

Filing 602 DECLARATION of Vivian Shevitz in Opposition re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi, #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

February 25, 2016

Filing 601 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated February 11, 2016 re: /Proposed Order Approving Purchase and Sale Agreement (Related to Doc No. 593). Document filed by Ian Gazes.(Gazes, Ian)

February 25, 2016

Filing 600 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated January 15, 2016 re: Motion for An Order Approving the Proposed Sale of Certain Private Securities (Related to Doc No. 593).. Document filed by Ian Gazes.(Gazes, Ian)

February 25, 2016

Filing 599 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 22, 2014 re: Motion for An Order Approving the Proposed Sale of Certain Private Securities (Related to Doc No. 593).. Document filed by Ian Gazes.(Gazes, Ian)

February 25, 2016

Filing 598 AFFIDAVIT of Oxis Capital Inc. in Support re: #597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593)., #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities .. Document filed by Ian Gazes. (Gazes, Ian)

February 25, 2016

Filing 597 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities (Related to Doc. No. 593). Document filed by Ian Gazes.(Gazes, Ian)

February 25, 2016

***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Ian J. Gazes to RE-FILE Document #593 MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)

February 24, 2016

Filing 596 MEMO ENDORSEMENT on re: #595 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: Defendants' extension request is GRANTED. Accordingly, IT IS HEREBY ORDERED THAT Defendants shall submit a response to Receiver Ian Gazes' motion to approve a private sale (Doc. No. 593) by March 22, 2016. No further extensions will be granted. ( Responses due by 3/22/2016) (Signed by Judge Richard J. Sullivan on 2/24/2016) (mro)

February 23, 2016

Filing 595 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 23, 2016 re: Response to DOC 593, Motion re private equities. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

February 23, 2016

Filing 594 ORDER. The Court is in receipt of Receiver Ian Gazes' motion for an order approving the proposed sale of certain private securities currently held by the Receiver as receivership assets. (Doc. No. 593.) Accordingly, IT IS HEREBY ORDERED THAT any responses to this motion shall be filed by March 1, 2016. (Responses due by 3/1/2016) (Signed by Judge Richard J. Sullivan on 2/23/2016) (rjm)

February 23, 2016

Filing 593 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Authorize Reciever's Motion For Entry of an Order Approving the Sale of Certain Private Securities . Document filed by Ian Gazes. (Attachments: #1 Affidavit In Support of Receiver's Motion, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C - Proposed Order)(Gazes, Ian) Modified on 2/25/2016 (db).

February 15, 2016

Filing 592 MEMORANDUM OF LAW in Opposition re: #584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizi , in opposition to Zanzuri and Acevedo claims, and in support of cross-motion for Amendment to increase Mayer claim. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

February 3, 2016

Filing 591 MEMO ENDORSEMENT on re: #589 Letter, filed by Techno Raquia, S.A., Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. ENDORSEMENT: While the Court is sympathetic to counsel's demanding schedule, and will grant a limited extension of time in which to respond to the motion and application filed by Receiver Ian Gazes on January 27, 2016 (Doc. Nos. 584 and 585), the Court finds that several additional months in this already-prolonged case is excessive, especially given the interests of the defrauded investors in this case, who have been waiting years to be made whole. Accordingly, IT IS HEREBY ORDERED THAT Ms. Shevitz, on behalf of her clients, shall file a response to the Receiver's motion and application by March 1, 2016. IT IS FURTHER ORDERED THAT the Receiver shall file a reply, if any, by March 8, 2016. ( Responses due by 3/1/2016, Replies due by 3/8/2016.) (Signed by Judge Richard J. Sullivan on 2/3/2016) (mro)

February 3, 2016

Filing 590 LETTER addressed to Judge Richard J. Sullivan from Mark D. Salzberg dated February 2, 2016 re: In Opposition to Defendants' February 2, 2016 Letter. Document filed by Securities and Exchange Commission.(Salzberg, Mark)

February 2, 2016

Filing 589 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated February 2, 2016 re: Extended time to respond to Motions 584, 585, and consent to pay Zanzuri and Acevedo at this time.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

January 27, 2016

Filing 588 ORDER: The Court is in receipt of the following two submissions from Receiver Ian Gazes: (1) a motion for fixing, allowing, and amending certain investor claims and authorizing an interim distribution (Doc. No. 584), and (2) an application for compensation and reimbursement of expenses on behalf of the law firm Solomon Harris (Doc. No. 585). Accordingly, IT IS HEREBY ORDERED THAT any responses to the Receiver's motion and the application shall be filed by February 15, 2016. ( Responses due by 2/15/2016) (Signed by Judge Richard J. Sullivan on 1/27/2016) (mro)

January 27, 2016

Filing 587 NOTICE OF APPEARANCE by Leo L. Esses on behalf of Maakie Heitkoenig. (Esses, Leo)

January 27, 2016

Filing 586 DECLARATION of Ian J. Gazes in Support re: #585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver.. Document filed by Ian Gazes. (Gazes, Ian)

January 27, 2016

Filing 585 MOTION for Attorney Fees /First and Final Application for Compensation and Reimbursement of Expenses of Solomon Harris Attorneys-At-Law, As Cayman Islands Attorneys to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)

January 27, 2016

Filing 584 MOTION to Approve Third Interim Distribution /Receivers Motion for an Order (A) Fixing and Allowing The Additional Investor Claim Filed by Jenny Zanzuri, (B) Amending the Allowed Amount of the Investor Claim Filed by Ana Acevedo and (C) Authorizing and Directing a Third Interim Distribution. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian)

November 18, 2015

Filing 583 ORDER denying #576 Motion for Reconsideration: that Defendants' motion for reconsideration is DENIED. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 576. (Signed by Judge Richard J. Sullivan on 11/18/2015) (tn)

October 9, 2015

Filing 582 MEMO ENDORSEMENT granting #580 Motion to Authorize. ENDORSEMENT: In light of the lack of any objections from or actual prejudice to other investors, IT IS HEREBY ORDERED THAT this request is GRANTED and the Receiver shall promptly distribute $18,889.31 to investor Graciela Lecube Chavez. (Signed by Judge Richard J. Sullivan on 10/8/2015) (mro)

September 30, 2015

Filing 581 RESPONSE in Support of Motion re: #580 MOTION to Authorize Emergency Interim Distribution to Investor Claimant Graciela Lecube Chavez . . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

September 30, 2015

Filing 580 MOTION to Authorize Emergency Interim Distribution to Investor Claimant Graciela Lecube Chavez . Document filed by Ian Gazes.(Gazes, Ian)

September 25, 2015

Filing 579 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/25/15 re: Withdrawal of Pending Application to Retain the law firm of Withers LLP. Document filed by Ian Gazes.(Gazes, Ian)

September 22, 2015

Filing 578 ORDER FOR ADMISSION PRO HAC VICE granting #577 Motion for James M. Webster, III to Appear Pro Hac Vice. (Signed by Judge Richard J. Sullivan on 9/21/2015) (rjm)

September 21, 2015

Filing 577 MOTION for James M. Webster, III to Appear Pro Hac Vice CORRECTED. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by James Stableford. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Exhibit B - Certificate of Good Standing, #3 Text of Proposed Order Proposed Order)(Webster, James)

September 21, 2015

>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #577 MOTION for James M. Webster, III to Appear Pro Hac Vice CORRECTED. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)

September 19, 2015

Filing 576 MOTION for Reconsideration re; #574 Order on Motion for Compensation,,,, . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 17, 2015

Filing 575 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for James M. Webster, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11400570. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by James Stableford. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Exhibit B - Certificate of Good Standing, #3 Text of Proposed Order Proposed Order)(Webster, James) Modified on 9/17/2015 (sdi).

September 17, 2015

>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #575 MOTION for James M. Webster, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11400570. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Clerk of Appeals of Maryland;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (sdi)

September 14, 2015

Filing 574 ORDER granting #549 Motion for Compensation. Now before the Court is the Receiver's second interim application for compensation and reimbursement of expenses. (Doc. No. 549.) Specifically, the Receiver seeks $160,597 in compensation, subject to a 20% holdback of $32,119.40, and $4,147.19 in reimbursement of expenses for the period beginning November 5, 2013 and ending July 22, 2015. IT IS HEREBY ORDERED THAT the Receiver is awarded $128,477.60 in compensation and $4,147.19 in expenses, to be paid from the liquidated assets maintained in the Amerindo Technology Growth Fund II, which is a receivership asset under the jurisdiction of this Court (Doc. No. 507). The remaining 20% of compensation (amounting to $32,119.40) shall be held back until the Receiver's work is complete to the Court's satisfaction. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 9/14/2015) (mro) Modified on 9/14/2015 (mro).

September 8, 2015

Filing 573 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 9-8-15 re: Reconsideration of characterization of defendants' objections as "moot", in court orddr 572 granting time to receiver to continue unauthorized conduct. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 4, 2015

Filing 572 ORDER: The Court is in receipt of a letter from the Receiver, Ian Gazes, dated September 4, 2015 (Doc. No. 570), requesting an extension of time to file a response to Defendants' and third-party James Stableford's August 28, 2015 objections to the Receiver's application to retain a law firm in connection with the liquidation of Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme (Doc. No. 568). Specifically, the Receiver requests the extension in light of his ongoing communications with Mr. Stableford regarding "the methodology for the liquidation/dissolution of th[is] [U.K. pension]." (Doc. No. 570.) Because the Court believes that such communications may be beneficial to the orderly resolution of this dispute, IT IS HEREBY ORDERED THAT the Receiver's request is GRANTED and he shall file his response to the August 28 objections by September 29, 2015. (Signed by Judge Richard J. Sullivan on 9/4/2015) (mro)

September 4, 2015

Filing 571 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 4, 2015 re: Gazes' application to not respond to defendants'-appellants' objections to his proceeding to "administer and control" non-receivership asset UK Pension (Gazes' letter DOC 570). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 4, 2015

Filing 570 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated September 4, 2015 re: Extension for Receiver to Reply to Defendants' and James Stableford's Submissions. Document filed by Ian Gazes.(Gazes, Ian)

September 2, 2015

Filing 569 RESPONSE in Support of Motion re: #562 MOTION to Authorize Receiver's Retention of Withers LLP . Response to Stableford's Opposition to Motion. Document filed by Lisa Mayer, Debra Mayer. (Begos, Patrick)

August 31, 2015

Filing 568 ORDER granting #566 Motion to Intervene. On August 20, 2015, court-appointed Receiver Ian Gazes's filed an application, dated August 18, 2015, requesting permission to retain Withers LLP to serve as "solicitors" with respect to the liquidation of Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme (the "Pension Scheme"). (Doc. No. 562 (the "Application").) On August 21, 2015, the Court issued an Order directing that any responses to the Application shall be filed by August 28, 2015. (Doc. No. 563.) The Court is now in receipt of (1) Defendants' self-styled declaration, dated August 28, 2015, opposing the Application (Doc. No. 565); (2) third-party James Stableford's motion to intervene in this case as "one of four managing trustees and members" of the Pension Scheme, pursuant to Federal Rule of Civil Procedure 24(a)(2) or 24(b)(1) (Doc. No. 567); and (3) Mr. Stableford's opposition to the Application, dated August 28, 2015, and attached as Exhibit A to his motion (Doc. No. 567-1). Rule 24(b)(1) provides that a court "may permit anyone to intervene who...has claim or defense that shares with the main action a common question of law or fact." Pursuant to this rule, the Court previously allowed Mr. Stableford to intervene in a related civil matter based on his role as a managing trustee of the Pension Scheme. (Mayer v. J.P. Morgan Securities, LLC, 12-cv-5240 (RJS), Doc. No. 102.) Thus, for largely the same reasons, the Court finds that Mr. Stableford also meets the relevant intervenor standard in the instant matter. Accordingly, IT IS HEREBY ORDERED THAT, pursuant to Rule 24(b)(1), Mr. Stableford's motion to intervene is GRANTED. IT IS FURTHER ORDERED THAT, by September 8, 2015, the Receiver shall respond to the factual and legal assertions contained in Defendants' and Mr. Stableford's August 28 submissions regarding the Application (see Doc. Nos. 565 and 567-1). (Signed by Judge Richard J. Sullivan on 8/31/2015) (mro) Modified on 9/4/2015 (mro).

August 28, 2015

Filing 567 MEMORANDUM OF LAW in Support re: #566 MOTION to Intervene . . Document filed by James Stableford. (Attachments: #1 Exhibit A)(Goldsmith, Andrew)

August 28, 2015

Filing 566 MOTION to Intervene . Document filed by James Stableford.(Goldsmith, Andrew)

August 28, 2015

Filing 565 DECLARATION of Vivian Shevitz in Opposition re: #562 MOTION to Authorize Receiver's Retention of Withers LLP .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

August 28, 2015

Filing 564 NOTICE OF APPEARANCE by Andrew Edward Goldsmith on behalf of James Stableford. (Goldsmith, Andrew)

August 21, 2015

Filing 563 ORDER: The Court is in receipt of Receiver Ian Gazes's application, dated August 18, 2015, requesting permission to retain Withers LLP to serve "as solicitors in connection with the liquidation of the Amerindo Advisors (UK) Ltd. Ret. Benefits Scheme." (Doc. No. 562.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by August 28, 2015. Set Deadlines/Hearing as to #562 MOTION to Authorize Receiver's Retention of Withers LLP: (Responses due by 8/28/2015) (Signed by Judge Richard J. Sullivan on 8/21/2015) (kko)

August 20, 2015

Filing 562 MOTION to Authorize Receiver's Retention of Withers LLP . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)

August 14, 2015

Filing 561 ORDER denying #555 Motion for Attorney Fees; denying #555 Motion to Disqualify; denying #555 Motion for Recusal; denying #555 Motion for Release of Funds; denying #555 Motion to Stay. For all the reasons set forth above. IT IS HEREBY ORDERED THAT Defendants' August 10 Motion is DENIED. Moreover, since there is no need for additional briefing or a hearing on Defendants' motion, IT IS FURTHER ORDERED THAT the SEC's and Receiver's requests for an extension of time in which to respond to the motion and a later return date for the hearing are DENIED as moot. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 555. (As further set forth in this Order.) (Signed by Judge Richard J. Sullivan on 8/14/2015) (mro)

August 14, 2015

Filing 560 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated August 14, 2015 re: Response and opposition to Ian Gazes' letter request (DOC 559) to decide his motion for fees, etc., before deciding motion for recusal and a stay (DOC 555). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

August 13, 2015

Filing 559 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 8/13/15 re: Defendants' Declaration and Cross Motion. Document filed by Ian Gazes.(Gazes, Ian)

August 12, 2015

Filing 558 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated August 12, 2015 re: Responding to Mark Salzberg's letter seeking September 11, 2015 date to respond to Motion 555. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

August 12, 2015

Filing 557 LETTER addressed to Judge Richard J. Sullivan from Mark D. Salzberg dated August 12, 2015 re: Defendants' August 10, 2015 Filing. Document filed by Securities and Exchange Commission.(Salzberg, Mark)

August 10, 2015

Filing 556 DECLARATION of Vivian Shevitz in Opposition re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.., #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses., #548 MOTION to Authorize and Direct J.P. Morgan Securities LLC or its Affiliates to Turn Over Original Stock Certificates .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Securities and Exchange Commission, Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

August 10, 2015

Filing 555 MOTION for Attorney Fees under CJA.( Return Date set for 8/20/2015 at 10:00 AM.), MOTION to Disqualify Judge Sullivan., MOTION for Recusal of Judge Sullivan.( Return Date set for 8/20/2015 at 10:00 AM.), MOTION for Release of Funds -- UK Pension Account., MOTION to Stay proceedings and specifically Receiver Motions 548 and 549. ( Return Date set for 8/20/2015 at 10:00 AM.) Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

August 6, 2015

Filing 554 STATUS REPORT. Receiver's Fourth Status Report Document filed by Ian Gazes. (Attachments: #1 Errata A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H)(Gazes, Ian)

August 5, 2015

Filing 553 CERTIFICATE OF SERVICE of ORDER served on J.P. Morgan on August 3, 2015. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)

August 3, 2015

Filing 552 RESPONSE in Support of Motion re: #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)

August 3, 2015

Filing 551 ORDER: The Court is in receipt of a motion filed by the Receiver, Ian J. Gazes (the "Receiver"), requesting that the Court compel third-party J.P. Morgan Securities, LLC ("J.P. Morgan") to turn over receivership assets held by J.P. Morgan. (Doc. No. 548.) IT IS HEREBY ORDERED THAT, by August 6, 2015, the Receiver shall serve this Order upon J.P. Morgan, and by August 14, 2015, J.P. Morgan shall comply with the Court's prior Orders or, in the alternative, shall submit a letter informing the Court (1) why it has not been responsive to the Receiver's requests, (2) whether it believes the stock certificates referenced by the Receiver are held for the benefit of the Amerindo Technology Growth Fund II Inc., and (3) of any other information it believes the Court would find useful pertaining to the relevant assets. (Signed by Judge Richard J. Sullivan on 8/1/2015) (mro)

August 3, 2015

Filing 550 ORDER: The Court is in receipt of an interim application for compensation and the reimbursement of expenses filed by the Receiver, Ian J. Gazes, dated July 30, 2015. (Doc. No. 549.) IT IS HEREBY ORDERED THAT any responses to the Receiver's application shall be filed by August 10, 2015. Set Deadlines/Hearing as to #549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses: ( Responses due by 8/10/2015) (Signed by Judge Richard J. Sullivan on 8/1/2015) (mro)

July 30, 2015

Filing 549 MOTION for Compensation /Receiver's Second Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Account Statement, #2 Exhibit B - Certification, #3 Exhibit C- Time Records)(Gazes, Ian)

July 30, 2015

Filing 548 MOTION to Authorize and Direct J.P. Morgan Securities LLC or its Affiliates to Turn Over Original Stock Certificates . Document filed by Ian Gazes. (Attachments: #1 Proposed Order, #2 Exhibit B)(Gazes, Ian)

July 14, 2015

Filing 547 ORDER granting #537 Motion for Compensation. IT IS HEREBY ORDERED THAT the motion is GRANTED. CBIZ shall be compensated in the amount of $146,066.20 for services rendered and reimbursed for expenses in the amount of $17.61. The Clerk of the Court is respectfully directed to terminate the motion pending at docket number 537. (Signed by Judge Richard J. Sullivan on 7/14/2015) (mro)

July 14, 2015

Filing 546 NOTICE of Withdrawal of Appearance of David Burger. Document filed by Alberto William Vilar. (Ringel, Fred)

July 7, 2015

Filing 545 REPLY to Response to Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Reply to NEAL JACOBSON'S ENDORSEMENT (DOC 544). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

July 6, 2015

Filing 544 RESPONSE in Support of Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)

July 4, 2015

Filing 543 REPLY to Response to Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. RESPONDING TO IAN GAZES' 542 --. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

June 29, 2015

Filing 542 RESPONSE in Support of Motion re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. . Document filed by Ian Gazes. (Gazes, Ian)

June 18, 2015

Filing 541 ORDER granting #540 Letter Motion for Extension of Time to File Response/Reply. IT IS HEREBY ORDERED THAT the Receiver's deadline to respond to any opposition to CBIZ's application shall be June 29, 2015. Responses due by 6/29/2015. (Signed by Judge Richard J. Sullivan on 6/17/2015) (mro)

June 17, 2015

Filing 540 MOTION for Extension of Time to File Response/Reply as to #539 Order,,, Set Deadlines,, . Document filed by Ian Gazes.(Gazes, Ian)

June 10, 2015

Filing 539 ORDER: The Court is in receipt of an interim application filed by CBIZ Accounting Tax & Advisory of New York LLC ("CBIZ"), dated May 20, 2015 and filed June 4, 2015, seeking compensation for services rendered and reimbursement for expenses incurred in connection with this receivership, in the total amount of $146,083.81. (Doc. No. 537.) The Court is also in receipt of a declaration in opposition to CBIZ's application submitted by Vivian Shevitz on behalf of Defendants. (Doc. No. 538.) IT IS HEREBY ORDERED THAT any other responses to CBIZ's application shall be filed by June 19, 2015. SO ORDERED. (Responses due by 6/19/2015) (Signed by Judge Richard J. Sullivan on 6/10/2015) (ajs)

June 8, 2015

Filing 538 DECLARATION of Vivian Shevitz in Opposition re: #537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver... Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

June 4, 2015

Filing 537 MOTION for Compensation /Second Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Document filed by Ian Gazes.(Gazes, Ian)

May 18, 2015

Filing 536 ORDER: IT IS HEREBY ORDERED THAT, by May 22, 2015, the Receiver shall serve this Order upon S.G. Americas, and by June 1, 2015, S.G. Americas shall comply with the Court's prior Orders or, in the alternative, shall submit a letter informing the Court (1) why it has not been responsive to the Receiver's requests, (2) whether it believes the assets referenced by the Receiver are held for the benefit of the Amerindo Technology Growth Fund, and (3) of any other information it believes the Court would find useful pertaining to the relevant assets. (Signed by Judge Richard J. Sullivan on 5/15/2015) (kko)

May 11, 2015

Filing 535 DECLARATION of Vivian Shevitz in Opposition re: #518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets ., #534 MOTION to Compel S.G. Americas Securities, LLC to Turn Over Receivership Assets .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

May 11, 2015

Filing 534 MOTION to Compel S.G. Americas Securities, LLC to Turn Over Receivership Assets . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Account Statement)(Gazes, Ian)

April 7, 2015

Updated Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #533 Order on Motion to Compel, USCA Case Number 14-2425, were transmitted to the U.S. Court of Appeals. (tp)

March 24, 2015

Filing 533 ORDER granting #518 Motion to Compel. Now before the Court is the Receiver's motion for an order compelling U.S. Bank N.A. ("U.S. Bank") to turn over receivership assets in its possession. (Doc. No. 518.) Pursuant to the Court's February 25, 2015 Order (Doc. No. 521), the Court is also in receipt of the attached letter from U.S. Bank, taking no position on the relief sought by the Receiver but expressing concern as to the implications of the Post-Conviction Restraining Order in the parallel criminal case, United Stales v. Vilar, et al., No. 05-cr-621 (RJS) ("Criminal Action"), Doc. No. 364 (S.D.N.Y. Oct. 26, 2009). The Court notes that the Post-Conviction Restraining Order has been superseded-in the first instance by the original Substitute Asset Forfeiture Order dated November 9, 2010 (Criminal Action, Doc. No. 463)-and is no longer in effect. Moreover, to the extent the restraining order remains in effect, it is hereby lifted for purposes of the disposition of the funds held by U.S. Bank for the benefit of Amerindo Technology Growth Fund II, Inc. ("ATGF II"). Additionally, based on the contents of the letter submitted by U.S. Bank, the Court is satisfied that the funds in question were held for the benefit of ATGF II investors, and are thus a part of the receivership. (See Doc. No. 507.) Accordingly, IT IS HEREBY ORDERED THAT U.S. Bank shall turn over the funds in its possession held for the benefit of ATGF II investors to the Receiver in this case, Ian J. Gazes, by April 13, 2015. (Signed by Judge Richard J. Sullivan on 3/23/2015) (mro)

March 24, 2015

Filing 532 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/9/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

March 24, 2015

Filing 531 TRANSCRIPT of Proceedings re: conference held on 12/9/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)

March 24, 2015

Filing 530 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/11/2012 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

March 24, 2015

Filing 529 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/11/2012 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)

March 24, 2015

Filing 528 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/2/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

March 24, 2015

Filing 527 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/2/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)

March 24, 2015

Filing 526 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/1/2005 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

March 24, 2015

Filing 525 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/1/2005 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/17/2015. Redacted Transcript Deadline set for 4/27/2015. Release of Transcript Restriction set for 6/25/2015.(McGuirk, Kelly)

March 4, 2015

Filing 524 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 3/4/15 re: Receivership Assets Held by U.S. Bank. N.A.. Document filed by Ian Gazes.(Gazes, Ian)

March 2, 2015

Filing 523 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 919 Third Avenue, 37th Floor, New York, New York, 10022, 212-223-0200. (Friedman, Julian)

February 27, 2015

Filing 522 CERTIFICATE OF SERVICE of Order served on U.S Bank N.A. on 2/26/15. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)

February 25, 2015

Filing 521 ORDER: The Court is in receipt of a motion filed by the Receiver, Ian J. Gazes (the "Receiver"), requesting that the Court compel third-party U.S. Bank N.A. ("U.S. Bank") to turn over receivership assets held by U.S. Bank. (Doc. No. 518.) The Court is also in receipt of a declaration from Defendants' counsel opposing the Receiver's motion, largely on the ground that the motion lacks sufficient information from which the Court could conclude that U.S. Bank is in possession of Receivership Assets. (Doc. No. 520.) IT IS HEREBY ORDERED THAT, by March 4, 2015, the Receiver shall file a letter informing the Court of his basis for concluding that the funds held at U.S. Bank are, in fact, held for the benefit of Amerindo Technology Growth Fund II, Inc. ("ATGF II"). IT IS FURTHER ORDERED THAT, by February 27, 2015, the Receiver shall serve this Order upon U.S. Bank, and by March 13, 2015, U.S. Bank shall submit a letter informing the Court (1) why it has declined the Receiver's requests, (2) whether it believes the funds referenced by the Receiver are held for the benefit of ATGF II, and (3) of any other information it believes the Court would find useful pertaining to the relevant funds. (Signed by Judge Richard J. Sullivan on 2/25/2015) (mro)

February 23, 2015

Filing 520 DECLARATION of Vivian Shevitz in Opposition re: #518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

February 18, 2015

Filing 519 CERTIFICATE OF SERVICE of Motion served on U.S Bank N.A. on 2/18/15. Service was made by Mail. Document filed by Ian Gazes. (Gazes, Ian)

February 18, 2015

Filing 518 MOTION to Compel U.S. Bank N.A. to Turn Over Receivership Assets . Document filed by Ian Gazes.(Gazes, Ian)

February 3, 2015

Filing 517 ORDER denying #512 Motion for Reconsideration. On December 30, 2014, the Court issued an Order on the motion of Ian J. Gazes, Court-appointed Receiver, authorizing a second interim distribution of funds in partial satisfaction of investor claims in this receivership. (Doc. No. 510 ("Distribution Order").) Now before the Court is a motion for reconsideration of the Distribution Order filed by Defendants. (Doc. No. 512 ("Reconsideration Motion").) Accordingly, IT IS HEREBY ORDERED THAT Defendants' motion for reconsideration of the Distribution Order is DENIED. The Clerk of the Court is respectfully directed to terminate the motion pending at docket entry number 512. (Signed by Judge Richard J. Sullivan on 2/3/2015) (mro)

January 20, 2015

Filing 516 REPLY to Response to Motion re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. . Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

January 16, 2015

Filing 515 RESPONSE in Opposition to Motion re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)

January 6, 2015

Filing 514 NOTICE OF CHANGE OF ADDRESS by Julian Walter Friedman on behalf of Paul Marcus. New Address: Ballard Spahr LLP, 425 Park Avenue, New York, New York, 10022, 212-223-0200. (Friedman, Julian)

January 6, 2015

Filing 513 DECLARATION of Vivian Shevitz in Support re: #512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

January 6, 2015

Filing 512 MOTION for Reconsideration re; #510 Order on Motion to Approve,, second distribution -. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

January 6, 2015

Filing 511 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Reconsideration re; #510 Order on Motion to Approve,, SEcond Distribution. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 Affidavit Declaration in support of reconsideration of Order granting second distribution (DOC 510))(Shevitz, Vivian) Modified on 1/6/2015 (db).

January 6, 2015

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #511 MOTION for Reconsideration re; #510 Order on Motion to Approve,, SEcond Distribution. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)

December 31, 2014

Filing 510 ORDER granting #499 Motion to Approve. Having reviewed the Receiver's motion, all of the objections and responses, and the Receiver's Reply, the Court determines that the Receiver's proposed Second Interim Distribution, as set forth in the Second Interim Distribution Schedule, is fair and reasonable. Accordingly, IT IS HEREBY ORDERED THAT the Receiver's motion for a Second Interim Distribution is GRANTED. The Receiver shall distribute funds according to the schedule set forth in the Second Interim Distribution Schedule. The Clerk of the Cout1 is respectfully directed to close the motion pending at docket entry number 499. SO ORDERED. (See Order.) (Signed by Judge Richard J. Sullivan on 12/30/2014) (ajs)

November 24, 2014

Filing 509 REPLY to Response to Motion re: #499 MOTION to Approve Second Interim Distribution . Receivers Omnibus Reply to Objection to the Receivers Motion for a Order Authorizing and Directing a Second Interim Distribution. Document filed by Ian Gazes. (Gazes, Ian)

November 21, 2014

Filing 508 REPLY to Response to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Maria Dichov. (Attachments: #1 Exhibit Exhibit A to Dichov Response to Marcus Objections to 2nd Interim Distribution)(Winick, Paul)

November 21, 2014

Filing 507 ORDER granting in part and denying in part #491 Motion for for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation). IT IS HEREBY ORDERED THAT the Receivership Assets of the Companies over which the Receiver has been appointed include all assets of the Companies, wherever held. IT IS FURTHER ORDERED THAT the Receiver is empowered to take all steps necessary to recover the Receivership Assets, including, where necessary, seeking recognition of his appointment in jurisdictions outside the United States where Receivership Assets are located, such as in the Cayman Proceeding. IT IS FURTHER ORDERED THAT the term "assets" includes, but shall not be limited to, cash or its equivalent, securities, bonds, depository accounts, claims, causes of action, accounts, escheated assets, and dividends held by or for the benefit of the Companies wherever located, including the dividend due to ATGFII in the Cayman Proceeding. IT IS FURTHER ORDERED THAT the Receiver is authorized to pay SG Americas Securities, LLC, or any other custodian of a Receivership Asset, the customary fees and expenses attendant to the liquidation of any Receivership Asset. However, the Court finds that an order enjoining Defendants and their representatives from defending any property interests they may have in any proceeding throughout the world would be overly broad and is not necessary to effectuate the Court's jurisdiction over the receivership estate. Accordingly, IT IS FURTHER ORDERED THAT the Receiver's motion for a broad order enjoining Defendants from interfering with Receivership Assets is DENIED. With respect to the Cayman Proceeding, the Court is confident that this clarifying Order will be sufficient to establish the Receiver's authority with respect to any and all Receivership Assets in that country. (Signed by Judge Richard J. Sullivan on 11/20/2014) (mro)

November 17, 2014

Filing 506 Objection re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Heitkonig Parties, Elna Charlotte Olga. (Colbath, Paula)

November 14, 2014

Filing 505 RESPONSE in Opposition to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

November 14, 2014

Filing 504 RESPONSE in Opposition to Motion re: #499 MOTION to Approve Second Interim Distribution . . Document filed by Paul Marcus. (Attachments: #1 Exhibit A)(Friedman, Julian)

November 5, 2014

***DELETED DOCUMENT. Deleted document number #504 Order. The document was deleted pursuant to instructions from Chambers and is only docketed in 14cv3662. (mro)

November 3, 2014

Filing 503 ORDER granting #498 Letter Motion for Extension of Time. IT IS HEREBY ORDERED THAT counsel's request is GRANTED and the deadline for objections to the proposed Second Interim Distribution is ADJOURNED to November 17, 2014. IT IS FURTHER ORDERED THAT the Receiver's deadline to respond to any objections is ADJOURNED to November 24, 2014. (Signed by Judge Richard J. Sullivan on 11/2/2014) (mro)

November 3, 2014

Filing 502 RESPONSE in Opposition to Motion re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In SUPPLEMENTARY REPLY TO RECEIVER'S RESPONSE (DOC 500). Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

November 3, 2014

Filing 501 DECLARATION of Vivian Shevitz in Opposition re: #499 MOTION to Approve Second Interim Distribution .. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

October 31, 2014

Filing 500 REPLY to Response to Motion re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In . Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)

October 31, 2014

Filing 499 MOTION to Approve Second Interim Distribution . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Second Interim Distribution)(Gazes, Ian)

October 30, 2014

Filing 498 LETTER MOTION for Extension of Time for submitting objections to the Second Interim Distribution addressed to Judge Richard J. Sullivan from Julian W. Friedman dated October 30, 2014. Document filed by Paul Marcus.(Friedman, Julian)

October 22, 2014

Filing 497 ORDER: Pursuant to the Court's October 14, 2014 Order (Doc. No. 492), the Court is in receipt of a declaration of Vivian Shevitz (Doc. No. 496) opposing the Receiver's motion to enjoin Defendants from interfering in foreign proceedings and clarifying the designation of receivership assets (Doc. No. 491). IT IS HEREBY ORDERED THAT the Receiver shall respond to this objection no later than October 31, 2014. (Signed by Judge Richard J. Sullivan on 10/22/2014) (mro)

October 21, 2014

Filing 496 DECLARATION of Vivian Shevitz in Opposition re: #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Attachments: #1 Exhibit Exhibits to Declaration in opposition to motion to enjoin defendants and their counsel)(Shevitz, Vivian)

October 17, 2014

Filing 495 ORDER: The Court having given thorough consideration to all of the submissions in support of and opposition to the claims, IT IS HEREBY ORDERED THAT, for purposes of the Second Interim Distribution, the Additional Claims shall be allowed in amounts as set forth herein. IT IS FURTHER ORDERED THAT the allowed amount of the Acevedo Claim shall be without prejudice to recomputation pending further investigation by the Receiver. IT IS FURTHER ORDERED THAT, pursuant to the Court's September 30, 2014 Order, the Receiver shall submit a proposed Second Interim Distribution application by October 31, 2014, any objections to the Second Interim Distribution application shall be filed by November 10, 2014, and the Receiver shall submit a reply to any objections by November 17, 2014. (Signed by Judge Richard J. Sullivan on 10/16/2014) (mro)

October 15, 2014

Filing 494 ORDER granting #487 Motion for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator. Accordingly, IT IS HEREBY ORDERED THAT the Receiver is authorized to employ Oxis and StillPoint pursuant to the terms and conditions set forth in the Engagement Letter and Addendum attached to the Application as Exhibit "C", which is incorporated herein. IT IS FURTHER ORDERED THAT the Receiver is authorized to pay Oxis Capital the Sum of $10,000 from the Amerindo Technology Growth Fund II account and $5,000 per month commencing thirty (30) days after entry of this Order for a period of six (6) months subject to a cap of $35,000.00 without further order of the Court. The payment of any Success Fee as that term is defined in the Engagement Letter may only be paid upon application to this Court and entry of a further order of this Court. IT IS FURTHER ORDERED THAT neither the Receiver nor any professionals, entities, or parties retained or employed by the Receiver shall have or incur any liability to any entity/person for any action taken or omitted to be taken in connection with or related to the preparation, implementation, administration or liquidation of receivership assets including public and private securities except for willful misconduct or gross negligence. IT IS FURTHER ORDERED THAT Oxis and StillPoint and their respective employees are under a continuing obligation to immediately notify in writing the Court, the Securities and Exchange Commission, and the Receiver of any potential conflicts that relate to or concern their employment authorized herein upon discovery thereof. IT IS FURTHER ORDERED THAT Oxis and StillPoint are directed to turn over all realized funds from the sale or liquidation of receivership assets to the Receiver. (Signed by Judge Richard J. Sullivan on 10/15/2014) (tro)

October 15, 2014

Filing 493 RESPONSE re: #466 Response, Reply,,,, Receiver's Supplemental Position Regarding Investor Claims of Maria Dichov and Ana Acevedo. Document filed by Ian Gazes. (Gazes, Ian)

October 14, 2014

Filing 492 ORDER: The Court is in receipt of the Receiver's Motion for an order (A) clarifying the designation of Receivership Assets, and (B) enjoining Defendants and their representatives from interfering with the Court's jurisdiction over the receivership assets. (Doc. No. 490.) IT IS HEREBY ORDERED THAT any objections to the motion shall be filed by October 21, 2014. Set Deadlines/Hearing as to #491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In: Responses due by 10/21/2014. (Signed by Judge Richard J. Sullivan on 10/14/2014) (tn)

October 14, 2014

Filing 491 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation) . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Order, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian)

October 14, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Ian J. Gazes to RE-FILE Document #490 MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo In. ERROR(S): No signature or s/. (db)

October 13, 2014

Filing 490 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for an Order (a) Clarifying the Designation of Receivership Assets and (b) Enjoining Defendants and their Representatives from Interfering with the Courts Jurisdiction Over the Receivership Assets Including the Proceeding Known as Amerindo Investment Internet Growth Fund Ltd. (In Official Liquidation) . Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gazes, Ian) Modified on 10/14/2014 (db).

October 10, 2014

Filing 489 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated october 6, 2014 re: objecting to receiver request (DOC 487) to hire OXIS and its broker. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

October 6, 2014

Filing 488 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE to Motion re: #487 MOTION for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator . OBJECTION to RECEIVER MOTION TO RETAIN OXIS. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian) Modified on 10/6/2014 (db).

October 6, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #488 Response to Motion. Use the event type Letter found under the event list Other Documents. (db)

October 2, 2014

Filing 487 MOTION for an Order Authorizing the Retention of Oxis Capital, Inc. and StillPoint Capital LLC as Advisor/Liquidator . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Proposed Order, #2 Exhibit B, #3 Exhibit C - Engagement Letter)(Gazes, Ian)

October 2, 2014

Filing 486 RESPONSE re: #464 Objection (non-motion), -- Response to Objections to the Claim of the Los Angeles Opera. Document filed by Los Angeles Opera Company. (Harris, Christopher)

September 30, 2014

Set/Reset Deadlines: Motions due by 10/31/2014. Responses due by 11/10/2014 Replies due by 11/17/2014. (kgo)

September 30, 2014

Filing 485 MEMO ENDORSEMENT on re: #483 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Receiver's deadline to submit a proposed Second Interim Distribution application pursuant to the Court's August 1, 2014 Order (Doc. No. 459) is ADJOURNED to October 31, 2 014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than November 10, 2014, and the Receiver shall submit a reply to any objections by November 17, 2014. (Signed by Judge Richard J. Sullivan on 9/29/2014) (kgo)

September 29, 2014

Filing 484 ORDER: IT IS HEREBY ORDERED THAT the Receiver's deadline to submit a proposed Second Interim Distribution application pursuant to the Court's August 4, 2014 Order (Doc. No. 459) is ADJOURNED to October 17, 2014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than October 27, 2014, and the Receiver shall submit a reply to any objections by November 3, 2014. ( Motions due by 10/17/2014., Responses due by 10/27/2014, Replies due by 11/3/2014.) (Signed by Judge Richard J. Sullivan on 9/29/2014) (mro)

September 29, 2014

Filing 483 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 9/26/14 re: Extension of time to submit propsoed Second Interim Distribution to October 31, 2014. Document filed by Ian Gazes.(Gazes, Ian)

September 19, 2014

Filing 482 NOTICE OF APPEARANCE by Ronald Wolf Adelman on behalf of Maria Dichov. (Adelman, Ronald)

September 19, 2014

Filing 481 NOTICE OF APPEARANCE by Ronald Wolf Adelman on behalf of Ana R Acevedo. (Adelman, Ronald)

September 19, 2014

Filing 480 RESPONSE re: #464 Objection (non-motion), . Document filed by Ana R Acevedo, Maria Dichov. (Winick, Paul)

September 19, 2014

Filing 479 NOTICE OF APPEARANCE by Paul A. Winick on behalf of Maria Dichov. (Winick, Paul)

September 19, 2014

Filing 478 NOTICE OF APPEARANCE by Paul A. Winick on behalf of Ana R Acevedo. (Winick, Paul)

September 19, 2014

Filing 477 REPLY re: #468 Response in Opposition to Motion,,, #463 Letter, #464 Objection (non-motion), #467 Objection (non-motion) ., RESPONSE of Receiver to Objections to Additional Investor Claims. Document filed by Ian Gazes. (Gazes, Ian)

September 18, 2014

Filing 476 ORDER: The Court is in receipt of defense counsel's "Letter-Motion to withdraw in favor of pro bono counsel," which apparently conditions her motion to withdraw on the Court's "appointment of pro bono counsel." (Doc. No. 475.) Counsel bases her motion to withdraw in part on a "potential conflict that may be influencing [her] legal advice." (Id.) However, the Court finds numerous problems with counsel's request; as further set forth herein. Accordingly, IT IS HEREBY ORDERED THAT defense counsel's request is DENIED without prejudice to renewal. (Signed by Judge Richard J. Sullivan on 9/18/2014) (mro)

September 17, 2014

Filing 475 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 17, 2014 re: Withdrawal in favor of pro bono counsel. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

September 16, 2014

Filing 474 ORDER: The Court is in receipt of Defendants' request for new pro bono counsel to be appointed for their representation. (Doc. No. 472.) However, the individual Defendants are currently represented by counsel, and the entity Defendant has defaulted. If Defendants' counsel wishes to withdraw, she may submit a motion to withdraw as counsel pursuant to Local Civil Rule 1.4. If she makes such a motion and the Court grants it, Defendants may at that point submit a request for pro bono counsel using the same form on which they submitted their current request. Accordingly, IT IS HEREBY ORDERED THAT Defendant's request is DENIED without prejudice to renewal if Defendants' counsel moves to withdraw as counsel and the Court grants that motion. (Signed by Judge Richard J. Sullivan on 9/16/2014) (mro)

September 16, 2014

Filing 473 LETTER addressed to Judge Richard J. Sullivan from Edward T Swanson dated 09-16-14 re: Anna Gladkoff Claim. Document filed by Lily Cates.(Swanson, Edward)

September 12, 2014

Filing 472 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 12, 2014 re: Appointment of pro bono counsel for defendants in ongoing proceedings. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 9, 2014

Filing 471 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz, counsel for defendants dated September 9, 2014 re: Objecting To Edward Swanson's Conclusions in DOC 469 about Gladkoff claims and to receiver's acceptance of claim. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar.(Shevitz, Vivian)

September 8, 2014

Filing 470 ORDER re: #468 Response in Opposition to Motion, filed by Techno Raquia, S.A., Amerindo Investment Advisors, Inc. (Panama), Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc., #463 Letter filed by Alfred C. Heitkoenig, #464 Objection (non-motion), filed by Paul Marcus, #467 Objection (non-motion) filed by Lisa Mayer, Debra Mayer: that the Receiver shall respond to these objections no later than September 19, 2014. (Signed by Judge Richard J. Sullivan on 9/4/2014) (tn)

September 8, 2014

Filing 469 LETTER addressed to Judge Richard J. Sullivan from Edward T Swanson dated 09/08/2014 re: Response to Objections of Defendants re Claim for Anna Gladkoff. Document filed by Lily Cates.(Swanson, Edward)

September 4, 2014

Filing 468 RESPONSE in Opposition to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist AND IN OPPOSITION TO ADDITIONAL CLAIMS APPROVED IN RECEIVER 8-29-14 SUBMISSION #466 ------. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

August 29, 2014

Filing 467 Objection re: #466 Response, Reply,,,, . Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

August 29, 2014

Filing 466 RESPONSE /RECEIVERS POSITION IN RESPONSE TO ADDITIONAL INVESTOR CLAIMS., REPLY . Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Schedule of Additional Investor Claims, #2 Exhibit B - Lohman Proof of Claim, #3 Exhibit C - Acevedo Proof of Claim, #4 Exhibit D - Gazambide Proof of Claim, #5 Exhibit E - Dichov Proof of Claim, #6 Exhibit F - LA Opera Proof of Claim, #7 Exhibit G - Gladkoff Proof of Claim, #8 Exhibit H - Mainzer Proof of Claim)(Gazes, Ian)

August 29, 2014

Filing 465 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 08/29/2014 re: Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust, and the Eve S. Marcus Children's Trust to Additional Claims. Document filed by Paul Marcus.(Friedman, Julian)

August 29, 2014

Filing 464 Objection re: #455 Status Report, Objections of Claimants Paul Marcus, the Deane J. Marcus Trust, the Steven E. Marcus Trust, the Cheryl Marcus-Podhaizer Trust and the Eve S. Marcus Children's Trust to Additional Claims. Document filed by Paul Marcus. (Friedman, Julian)

August 29, 2014

Filing 463 LETTER addressed to Judge Richard J. Sullivan from Alfried Heitkonig dated August 28, 2014 re: Comments to Receiver's Third Status Report. Document filed by Alfred C. Heitkoenig.(Colbath, Paula)

August 27, 2014

Filing 462 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated August 27, 2014 re: Anna Gladkoff Claim. Document filed by Lily Cates.(Swanson, Edward)

August 8, 2014

Filing 461 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 4/2/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

August 8, 2014

Filing 460 TRANSCRIPT of Proceedings re: conference held on 4/2/2014 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/2/2014. Redacted Transcript Deadline set for 9/11/2014. Release of Transcript Restriction set for 11/10/2014.(McGuirk, Kelly)

August 4, 2014

Filing 459 MEMO ENDORSEMENT on #455 Status Report, filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT any objections to the Additional Claims shall be filed no later than August 29, 2014. IT IS FURTHER ORDERED THAT the Receiver shall submit a proposed Second Interim Distribution application no later than September 30, 2014. IT IS FURTHER ORDERED THAT any objections to the Second Interim Distribution application shall be submitted no later than October 10, 2014. IT IS FURTHER ORDERED THAT the Receiver shall submit a reply to any objections no later than October 17, 2014. (Signed by Judge Richard J. Sullivan on 8/1/2014) (cd)

August 4, 2014

Filing 458 ORDER granting #448 Motion for Compensation. The Clerk of the Court is respectfully directed to terminate the motion pending at docket number 448. (Signed by Judge Richard J. Sullivan on 8/1/2014) (cd)

July 30, 2014

Filing 457 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Status Conference proceeding held on 1/7/2009 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(nt)

July 30, 2014

Filing 456 TRANSCRIPT of Proceedings re: Status Conference held on 1/7/2009 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Sally Reidy/Shari Riemer, (518) 581-8973. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/25/2014. Redacted Transcript Deadline set for 9/5/2014. Release of Transcript Restriction set for 10/31/2014.(nt)

July 29, 2014

Filing 455 STATUS REPORT. Third Status Report of Ian J. Gazes, Receiver Document filed by Ian Gazes. (Attachments: #1 Exhibit A First Interim Distribution, #2 Exhibit B Other Disbursements, #3 Exhibit C Additional Claimants, #4 Exhibit D Securities Sales, #5 Exhibit E Other Public Shares, #6 Exhibit F Acquired Companies, #7 Exhibit G Private Securities, #8 Exhibit H Cash Assets)(Gazes, Ian)

July 24, 2014

Filing 454 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 7/24/2014 re: Request to extend time to 7/29/2014 to submit the Receiver's status report. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Sullivan on 7/24/2014) (cd)

July 24, 2014

Filing 453 RESPONSE in Support of Motion re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Ian Gazes. (Gazes, Ian)

July 24, 2014

Filing 452 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 7/24/14 re: Extention of Deadline to Submit Status Report to July 29, 2014. Document filed by Ian Gazes.(Gazes, Ian)

July 18, 2014

Filing 451 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT (EXHIBIT) - RESPONSE in Support of Motion re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Exhibit A to Motion. Document filed by Ian Gazes. (Gazes, Ian) Modified on 7/21/2014 (db).

July 16, 2014

Filing 450 MEMORANDUM OF LAW in Support re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. . Document filed by Securities and Exchange Commission. (Jacobson, Neal)

July 14, 2014

Filing 449 DECLARATION of vivian Shevitz in Opposition re: #448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. (Shevitz, Vivian)

July 11, 2014

Filing 448 MOTION for Compensation /First Interim Application of CBIZ Accounting Tax & Advisory of New York LLC and CBIZ Accounting Tax & Advisory of San Diego LLC for Compensation and Reimbursement of Expenses as Financial Advisors to the Receiver. Document filed by Ian Gazes.(Gazes, Ian)

July 7, 2014

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files (ONLY) for #447 Notice of Appeal, filed by Techno Raquia, S.A., Amerindo Investment Advisors, Inc. (Panama), Amerindo Advisors UK Limited, Gary Alan Tanaka, Amerindo Technology Growth Fund, Inc., Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Technology Growth Fund II, Inc., Alberto William Vilar, Amerindo Management Inc. were transmitted to the U.S. Court of Appeals. (tp)

July 7, 2014

Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #447 Notice of Appeal. (tp)

July 4, 2014

Filing 447 NOTICE OF APPEAL from #358 Order, Set Motion and R&R Deadlines/Hearings,,,, #443 Endorsed Letter,, #435 Default Judgment,, #432 Order on Motion for Judgment, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,, #434 Judgment, #322 Memo Endorsement, #309 Order,, #230 Order, #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, #433 Judgment, #323 Endorsed Letter, #311 Order on Motion for Conference,,, #338 Order, #425 Order,, #365 Endorsed Letter,, #362 Memo Endorsement, #291 Order,, #367 Order, Set Deadlines/Hearings, #406 Order, #321 Order, Set Deadlines,, #348 Order on Motion for Reconsideration, Order on Motion to Stay,,,,,,,,,,,,, #293 Order,, #267 Order,,,, #298 Endorsed Letter, #418 Order,, #335 Order on Motion for Miscellaneous Relief, #312 Order on Motion for Miscellaneous Relief, #290 Order Adopting Report and Recommendations,,, #382 Order to Show Cause,,, #297 Memo Endorsement, #345 Memo Endorsement, #232 Order,,. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar. Filing fee $ 505.00, receipt number 0208-9856067. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Shevitz, Vivian)

July 4, 2014

Filing 446 NOTICE OF APPEARANCE OF PRO BONO COUNSEL by Vivian Shevitz on behalf of Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Techno Raquia, S.A. (Shevitz, Vivian)

June 11, 2014

Filing 445 ORDER: Now before the Court is the motion of Lisa Mayer and Debra Mayer (the "Mayers") seeking certification that an interlocutory appeal of the Court's May 6, 2014 Order (Doc. No. 432) is proper pursuant to 28 U.S.C. 1292(b). (Doc. No. 440.) For the reasons set forth within, the motion is denied. SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/10/2014) (ajs)

June 11, 2014

Filing 444 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated June 11, 2014 re: Certification for Interlocutory Appeal. Document filed by Securities and Exchange Commission.(Salzberg, Mark)

June 10, 2014

Filing 443 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 6/9/2014 re: The Receiver requests permission to supplement the Mayers' interim distribution by remitting an additional payment of $1,163,911.95 representing the difference between the interim distribution set forth in the Receiver's Affidavit, which has been approved by your honor, and the interim distribution utilizing the Mayers' Adjusted Claim Amount as defined in the attached Letter. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Sullivan on 6/9/2014) (cd)

June 9, 2014

Filing 442 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 6/9/14 re: Distribution. Document filed by Ian Gazes.(Gazes, Ian)

June 9, 2014

Filing 440 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated June 9, 2014 re: Certification for Interlocutory Appeal. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick)

May 29, 2014

Filing 439 ORDER: The Court is in receipt of the attached email from Jacqueline A. Gaztambide requesting that the Court include her claims in the initial distribution. As the Order setting the amounts for the initial distribution was issued two weeks ago (Doc. No. 432), including Ms. Gaztambide's claim in that distribution is not possible. Nevertheless, Ms. Gaztambide may of course seek to have her claim recognized in future distributions, which are expected. Accordingly, IT IS HEREBY ORDERED THAT the request is DENIED. (Signed by Judge Richard J. Sullivan on 5/28/2014) (cd)

May 27, 2014

Filing 438 NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFF'S SEVENTH CLAIM FOR RELIEF: Plaintiff, Securities and Exchange Commission, pursuant to Fed. R. Civ. P. 41 (a)(1)(A), hereby dismisses its seventh claim for relief alleged in its May 25, 2012 Second Amended Complaint in this action against defendants Alberto W. Vilar and Gary Alan Tanaka, alleging that each of them aided and abetted violations of Section 206(4) of the Investment Advisers Act of 1940, 15 U.S.C. 80b-6(4), and Rule 206(4)-2(a) thereunder, 17 C.F.R. 275.206(4)(-2(a). SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/23/2014) (ama)

May 27, 2014

Filing 437 ORDER: IT IS HEREBY ORDERED THAT the Receiver shall submit a status report to the Court no later than July 25, 2014 informing the Court of his progress in valuing the Entity Defendants' assets and proposing a timeline for future distributions. SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/23/2014) (ama)

May 22, 2014

***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Neal Jacobson Document #436 Notice of Voluntary Dismissal, was referred to Judge Richard J. Sullivan for approval. (jno)

May 21, 2014

Filing 436 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, against the defendant(s) Gary Alan Tanaka, Alberto William Vilar. Document filed by Securities and Exchange Commission. (Jacobson, Neal) Modified on 5/22/2014 (jno).

May 16, 2014

Filing 435 FINAL DEFAULT JUDGMENT AGAINST ALL ENTITY DEFENDANTS in favor of Securities and Exchange Commission against Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc.("Amerindo US"), Amerindo Investment Advisors, Inc. ("Amerindo Panama") for a total of $36,570,451.87, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)

May 16, 2014

Filing 434 FINAL JUDGMENT AGAINST GARY ALAN TANAKA in favor of Securities and Exchange Commission against Gary Alan Tanaka in the total amount of $13,118,693.96, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)

May 16, 2014

Filing 433 FINAL JUDGMENT AGAINST ALBERTO W. VILAR in favor of Securities and Exchange Commission against Alberto William Vilar in the total amount of $18,572,902.02, and as further set forth in this document. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Richard J. Sullivan on 5/15/2014) (Attachments: #1 Supplement)(cd)

May 6, 2014

Filing 432 MEMORANDUM AND ORDER granting in part and denying in part #332 Motion for Judgment; granting in part and denying in part #370 Motion. For the foregoing reasons, IT IS HEREBY ORDERED THAT the SEC's motions for penalties and remedies against Defendants are GRANTED in part and DENIED in part. IT IS FURTHER ORDERED THAT the Entity Defendants shall be jointly and severally liable for $36,570,451.87 in disgorgement. The Individual Defendants shall be jointly and severally liable with the Entity Defendants for $13,118,693.96. Vilar, but not Tanaka, shall also be jointly and severally liable with the Entity Defendants for an additional $5,454,208.06. IT IS FURTHER ORDERED THAT the Individual Defendants shall each be liable for $10,000,000 in civil fines pursuant to 15 U.S.C. 77t(d)(2), 78u(d)(3)(B), and 80b- 9(e)(2). The Entity Defendants shall each be liable for $17,969,803.27. IT IS FURTHER ORDERED THAT the Entity Defendants are enjoined from future violations of the securities laws. IT IS FURTHER ORDERED THAT, no later than May 16, 2014, the SEC shall submit a proposed judgment reflecting Defendants liability and the Courts injunction. IT IS FURTHER ORDERED THAT, no later than May 16, 2014, the SEC shall submit a letter informing the Court of how and whether it intends to move forward on its remaining claims in this action. IT IS FURTHER ORDERED THAT the Receiver's amended motion for an initial distribution is GRANTED. The Receiver shall distribute funds according to the schedule set forth in the Revised Interim Distribution Schedule. Before distributing any funds to a claimant, however, the Receiver must obtain an affidavit from that claimant swearing to the accuracy of the claim and statements made in connection with the claim. The Clerk of the Court is respectfully directed to terminate the motions pending at docket numbers 332 and 370. (Signed by Judge Richard J. Sullivan on 5/6/2014) (cd)

May 1, 2014

Filing 431 LETTER addressed to Judge Richard J. Sullivan from Alfred Heitkonig dated April 29, 2014 re: Account Valuation. Document filed by Alfred C. Heitkoenig. (Attachments: #1 Letter to Ian Gazes)(Colbath, Paula)

April 28, 2014

Filing 430 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 4/25/14 re: Claim of Lisa and Debra Mayer. Document filed by Ian Gazes.(Gazes, Ian)

April 24, 2014

Filing 429 ORDER: The Clerk of the Court is respectfully directed to docket the attached letters. (Signed by Judge Richard J. Sullivan on 4/24/2014) (cd)

April 24, 2014

Filing 428 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 04/24/2014 re: Response to Docket No. 424. Document filed by J.P. Morgan Securities LLC.(Weiss, Andrea)

April 22, 2014

Filing 427 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated April 22, 2014 re: Recent Submissions Concerning Interim Distribution. Document filed by Debra Mayer, Lisa Mayer.(Begos, Patrick)

April 21, 2014

Filing 426 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-21-14 re: Court order DOC 425 concerning investors who had not filed claims previously. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

April 21, 2014

Filing 425 ORDER re: #291 Order. IT IS HEREBY ORDERED THAT these purported investors shall, no later than May 5, 2014, contact the Receiver and file a claim according to the previously established claims procedure. (Doc. No. 291.) IT IS FURTHER ORDERED THAT these purported investors shall submit a letter to the Court no later than April 23, 2014 explaining why they did not file a claim previously and how, when, and by whom they were informed that Amerindo assets might soon be distributed. (Signed by Judge Richard J. Sullivan on 4/21/2014) (ajs)

April 21, 2014

Filing 424 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-21-14 re: Receiver's suppelmental filing (DOC 422) and REceiver's response to David Mainzer about pension account. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

April 18, 2014

Filing 423 ORDER FOR ADMISSION PRO HAC VICE granting #399 Motion to Amend/Correct. IT IS HEREBY ORilERED that Applicant Edward T. Swanson is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court arc subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Richard J. Sullivan on 4/18/2014) (cd) Modified on 4/25/2014 (cd).

April 18, 2014

Filing 422 AFFIDAVIT of Ian J. Gazes, Receiver in Support re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Gazes, Ian)

April 11, 2014

Filing 421 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-11-14 re: Mayer judgment - Hearing on Motion to Vacate in State court, 4-1-14, and transcript requested by Justice Korneich. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Transcript 4-1-14 Mayer v Vilar motion to vacate State court judgment - hearing)(Shevitz, Vivian)

April 5, 2014

Filing 420 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4-5-14 re: Replying To Edward Swanson (DOC 419) concerning Lily Cates' $250,000 claim. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

April 4, 2014

Filing 419 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 04-04-2005 re: Anna Gladkoff Claim. Document filed by Lily Cates. (Attachments: #1 Exhibit Gladkoff Closing Statement, #2 Exhibit Wire Transfer Confirmation, #3 Exhibit Gladkoff Check to Amerindo, #4 Exhibit Amerindo Note, #5 Exhibit Gladkoff Will, #6 Exhibit Power of Attorney, #7 Exhibit Swanson Notes of 5-10-05 Meeting)(Swanson, Edward)

April 3, 2014

Filing 418 ORDER: For the reasons set forth on the record at the April 2, 2014 conference, IT IS HEREBY ORDERED THAT Plaintiffs motion for default judgment against Defendants Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Growth Fund, Inc., Amerindo Technology Growth Fund II, Inc., and Techno Raquia, S.A. is GRANTED as to liability only. The Court will address damages and injunctive relief in a subsequent order. (Signed by Judge Richard J. Sullivan on 4/2/2014) (cd)

April 3, 2014

Filing 417 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/14/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)

April 3, 2014

Filing 416 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/14/2014 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/28/2014. Redacted Transcript Deadline set for 5/8/2014. Release of Transcript Restriction set for 7/7/2014.(Rodriguez, Somari)

April 2, 2014

Minute Entry for proceedings held before Judge Richard J. Sullivan: Default Hearing was held on 4/2/2014. Plaintiff's counsel, Neal Jacobson and Mark Salzberg, were present. Counsel Vivian Shevitz was present for the defendants, Vilar and Tanaka. Court reporter was present. The Court entered a default judgment with respect to liability against all of the corporate defendants. The Court reserved judgment on the remedies. (sc)

March 31, 2014

Filing 415 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 3-31-2014 re: Lily Cates proof of claim. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

March 28, 2014

Filing 414 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 3/27/2014 re: Request for default judgment to be entered without a hearing. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Court will hold the previously scheduled default judgment hearing before entering default judgment, as is the Court's usual practice. (Signed by Judge Richard J. Sullivan on 3/28/2014) (cd)

March 26, 2014

Filing 413 NOTICE OF CHANGE OF ADDRESS by Vivian Shevitz on behalf of Gary Alan Tanaka, Alberto William Vilar. New Address: Vivian Shevitz, 46 Truesdale Lake Drive, South Salem, NY, USA 10590, 914 763 2122. (Shevitz, Vivian)

March 26, 2014

Filing 412 Objection re: #363 Declaration in Support of Motion,,,,,,,, #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Alfred C. Heitkoenig, Maakie Heitkoenig, Elna Charlotte Olga. (Colbath, Paula)

March 26, 2014

Filing 411 NOTICE OF APPEARANCE by Paula Kae Colbath on behalf of Alfred C. Heitkoenig, Elna Charlotte Olga, Maakie Heitkoenig. (Colbath, Paula)

March 26, 2014

Filing 410 LETTER addressed to Judge Richard J. Sullivan from Paul Marcus dated 03/26/2014 re: Pending motion by receiver regarding interim distribution. Document filed by Paul Marcus.(Friedman, Julian)

March 24, 2014

Filing 409 REPLY MEMORANDUM OF LAW re: #382 Order to Show Cause,,,., REPLY MEMORANDUM OF LAW in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

March 20, 2014

Filing 408 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated March 20 2014 re: request to file brief supplement as to March 14, 2014 hearing issues. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

March 17, 2014

Filing 407 DECLARATION of Vivian Shevitz in Opposition re: #382 Order to Show Cause,,,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

March 14, 2014

Minute Entry for proceedings held before Judge Richard J. Sullivan: Default Hearing was held on 3/14/2014. Defense counsel, Vivian Shevitz,was present. Plaintiff's counsel, Neal Jacobson and Mark Salzberg, were present. Receiver Ian Gazes was present. Defendants, Vilar and Tanaka, were present in custody. United States Marshals were present. The court reporter was present. The Court heard objections and arguments from the claimants. (sc)

March 13, 2014

Filing 406 ORDER: The Court is in receipt of the attached correspondences regarding the Receiver's Initial Distribution Motions. The Court reminds all parties that communication with the Court should generally be docketed and made part of the public record. (Signed by Judge Richard J. Sullivan on 3/12/2014) (cd)

March 12, 2014

Filing 405 ORDER FOR ADMISSION PRO HAC VICE: Edward T. Swason added for Lily Cates. (Signed by Judge Richard J. Sullivan on 3/11/2014) (cd)

March 12, 2014

Filing 404 LETTER addressed to Judge Richard J. Sullivan from Lance Jurich dated March 12, 2014 Document filed by John W Sweetland.(Licker, Eugene)

March 12, 2014

Filing 403 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 3/09/2014 re: order to show cause and SEC motion for default judgment against entity defendants. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

March 12, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #401 Declaration in Opposition to Motion. ERROR(S): Document linked to filing error. (db)

March 11, 2014

Filing 402 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 03/11/2014 re: Revised Proof of Claim re Anna Gladkoff. Document filed by Lily Cates. (Attachments: #1 Exhibit Revised Proof of Claim re Anna Gladkoff)(Swanson, Edward)

March 11, 2014

Filing 401 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment.. Document filed by Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Investment Advisors Inc.(("Amerindo US")), Amerindo Investment Advisors, Inc., Amerindo Investment Advisors, Inc. (Panama), Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc.. (Shevitz, Vivian) Modified on 3/12/2014 (db).

March 10, 2014

Filing 400 CERTIFICATE OF SERVICE of Receiver's Omnibus Reply to Opposition to the Receiver's Amended Motion on 3/7/14. Document filed by Ian Gazes. (Gazes, Ian)

March 10, 2014

Filing 399 MOTION to Amend/Correct Motion to Appear Pro Hac Vice. Document filed by Lily Cates. (Attachments: #1 Exhibit Good Standing certificate from Clerk of CA Supreme Court, #2 Exhibit CT Good Standing certificate, #3 Text of Proposed Order Text of Proposed Order)(Swanson, Edward)

March 10, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #398 Declaration in Opposition to Motion. ERROR(S): Document linked to filing error. (db)

March 9, 2014

Filing 398 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment., #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian) Modified on 3/10/2014 (db).

March 7, 2014

Filing 397 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 3/7/2014 re: Response to Albert Vilar, Gary Tanaka, and Lisa and Debra Mayer's objections to J.P. Morgan Securities LLC's claim for legal fees and expenses. Document filed by J.P. Morgan Securities LLC. (Attachments: #1 Exhibit Exhibit A)(Weiss, Andrea)

March 7, 2014

Filing 396 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist re: Claim of JP Morgan. Document filed by Ian Gazes. (Gazes, Ian)

March 7, 2014

Filing 395 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Ian Gazes. (Attachments: #1 Exhibit A)(Gazes, Ian)

March 7, 2014

Filing 394 LETTER addressed to Judge Richard J. Sullivan from Edward T. Swanson dated 03/07/2014 re: 05 Civ 5231. Document filed by Lily Cates.(Swanson, Edward)

March 7, 2014

Filing 393 REPLY to Response to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Debra Mayer, Lisa Mayer. (Begos, Patrick)

March 7, 2014

Filing 392 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Edward Thomas Swanson to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9431478. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Lily Cates. (Attachments: #1 Exhibit CT Good Standing Certificate, #2 Exhibit CA Good Standing Certificate, #3 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Swanson, Edward) Modified on 3/7/2014 (wb).

March 7, 2014

Filing 391 MEMORANDUM OF LAW in Support re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

March 7, 2014

Filing 390 REPLY to Response to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Paul Marcus. (Friedman, Julian)

March 7, 2014

>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #392 MOTION for Edward Thomas Swanson to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9431478. Motion and supporting papers to be reviewed by Clerk's Office staff.. Certificate of Good Standing Must be issued from Supreme Court of California with a Clerk of Court Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (wb)

March 6, 2014

Filing 389 ORDER: The Court is in receipt of the attached email, which it is docketing in keeping with the presumption of public access to judicial documents. See Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 124 (2d Cir. 2006). The Court reminds all interested parties that the hearing on the Receiver's motion is scheduled for March 14, 2014, not the 18th. The Court also wishes Ms. Shevitz a speedy and complete recovery from her injury. (Signed by Judge Richard J. Sullivan on 3/6/2014) (cd)

March 6, 2014

Filing 388 LETTER addressed to Judge Richard J. Sullivan from Eugene R. Licker dated 3/6/2014 re: Response to claims of alleged conflicts of interest. Document filed by Heitkonig Parties.(Licker, Eugene)

March 6, 2014

Filing 387 MEMORANDUM OF LAW in Support re: #382 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

March 6, 2014

Filing 386 DECLARATION in Support re: #382 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A-Acknowledgment of Service, #2 Exhibit B-Acknowledgment of Service, #3 Exhibit C-Affidavits of Service, #4 Exhibit D-Galindo Affidavit Part 1, #5 Exhibit D-Galindo Affidavit Part 2, #6 Exhibit D-Galindo Affidavit Part 3, #7 Exhibit E-Form ADV and FSR, #8 Exhibit F-Second Amended Complaint, #9 Exhibit G-Affidavits of Service, #10 Exhibit H-Clerk's Certificate of Default, #11 Exhibit I-Prejudgment Interest Calculation)(Jacobson, Neal)

March 6, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #384 Memorandum of Law in Support of Motion. Use the event type Memorandum in Support (non-motion) found under the event list Other Answers, then link to #382 Order. (db)

March 6, 2014

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Use the event type Declaration in Support (non-motion) found under the event list Other Answers, then link to #382 Order. (db)

March 5, 2014

Filing 385 AFFIDAVIT OF SERVICE. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

March 5, 2014

Filing 384 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MEMORANDUM OF LAW in Support re: #383 MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Jacobson, Neal) Modified on 3/6/2014 (db).

March 5, 2014

Filing 383 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Order to Show Cause Attorney Declaration in Support of Motion for Default Judgment. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A-Acknowledgment of Service, #2 Exhibit B-Acknowledgment of Service, #3 Exhibit C-Affidavits of Service, #4 Exhibit D-Galindo Affidavit Part 1, #5 Exhibit D-Galindo Affidavit Part 2, #6 Exhibit D-Galindo Affidavit Part 3, #7 Exhibit E-Form ADV and FSR, #8 Exhibit F-Second Amended Complaint, #9 Exhibit G-Affidavits of Service, #10 Exhibit H-Clerk's Certificate of Default, #11 Exhibit I-Prejudgment Interest Calculation)(Jacobson, Neal) Modified on 3/6/2014 (db).

March 4, 2014

Filing 382 ORDER TO SHOW CAUSE: Accordingly, IT IS HEREBY ORDERED that the Entity Defendants, through counsel, shall respond in writing to Plaintiffs submission no later than March 21, 2014. IT IS FURTHER ORDERED that Plaintiff and the Entity Defendants, through counsel, shall appear for a hearing on Plaintiffs request for a default judgment on April 2, 2014, at 10:00 a.m. in Courtroom 905 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. IT IS FURTHER ORDERED THAT, no later than March 7, 2014, Plaintiffs shall serve the Entity Defendants with a copy of this Order and the supporting papers, file a certificate of service on ECF indicating that this service was effectuated, and docket the supporting papers on ECF. The Entity Defendants shall thereafter obtain counsel, who shall file a notice of appearance through ECF. (Signed by Judge Richard J. Sullivan on 2/28/2014) (cd)

March 4, 2014

Set/Reset Hearings: Hearing set for 4/2/2014 at 10:00 AM in Courtroom 905, 40 Centre Street, New York, NY 10007 before Judge Richard J. Sullivan. (cd)

February 28, 2014

Filing 381 MEMORANDUM OF LAW in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist -- SPECIFICALLY, In Opposition to RECEIVER'S CLAIM NUMBERS, METHODOLOGY and AUTHORITY. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

February 28, 2014

Filing 380 DECLARATION of Vivian Shevitz in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit Cates Pending Arbitration Against Bear Stearns)(Shevitz, Vivian)

February 28, 2014

Filing 379 MEMORANDUM OF LAW in Opposition re: #336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses., #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor., #330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist SPECIFICALLY: OBJECTING TO PAYMENTS TO JP MORGAN. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

February 28, 2014

Filing 378 RESPONSE in Opposition to Motion re: #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Robin Sayko. (Hall, Thomas)

February 27, 2014

Filing 377 RESPONSE to Motion re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Paul Marcus. (Friedman, Julian)

February 27, 2014

Filing 376 MEMORANDUM OF LAW in Opposition re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution., #370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim DistAMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Dist. Document filed by Lisa Mayer, Debra Mayer. (Begos, Patrick)

February 26, 2014

Filing 375 CERTIFICATE OF SERVICE of Receiver's Amended Motion for an Order (a) Fixing Claims and (b) Authorizing Interim Distribution on 2/24/14 and 2/25/14. Document filed by Ian Gazes. (Gazes, Ian)

February 26, 2014

Filing 374 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/26/14 re: Custodial Fees for Receiver Accounts.. Document filed by Ian Gazes.(Gazes, Ian)

February 25, 2014

Filing 373 MEMO ENDORSEMENT on #371 Letter filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: In light of the fact that the conference on this issue is scheduled for March 14, 2014, IT IS HEREBY ORDERED THAT the request is respectfully DENIED. (Signed by Judge Richard J. Sullivan on 2/25/2014) (cd)

February 25, 2014

Filing 372 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/25/14 re: Letter of Vivian Shevitz dated 2/24/14. Document filed by Ian Gazes.(Gazes, Ian)

February 24, 2014

Filing 371 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-24-14 re: extension of time to respond to Mr. Gazes' AMENDED motion. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

February 24, 2014

Filing 370 AMENDED MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. Return Date set for 3/14/2014 at 03:30 PM. (Attachments: #1 Exhibit A - Claims Summary, #2 Exhibit B - Proposed Distribution, #3 Exhibit C)(Gazes, Ian)

February 19, 2014

Filing 369 ORDER: In light of the above, the Court concludes that granting the Mayers a preliminary distribution of $50,000 is appropriate and just. Accordingly, IT IS HEREBY ORDERED THAT the Receiver shall immediately distribute $50,000 to the Mayers. This $50,000 shall be deemed an advance on any interim distribution that the Court subsequently authorizes. (Signed by Judge Richard J. Sullivan on 2/19/2014) (cd)

February 19, 2014

Filing 368 MEMO ENDORSEMENT on #366 Letter filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: Although the Court is sympathetic, the request is respectfully DENIED. Any adjournment would unfairly burden investors who have already waited nine years to recover their assets. (Signed by Judge Richard J. Sullivan on 2/19/2014) (cd)

February 19, 2014

Filing 367 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the SEC shall move for a default judgment against these Defendants no later than February 28, 2014. ( Motion due by 2/28/2014.) (Signed by Judge Richard J. Sullivan on 2/18/2014) (cd)

February 19, 2014

Filing 366 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-19-14 re: reconsideration of denial of more time, and request for 2-week extension. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

February 18, 2014

Filing 365 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2/18/2014 re: Request for a one month extension of time to respond to Gazes' motions. ENDORSEMENT: IT IS HEREBY ORDERED THAT the request for an adjournment is DENIED. IT IS FURTHER ORDERED THAT the request that the Receiver provide hard copies of his ECF filings is DENIED. IT IS FURTHER ORDERED THAT the request to have Defendants present at the March 14, 2014 hearing is GRANTED. (Signed by Judge Richard J. Sullivan on 2/18/2014) (cd)

February 18, 2014

Filing 364 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-18-14 re: extension of time to respond to Mr. Gazes' motions. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

February 17, 2014

Filing 363 DECLARATION of Ian J. Gazes, Receiver in Support re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Claim 1 Salvitti, #2 Exhibit B Claim 2 Preetzman Aggerholm, #3 Exhibit C Claim 3 QGCI Nominees, #4 Exhibit D Claim 4(1) Lisa & Debra Mayer, #5 Exhibit D Claim 4(2) Lisa & Debra Mayer, #6 Exhibit D Claim 4(3) Lisa & Debra Mayer, #7 Exhibit D Claim 4(4) Lisa & Debra Mayer, #8 Exhibit D Claim 4(5) Lisa & Debra Mayer, #9 Exhibit D Claim 4(6) Lisa & Debra Mayer, #10 Exhibit D Claim 4(7) Lisa & Debra Mayer, #11 Exhibit D Claim 4(8) Lisa & Debra Mayer, #12 Exhibit E Claim 6(1) E. Knope, #13 Exhibit E Claim 6(2) E. Knope, #14 Exhibit E Claim 6(3) E. Knope, #15 Exhibit F Claim 7 M Walsh, #16 Exhibit G Claim 8 Rametra, #17 Exhibit H Claim 9 Sheridan Sec., #18 Exhibit I Claim 10 J Chares, #19 Exhibit J Claim 11 A Sanchez, #20 Exhibit K Claim 12 R Sayko, #21 Exhibit L Claim 13 D & M Walsh, #22 Exhibit M Claim 14 F Harris, #23 Exhibit N Claim 15 C Kaye, #24 Exhibit O Claim 16 Heitkoenig, #25 Exhibit P Claim 17 The Winsford Corp, #26 Exhibit Q Claim 18 P Sweetland, #27 Exhibit R Claim 19 J Sweetland, #28 Exhibit S Claim 20 T Sweetland, #29 Exhibit T Claim 21 J Sweetland, #30 Exhibit U Claim 22 A Gibbs, #31 Exhibit V Claim 23 P Kabara, #32 Exhibit W Claim 24 National Investors Group, #33 Exhibit X Claim 25 A Jordan, #34 Exhibit Y Claim 29-a P Marcus, #35 Exhibit Z Claim 29-b D Marcus Trust, #36 Exhibit AA Claim 29-c S Marcus Trust, #37 Exhibit BB Claim 29-d C Marcus Trust, #38 Exhibit CC Claim 29-e E Marcus Trust, #39 Exhibit DD Claim 30 Imagineers Profit Sharing Plan, #40 Exhibit EE Claim 32 L Cates, #41 Exhibit FF Claim 33 R Cox, #42 Exhibit GG Graciela Lecube Chavez)(Gazes, Ian)

February 13, 2014

Filing 362 MEMO ENDORSEMENT on re: #359 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Court will address this claim at the hearing scheduled for March 14, 2014. Any objections to this claim shall be included along with objections to the Receiver's motion and shall be submitted no later than February 28, 2014. So ordered. (Signed by Judge Richard J. Sullivan on 2/13/2014) (rjm)

February 13, 2014

Filing 361 REPLY MEMORANDUM OF LAW in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

February 13, 2014

Filing 360 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 2-13-14 re: Obecting to Patrick Begos unofficial intervention and to "hardship request" or any preference to Amerindo clients. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

February 13, 2014

Filing 359 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/12/2014 re: Claim of JP Morgan for Legal Fees and Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit Claim pp 1-25, #2 Exhibit Claim pp 26-50, #3 Exhibit Claim pp 51-75, #4 Exhibit Claim pp 76-100, #5 Exhibit Claim pp 101-125, #6 Exhibit Claim pp 126-150, #7 Exhibit Claim pp 151-175, #8 Exhibit Claim pp 176-199, #9 Exhibit Claim pp 200-225, #10 Exhibit Claim pp 226-275, #11 Exhibit Claim pp 276-342)(Gazes, Ian)

February 11, 2014

Filing 358 ORDER: Accordingly, IT IS HEREBY ORDERED THAT all objections to the Receiver's motion shall be submitted no later than February 28, 2014. The Receiver shall respond to these objections no later than March 7, 2014. IT IS FURTHER ORDERED that the Court shall hold a hearing on this motion on March 14,2014 at 3:30 p.m. SO ORDERED. Set Deadlines/Hearing as to ( Responses due by 2/28/2014, Replies due by 3/7/2014., Motion Hearing set for 3/14/2014 at 03:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 2/10/2014) (ama)

February 10, 2014

Filing 357 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 2/10/14 re: Mayers' Request for Emergency Payment. Document filed by Ian Gazes.(Gazes, Ian)

February 10, 2014

Filing 356 NOTICE of Hearing on Receiver's Motion for an Order (a) Fixing Investor Claims and ( b) Authorizing Interim Distribution re: #355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution.. Document filed by Ian Gazes. (Gazes, Ian)

February 8, 2014

Filing 355 MOTION for Order of the Court (a) Fixing Investor Claims and (b) Authorizing the Receiver to Make an Interim Distribution. Document filed by Ian Gazes. (Attachments: #1 Exhibit A - Claims Summary, #2 Exhibit B - Proposed Distribution)(Gazes, Ian)

February 7, 2014

Filing 354 FILING ERROR - DUPLICATE DOCKET ENTRY - DECLARATION of Vivian Shevitz in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit burger/vilar motion to vacate Mayer state court judgment, #2 Exhibit Tanaka motion to vacate Mayer judgment part 1, #3 Exhibit Tanaka motion to vacate mayer State court judgment part 2, #4 Exhibit receiver proof of claim form, #5 Exhibit SEC Byers brief second Circuit excerpt, #6 Exhibit administrative penalty -Vilar and Tanaka)(Shevitz, Vivian) Modified on 2/10/2014 (db).

February 7, 2014

Filing 353 DECLARATION of Vivian Shevitz in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Exhibit 1992 letter Amerindo to SEC, #2 Exhibit 1993 letters Amerindo/SEC, #3 Exhibit 2003-05 Audit Amerindo)(Shevitz, Vivian)

February 7, 2014

Filing 352 MEMORANDUM OF LAW in Opposition re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

February 4, 2014

Filing 351 MEMO ENDORSEMENT on re: #349 Letter filed by Paul Marcus. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 2/4/2014) (tro)

February 4, 2014

Filing 350 LETTER addressed to Judge Richard J. Sullivan from Paula K. Colbath dated February 4, 2014 Document filed by Heitkonig Parties.(Colbath, Paula)

February 4, 2014

Filing 349 LETTER addressed to Judge Richard J. Sullivan from JULIAN W. FRIEDMAN dated 02/4/2014 re: Extension of date to file objections. Document filed by Paul Marcus.(Friedman, Julian)

February 3, 2014

Filing 441 INTERNET CITATION NOTE: Material from decision with Internet citation re: #348 Order on Motion for Reconsideration, Order on Motion to Stay. (fk)

February 3, 2014

Filing 348 MEMORANDUM AND ORDER denying #275 Motion for Reconsideration ; denying #275 Motion to Stay ; granting #299 Motion for Reconsideration. For the foregoing reasons, the Court has reconsidered its denial of summary judgment with regard to the Mayer claims. Accordingly, IT IS HEREBY ORDERED THAT the SEC's motion for reconsideration is granted. The Court grants the SEC summary judgment on its claims that the Individual Defendants violated, with respect to the Mayer Family, Section 17(a) of the Securities Act Section 10(b) of the Exchange Act, and Rule 10b-5 of the Exchange Act Rules and Regulations. IT IS FURTHER ORDERED THAT the Individual Defendants' motion for reconsideration and a stay is denied. No other holdings of the March 11 Order are modified. The clerk of the court is respectfully directed to terminate the motions pending at docket numbers 275 and 299. The SEC's motion for disgorgement and civil penalties is scheduled to be fully briefed on February 14, 2014. (Doc. No. 342.) Once all briefing has been submitted, the Court will turn to that issue. SO ORDERED.(Signed by Judge Richard J. Sullivan on 1/31/2014) (ama)

February 3, 2014

Transmission to Judgments and Orders Clerk. Transmitted re: #348 Order on Motion for Reconsideration, Order on Motion to Stay, to the Judgments and Orders Clerk. (ama)

January 29, 2014

Filing 347 ORDER: The Court has already ruled on the Receiver's request that his compensation be paid from the Distribution Fund, as opposed to the $50,000 already set aside by the Court for his payment. (Doc. Nos. 344, 345). In any event, Defendants' letter does not alter the Court's decision. The letter objects to paying the Receiver beyond the $50,000, and the Court's January 27, 2014 Order does not authorize any payment beyond that $50,000. Instead, the Court ordered payment from the $50,000 and stated that "the Receiver may apply to have additional funds set aside for future payments." (Id.) If the Receiver makes such an application, Defendants' objections will then be considered. As for Defendants' objections to the Receiver's other request involving payment of custodial fees they will be considered by the Court when it makes its decision on that request. SO ORDERED. (Signed by Judge Richard J. Sullivan on 1/28/2014) (ama)

January 29, 2014

CASHIERS OFFICE REGISTRY DISBURSEMENT as per #338 Order, dated 12/30/2013, from Judge Richard J. Sullivan, on 01/10/2014 disbursed to pay Ian Gazes $49,169.16 Check No. 00993495 dated 01/10/2014 Fedex# 8996 1385 9431 (jd)

January 28, 2014

Filing 346 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated January 28 2014 re: Objection TO REceiver request to use substitute assets. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

January 28, 2014

Filing 345 MEMO ENDORSEMENT on #344 Letter filed by Ian Gazes. ENDORSEMENT: IT IS HEREBY ORDERED THAT the Receiver's compensation and expenses shall be paid from the Restrained Fund. The Court notes, however, that the Restrained Fund is not a cap on the Receiver's compensation or exepsnses. Once that fund is exhausted, the Receiver may apply to have additional funds set aside for future payments. (Signed by Judge Richard J. Sullivan on 1/27/2014) (cd)

January 27, 2014

Filing 344 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 1/26/14 re: Compensation Fund. Document filed by Ian Gazes.(Gazes, Ian)

January 27, 2014

Filing 343 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes. Receiver dated 1/26/14 re: Custodial Fees for Receiver Accounts. Document filed by Ian Gazes.(Gazes, Ian)

January 24, 2014

Filing 342 MEMO ENDORSEMENT on re: #341 Letter filed by Securities and Exchange Commission. ENDORSEMENT: IT IS HEREBY ORDERED THAT Defendants' shall submit their response no later than February 7, 2014. The SEC shall submit its reply no later than February 14, 2014. (Signed by Judge Richard J. Sullivan on 1/24/2014) (mro)

January 24, 2014

Filing 341 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson, Esq. dated January 24, 2014 re: Extension of Time. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

January 21, 2014

Filing 340 MEMO ENDORSEMENT on re: #339 Letter, filed by Alberto William Vilar, Gary Alan Tanaka. ENDORSEMENT: So ordered. (Signed by Judge Richard J. Sullivan on 1/21/2014) (mro)

January 21, 2014

Filing 339 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated January 21, 2014 re: consensual extension of time to respond to SEC motion for disgorgement and penalties until January 31, 2014. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

December 31, 2013

Filing 338 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the Receiver is awarded $48,672.40 in compensation and $496.76 in expenses, to be paid from the $50,000 that the Court has already authorized for receiver compensation (Doc. No. 272). The remaining 20% of compensation,equal to $12,168.10, shall be held back and paid once the Receiver's work is satisfactorily completed. (Signed by Judge Richard J. Sullivan on 12/30/2013) (js)

December 13, 2013

Filing 337 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated December 13, 2013 re: Objection to Receiver Compensation Application. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

December 2, 2013

Filing 336 MOTION for Compensation /Receiver's First Interim Application for Compensation and Reimbursement of Expenses. Document filed by Ian Gazes. (Attachments: #1 Exhibit A SFAR, #2 Exhibit B Certification, #3 Exhibit C Time Records)(Gazes, Ian)

November 22, 2013

Filing 335 ORDER AUTHORIZING THE RECEIVER'S RETENTION OF SOLOMON HARRIS AS CAYMAN ISLAND COUNSEL AND PAYMENT OF THE FILING FEE granting #330 Motion. (Signed by Judge Richard J. Sullivan on 11/21/2013) (rsh)

November 22, 2013

Filing 334 MEMORANDUM OF LAW in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

November 22, 2013

Filing 333 DECLARATION of Neal Jacobson in Support re: #332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka.. Document filed by Securities and Exchange Commission. (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)(Jacobson, Neal)

November 22, 2013

Filing 332 MOTION for Judgment Setting Disgorgement and Civil Money Penalties Against Defendants Alberto W. Vilar and Gary Alan Tanaka. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

November 20, 2013

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Ian J. Gazes: Document No. #331 Letter is not filed via ECF. ONLY certain letter motions are allowed to be filed on ECF. A Motion to Amend/Correct is filed formally. (ldi)

November 20, 2013

Filing 331 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Amend/Correct #330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel. Amended Exhibit "C". Document filed by Ian Gazes.(Gazes, Ian) Modified on 11/21/2013 (ldi).

November 19, 2013

Filing 330 MOTION for Order Authorizing Receiver to Retain Solomon Harris as Cayman Island Counsel. Document filed by Ian Gazes. (Attachments: #1 Exhibit Proposed Order, #2 Exhibit Order of Grand Court, Cayman Islands, #3 Exhibit Engagement Letter)(Gazes, Ian)

November 14, 2013

Filing 329 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 11/14/13 re: Updated Analysis of Assets and Liabilities. Document filed by Ian Gazes.(Gazes, Ian)

November 8, 2013

Filing 328 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated November 8, 2013 re: Response to Request for Pre-Motion Conference. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

November 7, 2013

Filing 327 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/25/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)

November 7, 2013

Filing 326 TRANSCRIPT of Proceedings re: CONFERENCE held on 10/25/2013 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Sabrina D'Emidio, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/5/2013. Redacted Transcript Deadline set for 12/12/2013. Release of Transcript Restriction set for 2/8/2014.(Rodriguez, Somari)

November 7, 2013

Filing 325 REPLY MEMORANDUM OF LAW in Support re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

November 4, 2013

Filing 324 DECLARATION of Vivian Shevitz in Opposition re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #252 MOTION to Dismiss second amended complaint and entire case.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

October 28, 2013

Filing 323 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 10/18/2013 re: It is requested respectfully requested that your Honor so-order this letter and the Receivers Second Status Report. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/25/2013) (ama)

October 28, 2013

Filing 322 MEMO ENDORSEMENT on RECEIVER'S SECOND STATUS REPORT re: #314 Status Report filed by Ian Gazes. ENDORSEMENT: The Receiver requests that the Court so-order this Second Status Report and adopt the recommendations set forth in paragraphs "16" and"17" above. SO ORDERED. (Signed by Judge Richard J. Sullivan on 10/25/2013) (ama)

October 25, 2013

Minute Entry for proceedings held before Judge Richard J. Sullivan: Pre-Motion Conference held on 10/25/2013. Counsel for Plaintiff SEC was present. Counsel for Defendants Vilar and Tanaka were present. receiver Gazes was present. The Court deemed the defendants' motion for a stay and for CJA funds made and denied. The Court ordered the SEC to make its motions for summary judgment on disgorgement and penalties no later than 12/6/13. Defendants shall respond no later than 1/24/14. The SEC shall submit any reply by 2/3/14. The Court granted the receiver's request to adjourn the claims objection deadline to 2/8/14 and adjourn the objection hearing date to 3/8/14. (sc)

October 25, 2013

Filing 321 ORDER re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss. filed by Securities and Exchange Commission, ( Responses due by 11/4/2013) (Signed by Judge Richard J. Sullivan on 10/23/2013) (djc)

October 22, 2013

Filing 320 LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 10/18/2013 re: By reason thereof, the Receiver requests that your Honor extend the claims objection date to after February 8, 2014. (ama)

October 17, 2013

Filing 319 MANDATE of USCA (Certified Copy). USCA Case Number 13-2527; 13-2550. Petitioners, through counsel, move to consolidate these two matters. Upon due consideration, it is hereby ORDERED that the motion is GRANTED, and the matters are consolidated for the purposes of this order. Petitioners additionally petition for writs of mandamus, and move for leave to proceed in forma pauperis, in both cases, and for a stay, pending resolution of the mandamus proceeding, of the District Court's July 8, 2013 order, denying the petitioners motion for a stay. This request for a stay is before this panel by way of a motion for reconsideration of an order of an applications judge of this Court denying an emergency motion for a stay. Upon due consideration, it is hereby ORDERED that the motions for leave to proceed in forma pauperis are GRANTED for the purpose of filing the mandamus petitions. It is further ORDERED that the petitions for writs of mandamus are DENIED. We deny the petitions in part because of the petitioners failure to make out the exceptional circumstances necessary to justify issuing the extraordinary writ of mandamus, and in part because we have no doubt that the District Court will recognize the importance of a prompt decision of these motions. See In re von Bulow, 828 F.2d 94, 96-97 (2d Cir. 1987). It is further ORDERED that the motions in Case No. 13-2550 for a stay, and for reconsideration of the prior denial of a stay by the applications judge, are GRANTED in part, pending the disposition of the criminal appeal, Case Nos. 10-521-cr(L), 10-580-cv(CON), 10-4639-cr(CON). The motions for stay and for reconsideration are granted only to the extent that they request a stay of the distribution of the substitute assets. In all respects other than the actual distribution of the substitute assets the motions are DENIED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Mandate issued on: 10/17/2013. (nd)

October 10, 2013

Filing 318 ORDER: The Court is in receipt of a letter from Defendants Vilar and Tanaka (Doc. No. 313) and a letter from Plaintiff (Doc. No. 316). Defendants Vilar and Tanka request a conference on several issues, and Plaintiff does not object. Accordingly, IT IS HEREBY ORDERED THAT the parties shall appear for a conference on Friday, October 25, 2013 at 3:00 p.m. to address the issues raised in Defendants Vilar and Tanaka's letter. ( Status Conference set for 10/25/2013 at 03:00 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 10/9/2013) (mro)

October 9, 2013

Filing 317 LETTER RESPONSE to Motion addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 10/9/13 re: #310 LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,, Statement of CBIZ. Document filed by Ian Gazes. (Gazes, Ian)

October 9, 2013

Filing 316 LETTER RESPONSE to Motion addressed to Judge Richard J. Sullivan from Neal Jacobson dated October 9, 2013 re: #313 LETTER MOTION for Conference addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 3, 2013.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

October 4, 2013

Filing 315 NOTICE of Claims Register. Document filed by Ian Gazes. (Gazes, Ian)

October 4, 2013

Filing 314 STATUS REPORT. Receiver's Second Status Report Document filed by Ian Gazes. (Attachments: #1 Exhibit Affidavit of Publication, #2 Exhibit Claims Register)(Gazes, Ian)

October 3, 2013

Filing 313 LETTER MOTION for Conference addressed to Judge Richard J. Sullivan from Vivian Shevitz dated October 3, 2013. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

October 2, 2013

Filing 312 ORDER AUTHORIZING THE RECEIVER'S RETENTION OF CBIZ ACCOUNTING, TAX & ADVISORY OF NEW YORK, LLC AND CBIZ ACCOUNTING, TAX & ADVISORY OF SAN DIEGO, LLC granting #308 Motion for Order Authorizing Receiver to Retain CBIZ as Financial Advisor. It is hereby ORDERED, that the Receiver is authorized to retain CBIZ on the terms and conditions set forth in the Engagement Letter nunc pro tunc to July 11, 2013. (Signed by Judge Richard J. Sullivan on 10/2/2013) (mro)

October 2, 2013

Filing 311 ORDER denying #310 Letter Motion for Conference. Now before the Court is an eight-page letter from Defendants Vilar and Tanaka, dated September 30, 2013, requesting a stay, a conference, and CJA funds. To the extent the letter is a motion for a stay or for CJA funds, it violates Rule 2(A) of the Court's Individual Rules of Practice, which requires parties to submit a letter requesting a pre-motion conference before submitting a motion, unless the motion was previously authorized by court order or is exempted from the rule. To the extent the letter is a request for a pre-motion conference, it also violates Rule 2(A), which states that such letters may not exceed three pages. Accordingly, all requests in the letter are DENIED, without prejudice for renewal in a properly submitted letter or motion. The clerk of the court is respectfully directed to terminate the motion pending at Doc. No. 310. (Signed by Judge Richard J. Sullivan on 10/2/2013) (mro)

October 1, 2013

***DELETED DOCUMENT. Deleted document number #311 STANDING ORDER M10-468: Stay of Certain Civil Cases Pending the Restoration of Department of Justice Funding.. The document was incorrectly filed in this case. (ad)

September 30, 2013

Filing 310 LETTER MOTION for Conference re: #303 Declaration, Declaration in Support, #307 Endorsed Letter, #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., #300 Memorandum of Law in Support of Motion, #308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor., #304 Declaration in Opposition, #309 Order,, #305 Certificate of Clerk AND FOR A Stay addressed to Judge Richard J. Sullivan from Vivian Shevitz dated September 30, 2013. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

September 30, 2013

Filing 309 ORDER: The Court is in receipt of the two attached letters from the Receiver. In light of these letters, IT IS HEREBY ORDERED THAT the Claims Register shall be submitted by October 4, 2013. IT IS FURTHER ORDERED THAT all objections to the Claims Register shall be submitted by November 8, 2013. IT IS FURTHER ORDERED THAT the Receiver shall file a revised Claims Register by November 22, 2013. Other than the deadlines just mentioned, all directives in the Court's June 20, 2013 and July 30, 2013 Orders (Doc. Nos. 291, 297) shall remain in effect. (Signed by Judge Richard J. Sullivan on 9/27/2013) (cd)

September 27, 2013

Filing 308 MOTION for Order Authorizing Receiver to Retain CBIZ as Financial Advisor. Document filed by Ian Gazes. (Attachments: #1 Exhibit A Proposed Order, #2 Exhibit B Engagement Letter)(Gazes, Ian)

September 26, 2013

Filing 307 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Marc Litt dated 9/23/2013 re: Accordingly, I write to respectfully request that I be removed from the list of counsel to be noticed in the above case. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 9/25/2013) (ama)

September 12, 2013

Filing 306 NOTICE OF CHANGE OF ADDRESS by Vivian Shevitz on behalf of Gary Alan Tanaka, Alberto William Vilar. New Address: Attorney at Law, 46 Truesdale Lake Drive, South Salem, New York, United States 10590, 9147632122. (Shevitz, Vivian)

September 11, 2013

Filing 305 CLERK'S CERTIFICATE OF DEFAULT as to Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Groeth Fund, Inc., Amerindo Technology Growth Fund II, Inc., and Techno Raquia, S.A. (jno)

September 11, 2013

Filing 304 DECLARATION of Vivian Shevitz in Opposition re: #303 Declaration, Declaration in Support, #302 Opposition Brief, #301 Request to Enter Default,. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

September 11, 2013

Filing 303 DECLARATION of Neal Jacobson, Esq. in support of Certificate of Default., DECLARATION of Neal Jacobson, Esq. in Support. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

September 11, 2013

Filing 302 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - OPPOSITION BRIEF re: #301 Request to Enter Default,. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian) Modified on 9/11/2013 (ka).

September 11, 2013

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Neal Ralph Jacobson to RE-FILE Document #301 Request to Enter Default. Use the event type Declaration in Support(non-motion) found under the event list Other Answers. (ka)

September 11, 2013

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #302 Opposition Brief. Use the event type Declaration in Opposition(non-motion) found under the event list Other Answers. (ka)

September 10, 2013

Filing 301 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REQUEST TO ENTER DEFAULT against Amerindo Investment Advisors Inc., Amerindo Investment Advisors, Inc., Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Growth Fund, Inc., Amerindo Technology Growth Fund II, Inc., Techno Raquia, S.A.. Document filed by Securities and Exchange Commission.(Jacobson, Neal) Modified on 9/11/2013 (ka).

September 5, 2013

Filing 300 FIRST MEMORANDUM OF LAW in Support re: #299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

September 5, 2013

Filing 299 FIRST MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. Document filed by Securities and Exchange Commission.(Jacobson, Neal)

August 1, 2013

Filing 298 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes dated 7/30/2013 re: In order to avoid any confusion that may be caused by the Tanaka/Vilar letter, the Receiver, with the support of the SEC, respectfully requests that the Court authorize the Receiver to send a letter, in the form attached hereto as Exhibit "B", to the Amerindo investors. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/31/2013) (ama)

July 30, 2013

Filing 297 MEMO ENDORSEMENT on RECEIVER'S FIRST STATUS REPORT: ENDORSEMENT: The Court hereby adopts all of the proposed modifications to its orders of June 20, 2013. However, to give the Receiver adequate time to act on this Order, IT IS HEREBY ORDERED THAT the Receiver may publish the notice of the Bar date in Financial Times before August 6, 2013, and the bar Date shall be forty-five days thereafter, or September 20, 2013. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/29/2013) (ama)

July 19, 2013

Filing 296 STATUS REPORT. Receiver's First Status Report Document filed by Ian Gazes.(Gazes, Ian)

July 8, 2013

Filing 295 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 7/03/2013 re: I write in response to JP Morgan's letter to you dated July 2, 2013. Although we are not parties to the designated lawsuit in which it writes, i.e., 12 cv 5240 (RJS), Ms. Weiss sent me a copy of the letter. I ask that this letter be docketed in the criminal case, 05 cr 621, the SEC case, 05 cv 5231, and the interpleader case, 12 cv 5240. (ama)

July 8, 2013

Filing 294 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 7/02/2013 re: Accordingly, we request that the Court convene a conference to resolve the turnover/Interpleader matter or permit JPMorgan to move for a discharge, injunction, and attorneys' fees, as requested in our June 10, 2013 letter. (ama)

July 8, 2013

Filing 293 ORDER: Accordingly, Defendants' requests are DENIED, and IT IS HEREBY ORDERED THAT JP Morgan shall comply with the Court's Orders as to the liquidation of public securities held in restrained accounts. The Court notes that, under its Order of June 19, 2013, "[n]either the Receiver nor any professionals retained or employed by the Receiver shall have or incur any liability... for any action taken or omitted to be taken in connection with or related to the preparation, implementation, or administration of the [claims and interim distribution process] except for willful misconduct or gross negligence." SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/08/2013) (ama)

June 25, 2013

Filing 292 NOTICE OF APPEARANCE by Ian J. Gazes on behalf of Ian Gazes. (Gazes, Ian)

June 20, 2013

Filing 291 ORDER: For the reasons set forth in the accompanying Order dated June 19, 2013, the Receiver is authorized to implement a claims and interim distribution process (the "Claims Process") as set forth herein. IT IS HEREBY ORDERED THAT the Receiver is empowered and authorized to establish a Distribution Fund consisting of the Cash and the liquidation proceeds of the Public Securities (the ''Liquidation Proceeds'') held in the Investor Accounts for the purposes of making an interim distribution (the ("Interim Distribution") to holders of Allowed Claims (as herein defined). SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/19/2013) (ama)

June 20, 2013

Filing 290 ORDER: Except for Defendants, the responses to the R&R generally favor moving forward with the Receiver's recommendations. Because the Court agrees that the R&R proposes a prudent, expeditious course to resolving this litigation and restoring the forfeited assets to their rightful owners, the Court hereby adopts in their entirety the proposals set forth in the R&R and in the accompanying Order dated June 19,2013. Accordingly, IT IS HEREBY ORDERED THAT the Receiver shall begin the process of establishing a distribution fund and a claims and interim distribution procedure. IT IS FURTHER ORDERED THAT the Receiver shall update the Court by July 19, 2013 regarding the status of these activities. No distributions, however, shall be made without further order of the Court. While the Receiver is working to establish the distribution mechanisms, the Court will work in parallel to resolve the Turnover Proceeding. SO ORDERED. (Signed by Judge Richard J. Sullivan on 6/19/2013) (ama)

June 18, 2013

Filing 289 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 5/29/2013 re: I write in response to SEC Receiver Ian J. Gazes' request for more time to file a first report and in anticipation of, and objection to, Mr. Gazes' apparent plan to let JP Morgan escape accountability for malfeasance, to continue to "employ" JP Morgan, and allow it to set its own terms for sale of the securities it has held. (ama)

June 18, 2013

Filing 288 LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 6/17/2013 re: Now the SEC has weighed in on what to do with the assets it has held since 2005. With its June 10, 2013 letter to Judge Sullivan (once again litigation is conducted through "off the books" letters not filed on the docket. I ask that they all be filed), the SEC wants to accommodate the receiver and allow the expenditure of more funds to accomplish the payout that defendants proposed long ago. (ama)

June 18, 2013

Filing 287 LETTER addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 6/11/2013 re: Mr. Marcus and Dr. Salvitti are ready to dispute the Mayers' claim to priority in whatever forum this Court determines to be appropriate, and we respectfully request that the Court grant Mr. Marcus's pending motion to intervene if it allows the Turnover Proceeding to move forward despite the request to the contrary in Mr. Jacobson's letter. However, in the interim, Mr. Begos's erroneous assertion that no one has disputed his clients' claim to priority must be corrected. Document filed by Ronald Salvetti.(cd)

June 18, 2013

Filing 286 LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 6/10/2013 re: The SEC requests that the Court implement the Receiver's proposals. Document filed by United States Securities and Exchange Commission.(cd)

June 18, 2013

Filing 285 LETTER addressed to Judge Richard J. Sullivan from Andrea Likwornik Weiss dated 6/10/2013 re: Report filed by Ian Gazes, Receiver appointed by the Court. Document filed by J.P. Morgan Securities LLC.(cd)

June 18, 2013

Filing 284 LETTER addressed to Judge Richard J. Sullivan from Patrick W. Begos dated 6/7/2013 re: Receiver's 5/30/2013 Initial Report and Recommendation. Document filed by Debra Mayer, Lisa Mayer.(cd)

May 30, 2013

Filing 283 STATUS REPORT. Receiver's Initial Report and Recommendations Document filed by Ian Gazes. (Attachments: #1 Exhibit A, #2 Exhibit B)(Gazes, Ian)

May 23, 2013

Filing 282 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 5/22/2013 re: The undersigned was appointed the Receiver pursuant to Order dated March 11, 2013 and was granted a first extension to file his report to May 22, 2013. Since the Receiver's appointment he has among other things been diligently seeking a consensual resolution with all interested parties but these negotiations have concluded and the parties could not agree on all points. The negotiations ended yesterday. By reason of the foregoing the Receiver is finalizing his First Interim Report and requests additional time to file same to May 30, 2013. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 5/22/2013) (ama)

May 6, 2013

Filing 281 REPLY to Response to Motion re: #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

April 22, 2013

Filing 280 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Ian J. Gazes, Receiver dated 4/22/2013 re: Goldman Sachs has advised the Receiver that they need more time to complete their investigation and it is therefore requested that your honor extend the Receiver's time to submit the Report for thirty (30) days or May 22, 2013 without prejudice to seek another extension if appropriate. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard J. Sullivan on 4/22/2013) (ama)

April 10, 2013

Filing 279 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 4/10/2013 re: Mr. Jacobson just pointed out that in fact he had agreed to a stay "at least pending the filing of the Receiver's Report," which is currently scheduled to be filed on April 22, 2013, not more generally, and would wait and see thereafter. I thus again suggest and ask that our reply papers be stayed as well. I do not want to waive a reply should it be necessary, and ask the Court to schedule the Reply to be filed ten days after any stay is lifted. ENDORSEMENT: Defendant's request to stay the deadline for filing reply papers on their motion for reconsideration pending completion of the receiver's Report is Hereby Granted. Accordingly, IT I S HEREBY ORDERED THAT Defendants shall submit any reply papers by May 3, 2013. If, following the completion of t he Receiver's Report, either of the parties believes there is cause for extending the stay,they may request to do so. SO ORDERED. ( Replies due by 5/3/2013.) (Signed by Judge Richard J. Sullivan on 4/10/2013) (ama)

April 5, 2013

Filing 278 MEMORANDUM OF LAW in Opposition re: #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. Memorandum of Law in Opposition to Motion by Defendants for Reconsideration and a Stay. Document filed by Securities and Exchange Commission. (Attachments: #1 Appendix A, #2 Appendix B)(Jacobson, Neal)

March 27, 2013

CASHIERS OFFICE CRIS DEPOSIT dated 3/11/13, from Judge Judge Richard J. Sullivan, $50,000.00 from LEVI LUBARSKY AND FEIGENBAUM deposited on 3/21/13, Receipt Number 465401063167 and placed into CRIS on 3/27/13. (dig)

March 26, 2013

Filing 277 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the SEC shall respond to Defendants' motions by April 5, 2013, and Defendants shall submit any reply by April 12, 2013. SO ORDERED.( Responses due by 4/5/2013, Replies due by 4/12/2013.) (Signed by Judge Richard J. Sullivan on 3/26/2013) (ama) Modified on 3/27/2013 (ama).

March 25, 2013

Filing 276 MEMORANDUM OF LAW in Support re: #275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

March 25, 2013

Filing 275 MOTION for Reconsideration re; #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,., MOTION to Stay re: #272 Order on Motion for Partial Summary Judgment, Order on Motion to Dismiss,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

March 18, 2013

Filing 274 ORDER: The purpose of this Order is to correct a misspelling in the Court's Memorandum and Order dated March 11, 2013 ("March 11 Order"): the receiver's last name is Gazes, not Grazes. Thus, Ian Gazes shall serve as receiver for the purposes set forth in the March 11 Order. (Signed by Judge Richard J. Sullivan on 3/18/2013) (mro)

March 18, 2013

Filing 273 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Neal Jacobson dated 3/15/13 re: Counsel writes to request that the Court extend the time for filing the joint letter regarding a proposed schedule for conducting limited discovery to March 29. ENDORSEMENT: So ordered. (Signed by Judge Richard J. Sullivan on 3/18/2013) (mro)

March 11, 2013

Filing 272 MEMORANDUM AND ORDER granting in part; denying in part #245 Motion for Partial Summary Judgment; denying #252 Motion to Dismiss; denying #254 Motion to Dismiss. For the foregoing reasons, the SEC's motion for partial summary judgment is granted in part and denied in part. The Court grants the SEC summary judgment on its claims that (1) the Individual Defendants violated 17(a) of the Securities Act, 10(b) of the Exchange Act, and Rule 10b-5 thereunder with respect to Lecube-Chavez, Colburn, and Cox, and, in Vilar's case only, with respect to Cates as well; and (2) the Individual Defendants aided and abetted violations of IAA 206(1) and 206(2). The Court denies the SEC summary judgment on its claims that the Individual Defendants (1) violated 17(a)of the Securities Act, 10(b) of the Exchange Act, and Rule 10b-5 thereunder with respect to the Mayers, and (2) aided and abetted violations of IAA 206(4) and Rule 206(4)-2(a) thereunder. Accordingly, IT IS HEREBY ORDERED THAT the Individual Defendants are permanently enjoined from committing any future violations of 17(a) of the Securities Act, 10(b) of the Exchange Act, and 206(1) and 206(2) of the IAA.IT IS FURTHER ORDERED THAT Ian Grazes, as Receiver, shall investigate and determine the value of investor assets and the value of the Individual Defendants' claims to monies that have been frozen pursuant to the restraining order in the criminal case; consider what actions can and should be taken to avoid dissipation of those assets; and submit a report to the Court regarding his findings and recommendations by April 22, 2013. IT IS FURTHER ORDERED THAT Mr. Grazes shall be compensated at the rate of $250 per hour. IT IS FURTHER ORDERED THAT, to make compensation for Mr. Grazes available, the Post-Conviction Restraining Order entered in United States v. Vilar, et al., No. 05 Cr. 621 (RJS) (Doc. No. 364) is modified as set forth in the accompanying Order so as to permit $50,000 to be withdrawn from the restrained assets and forwarded to a Court Registry Investment System in this action. IT IS FURTHER ORDERED THAT, by March 22, 2013, the parties shall submit a joint letter setting forth (1) a proposed schedule for conducting limited discovery as to whether the Mayers incurred irrevocable liability in the United States, and (2) proposed steps for proceeding on the SEC's remaining claims, including those against the Individual Defendants related to the alleged fraud against investors who did not testify at the criminal trial. The Clerk of the Court is respectfully directed to terminate the motion pending at Doc. No. 245. In addition, as the Court orally denied the Individual Defendants' motions to dismiss the SAC at oral argument, the Clerk of the Court is also respectfully directed to terminate the motions pending at Doc. Nos. 252 and 254. (Signed by Judge Richard J. Sullivan on 3/11/2013) (tro) *** A copy of this Order has been forwarded to the finance unit on 3/12/2013. Modified on 3/13/2013 (tro).

December 11, 2012

Minute Entry for proceedings held before Judge Richard J. Sullivan: Oral Argument held on 12/11/2012 re: #245 MOTION for Partial Summary Judgment. filed by Securities and Exchange Commission, #252 MOTION to Dismiss second amended complaint and entire case. filed by Alberto William Vilar, Gary Alan Tanaka, #254 MOTION to Dismiss as to Defendant Alberto W. Vilar. filed by Alberto William Vilar, #206 MOTION for Summary Judgment Dismissing the Action. filed by Alberto William Vilar. on Plaintiffs motion for partial summary judgment and Defendants Vilar and Tanakas motion to dismiss. The Court denied the motion to dismiss and reserved on the motion for partial summary judgment. (js)

December 10, 2012

Filing 271 ORDER: The Court is in receipt of a letter from Defendants, dated December 10, 2012, broadly attacking the criminal and civil proceedings against them and advancing a variety of arguments not raised in any of their briefing papers. Defendants' letter comes on the eve of oral argument on Plaintiffs motion for partial summary judgment and Defendants' motion to dismiss the Second Amended Complaint in the above-captioned action. By Order of the Court, both motions were fully briefed as of October 12, 2012. Thus, Defendants' letter is an inappropriate surreply, which the Court will not consider. Oral argument will proceed as scheduled at 4:30 p.m. tomorrow, December 11, 2012. (Signed by Judge Richard J. Sullivan on 12/10/2012) (pl)

December 7, 2012

Filing 270 ENDORSED LETTER addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 12/6/2012 re: Counsel writes to advise the Court and parties that Susan C. Wolfe, Esq. will be arguing the motions at the hearing on 12/11/2012 at 4:30 p.m. Counsel also asks that the Court allow them to bring in a laptop and also a blackberry. ENDORSEMENT: Counsel's request with respect to the laptop is HEREBY GRANTED (see attached Order). With respect to the Blackberry, Counsel must contact the District Executive as explained in Standing Order M10-468, available at http://www.nysd.uscourts.gov/rules/Standing_Order-Electronic_Devices-General_Purpose-Feb 2010.pdf Accordingly, that request is DENIED. (Signed by Judge Richard J. Sullivan on 12/6/2012) (tro)

November 13, 2012

Filing 269 ORDER: IT IS HEREBY ORDERED THAT the oral argument scheduled for November 16, 2012 adjourned until Tuesday, December 11, 2012 at 4:30 p.m. Defendants also request that Defendant Tanaka be permitted to attend the oral argument. That request is HEREBY GRANTED, provided that Defendant Tanaka complies with all conditions set by Pretrial Services. ( Oral Argument set for 12/11/2012 at 04:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 11/9/2012) (djc)

November 9, 2012

Filing 268 ORDER: The Court is in receipt of a letter from Defendants, dated November 8, 2012, requesting an adjournment of the oral argument scheduled for November 16, 2012 due to "extenuating weather-and family-related issues." The Court has already granted two extensions for the motions at issue in next week's argument. Although the Court has received and granted numerous requests for adjournments from parties who lost power or access to their homes or offices as a result of Hurricane Sandy, in this case Defendants' letter fails to offer anything more than the most perfunctory explanation for why it is that they require additional time to prepare for an oral argument that was originally scheduled for October 19, 2012. Accordingly, Defendants' request is HEREBY DENIED without prejudice to renewal, in which case Defendants shall submit a fuller explanation of the need for another extension. (Signed by Judge Richard J. Sullivan on 11/9/2012) (mro)

October 17, 2012

Filing 267 ORDER: The Court is therefore prepared to appoint Ian Gazes as a receiver in this case, based on his experience in managing and liquidating large estates as a bankruptcy trustee. At this time, Mr. Gazes will be empowered only to investigate and determine the value of investor assets that have been seized or frozen pursuant to the forfeiture order in the criminal case, to consider what actions can and should be taken to avoid dissipation of those assets, and to submit a report to the Court regarding his findings and recommendations. Upon receiving his report, the Court will determine whether Mr. Gazes should be empowered to take broader action, such as managing the assets and beginning a claims process for investors. Additionally, although the Court is prepared to approve compensation of Mr. Gazes at the offered rate of $250 per hour, it notes that it would be necessary for the government to release funds for that purpose. Accordingly, IT IS HEREBY ORDERED THAT the government shall submit a letter to the Court no later than October 23, 2012, setting forth its proposal for the process for compensating Mr. Gazes. (Signed by Judge Richard J. Sullivan on 10/16/2012) Copies Sent By Chambers. (lmb)

October 12, 2012

Filing 266 CERTIFICATE OF SERVICE. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

October 12, 2012

Filing 265 REPLY MEMORANDUM OF LAW in Support re: #245 MOTION for Partial Summary Judgment.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

October 12, 2012

Filing 264 REPLY MEMORANDUM OF LAW in Support re: #252 MOTION to Dismiss second amended complaint and entire case., #254 MOTION to Dismiss as to Defendant Alberto W. Vilar.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

October 10, 2012

Filing 263 Letter addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 10/5/2012 re: It is respectfully submitted that there is no reason to allow the assets in question to languish without active management, and to remain vulnerable to possible claims by the defendants (such as Ms. Shevitz's October 3 letter hints at). Rather, I think that a receiver should be appointed and authorized to gather and preserve assets, and to implement a claims process, all as set forth at length in my letter to Your Honor dated May 22, 2012. (lmb); [*** NOTE: Also docketed in Criminal Case 05-cr-621(RJS), see Doc.#544. ***] Modified on 10/11/2012 (bw).

September 17, 2012

Filing 262 RULE 56.1 STATEMENT. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

September 17, 2012

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #259 Response in Opposition to Motion,. Use the event type Counter Statement to Rule 56.1 found under the event list Other Answers. (db)

September 14, 2012

Filing 261 AFFIDAVIT OF SERVICE. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

September 14, 2012

Filing 260 MEMORANDUM OF LAW in Opposition re: #252 MOTION to Dismiss second amended complaint and entire case., #254 MOTION to Dismiss as to Defendant Alberto W. Vilar.. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

September 14, 2012

Filing 259 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE in Opposition re: #245 MOTION for Partial Summary Judgment. COUNTERSTATEMENT PURSUANT TO RULE 56.1. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian) Modified on 9/17/2012 (db).

September 14, 2012

Filing 258 MEMORANDUM OF LAW in Opposition re: #245 MOTION for Partial Summary Judgment.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 Supplement Tale of Contents and Authorities)(Shevitz, Vivian)

August 30, 2012

Filing 257 ORDER:IT IS HEREBY ORDERED that the governments response to Defendants motion to dismiss shall be due by September 14, 2012. IT IS FURTHER ORDERED THAT Defendants reply shall be due by October 12, 2012. This Order once again places the governments motion for summary judgment and the Defendants motion to dismiss on parallel tracks. The parties responses to both dispositive motions are due by September 14, 2012, and replies are due by October 12, 2012. Oral argument remains scheduled for November 16, 2012 at 1:30 P.M. Responses due by 9/14/2012, Replies due by 10/12/2012., Oral Argument set for 11/16/2012 at 01:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 8/30/2012) (ago) Modified on 9/7/2012 (ago).

August 29, 2012

Filing 256 ORDER: Accordingly, IT IS HEREBY ORDERED THAT Defendant's response shall be due on September 14, 2012. IT IS FURTHER ORDERED THAT the Government's reply shall be due on October 12, 2012. In light of this second revision to the Parties' briefing schedule, which leaves the Court only one week to prepare for oral argument, IT IS FURTHER ORDERED THAT the oral argument scheduled for October 19,2012 is adjourned to November 16,2012 at 1:30 P.M. SO ORDERED. ( Responses due by 9/14/2012, Replies due by 10/12/2012., Oral Argument set for 11/16/2012 at 01:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 8/28/2012) (ama)

August 16, 2012

Filing 255 MARSHAL'S PROCESS RECEIPT AND RETURN OF SERVICE EXECUTED Second Amended Complaint served on Gary Alan Tanaka on 7/24/2012. Service was accepted by Gary Alan Tanaka. Document filed by Securities and Exchange Commission. (laq)

August 10, 2012

Filing 254 MOTION to Dismiss as to Defendant Alberto W. Vilar. Document filed by Alberto William Vilar.(Burger, David)

August 10, 2012

Filing 253 MEMORANDUM OF LAW in Support re: #252 MOTION to Dismiss second amended complaint and entire case.. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Attachments: #1 TABLE OF CONTENTS)(Shevitz, Vivian)

August 10, 2012

Filing 252 MOTION to Dismiss second amended complaint and entire case. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

August 9, 2012

Filing 251 AFFIDAVIT OF SERVICE of Motion for Partial Summary Judgment and Supporting Documents served on Vivian Shezitz, Esq., David C. Burger, Esq., Alberto W. Vilar and Gary Alan Tanaka on August 9, 2012. Service was made by Mail. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

August 9, 2012

Filing 250 RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

August 9, 2012

Filing 249 DECLARATION of James E. Meixner in Support re: #245 MOTION for Partial Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit, #2 Exhibit)(Salzberg, Mark)

August 9, 2012

Filing 248 DECLARATION of Neal Jacobson in Support re: #245 MOTION for Partial Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit, #2 Exhibit Exhibit B Part 1, #3 Exhibit Exhibit B Part 2, #4 Exhibit Exhibit B Part 3, #5 Exhibit Exhibit B Part 4, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit, #14 Exhibit, #15 Exhibit, #16 Exhibit, #17 Exhibit, #18 Exhibit)(Salzberg, Mark)

August 9, 2012

Filing 247 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Neal Jacoobson in Support re: #245 MOTION for Partial Summary Judgment. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit)(Salzberg, Mark) Modified on 8/10/2012 (db).

August 9, 2012

Filing 246 MEMORANDUM OF LAW in Support re: #245 MOTION for Partial Summary Judgment.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

August 9, 2012

Filing 245 MOTION for Partial Summary Judgment. Document filed by Securities and Exchange Commission. Responses due by 9/7/2012 Return Date set for 10/19/2012 at 02:30 PM.(Salzberg, Mark)

August 3, 2012

Filing 244 Letter addressed to Judge Richard J. Sullivan from Neal Jackson dated 7/30/2012 re: In response to the Court's July 17, 2012 Order regarding the appointment of a receiver, the staff of the Securities and Exchange Commission ("Commission",) reached out to potential receiver candidates to provide the Court with a choice when considering the appointment. The Commission staff has received two proposals from potential receiver candidates and is waiting to hear back from one more potential candidate. In order to provide the Court and parties with as much notice as possible, the SEC staff is submitting the first two proposals it received now and will update the Court as soon as it hears back from the last potential receiver candidate. The two proposals received by the Commission staff to date, along with curriculum vitae for each of the candidates, are attached to this letter. Document filed by Securities and Exchange Commission.(djc)

August 3, 2012

Filing 243 Letter addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 7/27/2012 re: By Order dated July 17, 2012, the Court proposed appointing a Receiver "to value and preserve the seized assets" and "begin[] the process of determining how much is owed to victims and investors" -but not to distribute any assets at this time. The Court further proposed that the Receiver would be paid up to $50,000 out of those "seized assets" to do this work. On behalf of defendants Tanaka and Vilar, we object. A Receiver would have to learn this business from the beginning, and with a limit of $50,000 could do nothing. It would be a waste of time and money. Even the list of considerations presented by Mr. Friedman suggests that there would be more issues presented by a Receiver than one would solve. Finally, we ask to have this letter-response to the Court's order to respond to the Receiver proposal filed. (djc)

August 3, 2012

Filing 242 Letter addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 8/3/2012 re: I am writing this letter, pursuant to the Court's Order of July 17, in order to respond to Ms. Shevitz's letter of July 27. Ms. Shevitz's letter attempts to use the threat of further litigation and delay in order to intimidate the investors and the victims into agreeing with her proposal. Even more importantly, the substance of her letter: fails to take account of the true nature of the GFRDA and A TGF investments; places unwarranted control in the hands of Messrs. Vilar and Tanaka and their former employees at Amerindo; and leaves too many questions unanswered. (djc)

August 3, 2012

Filing 241 Letter addressed to Judge Richard J. Sullivan from Vivian Shevitz dated 8/3/2012 re: Defendants Tanaka and Vilar object to the SEC's proposals of "potential receiver candidates", most especially to the two former federal SDNY prosecutors. Document filed by Gary Alan Tanaka, Alberto William Vilar.(djc)

August 3, 2012

Filing 240 Letter addressed to Judge Richard J. Sullivan from Patrick W. Begos dated 8/2/2012 re: This firm represents the Mayer family. I write, pursuant to the Court's July 17, 2012 Order, to respond to various parties' submissions in connection with that Order. (djc)

August 3, 2012

Filing 239 Letter addressed to Judge Richard J. Sullivan from Sharon Cohen Levin dated 8/2/2012 re: While the Government is not a party to the above referenced action, we write to note our agreement with the letter from the Securities and Exchange Commission dated August 2, 2012 regarding the settlement proposal set forth in Vivian Shevitz's letter dated July 27, 2012. (djc)

August 3, 2012

Filing 238 Letter addressed to Judge Richard J. Sullivan from Neal Jacobson dated 8/2/2012 re: The staff of the Securities and Exchange Commission ("Commission") submits this letter in response to (i) the proposal by investors Paul Marcus and Alfred Heitkonig for appointment of Mr. David Ross as receiver in this case, and (ii) the proposal by Ms. Vivian Shevitz to settle all of the pending criminal and civil proceedings involving Messrs. Vilar and Tanaka. Document filed by Securities and Exchange Commission.(djc)

August 3, 2012

Filing 237 Letter addressed to Judge Richard J. Sullivan from Julian W. Friedman dated 7/25/2012 re: I am submitting this letter pursuant to Your Honor's Order of July 17, 2012 stating that the Court is prepared to appoint a Receiver in this matter, and giving the parties and investors the opportunity to propose a particular individual to serve in that capacity. I am writing this letter to propose that David Ross be appointed as Receiver. (djc)

August 3, 2012

Filing 236 Letter addressed to Judge Richard J. Sullivan from Alfred C.Heitkonig dated July 24,2012 re: In response to and in compliance with your Order dated July 17, 2012, in the above referenced matter, I hereby submit the following on behalf of my family, including my cousin John P. Aggerholm: (djc)

July 26, 2012

Filing 235 ENDORSED LETTER addressed to Judge Richard J. Sullivan, from Mark D. Salzberg, dated 7/26/2012, re: request that the Court extend the time set forth in Your Honor's July 25, 2012 revised scheduling Order for responsive briefs to be filed on the parties dispositive motions from August 31,2012 to September 7, 2012. Defendants' counsel, Vivian Shevitz and David Burger, consent to the SEC staff's requested extension, provided that Your Honor similarly extend the deadline for parties to submit reply briefs by one week from September 28, 2012 to October 5, 2012. ENDORSEMENT: SO ORDERED. ( Responses due by 9/7/2012. Replies due by 10/5/2012.) (Signed by Judge Richard J. Sullivan on 7/26/2012) (ja)

July 25, 2012

Filing 234 ORDER: As stated in the Court's June 18, 2012 Order, the Court sees no reason to further delay these proceedings pending Defendants' criminal appeals, and sees particularly little value in delaying the motion schedule until the oral argument regarding Defendants' appeals, since there is no indication that the Court of Appeals will issue its ruling immediately after argument.However, the Court will grant a brief extension of the briefing schedule in light of Tanaka's stated difficulties in preparing this motion. Accordingly, IT IS HEREBY ORDERED THAT the parties shall file their contemplated motions no later than August 10, 2012. The parties' responses shall be filed no later August 31, 2012. The parties' replies shall be filed no later thanSeptember 28, 2012. The oral argument regarding the parties' motions shall take place as scheduled on October 19,2012, at 2:30p.m. IT IS FURTHER ORDERED THAT the Wardens of FCI Fort Dix and FCI Terminal Island shall make Alberto William Vilar and Gary Alan Tanaka, respectively, available for a telephone conference call with their attorney, Vivian Shevitz. ( Motions due by 8/10/2012. Responses due by 8/31/2012, Oral Argument set for 10/19/2012 at 02:30 PM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 7/25/2012) (ago)

July 17, 2012

Filing 232 ORDER: The Court is prepared at this time to appoint a receiver for the limited purposes of taking steps to value and preserve the seized assets and beginning the process of determining how much is owed to victims and investors. However, the Court is not prepared to authorize distributions at this time. The receiver would be paid reasonable compensation out of the seized funds, up to$50,000. Any party or investor that wishes to object to this proposed course of action, or to propose a particular individual to serve as receiver, may do so no later than July 27, 2012. The parties and investors may respond to one another's objections no later than August 3, 2012. SO ORDERED. (Signed by Judge Richard J. Sullivan on 7/17/2012) (ama)

July 16, 2012

Filing 233 MARSHAL'S PROCESS RECEIPT AND RETURN OF SERVICE EXECUTED. Alberto William Vilar served on 7/3/2012, answer due 7/24/2012. Service was accepted by Alberto W. Vilar. Document filed by Securities and Exchange Commission. (laq)

June 19, 2012

Filing 231 ORDER: Accordingly, IT IS HEREBY ORDERED THAT the parties shall file their contemplated dispositive motions by July 27, 2012. The parties' responses are due by August17, 2012. Replies, if any, shall be due by September 14, 2012. The parties shall appear for oral argument on October 19, 2012 at 2:30 p.m.Additionally, the parties request that the Court lift the limitations on briefs and exhibits in connection with their motions. Accordingly, IT IS FURTHER ORDERED THAT the parties' opening and opposition briefs may be up to 35 pages in length. Reply briefs may be up to 15 pages in length. The page limit for exhibits shall not apply to copies of the pleadings in this case, charging instruments in the criminal case, or transcripts from the criminal trial; however,the parties are directed to only attach those transcript portions that are necessary to resolution of their motions. Additionally, the parties' request to lift the limitations on numbers of exhibits and length of declarations is HEREBY DENIED without prejudice. Should the parties wish to renew their request, such request should briefly describe the nature of the additional contemplated submissions and why they are necessary. (Signed by Judge Richard J. Sullivan on 6/18/2012) (js)

June 14, 2012

Filing 230 ORDER: IT IS HEREBY ORDERED THAT the government shall respond to Mr. Davies's request no later than July 13, 2012, and shall send a copy of its response to the Court and to Defendants. (Signed by Judge Richard J. Sullivan on 6/12/2012) (jfe)

May 25, 2012

Filing 229 SECOND AMENDED COMPLAINT amending #44 Amended Complaint, against Amerindo Advisors UK Limited, Amerindo Investment Advisors Inc., Amerindo Management Inc., Amerindo Technology Growth Fund II, Inc., Amerindo Technology Growth Fund, Inc., Gary Alan Tanaka, Techno Raquia, S.A., Alberto William Vilar, Amerindo Investment Advisors, Inc..Document filed by Securities and Exchange Commission. Related document: #44 Amended Complaint, filed by Securities and Exchange Commission.(jfe)

May 17, 2012

Filing 228 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/4/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

May 17, 2012

Filing 227 TRANSCRIPT of Proceedings re: CONFERNCE held on 5/4/2012 before Judge Richard J. Sullivan. Court Reporter/Transcriber: Ann Hairston, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/11/2012. Redacted Transcript Deadline set for 6/21/2012. Release of Transcript Restriction set for 8/20/2012.(McGuirk, Kelly)

May 4, 2012

Minute Entry for proceedings held before Judge Richard J. Sullivan: Pre-Motion Conference held on 5/4/2012. (cd)

May 4, 2012

Filing 226 ORDER: Plaintiff shall file a second amended complaint no later than 5/25/2012. The parties shall submit a joint letter setting forth a proposed briefing schedule for their contemplated cross-motions to dismiss and for summary judgment no later than June 8, 2012. ( Amended Pleadings due by 5/25/2012.) (Signed by Judge Richard J. Sullivan on 5/4/2012) (cd)

April 24, 2012

Filing 225 ORDER: IT IS HEREBY ORDERED THAT Messrs, Marcus and Heitkonig and Dr. Salvitti or their representatives, as well as other investors who have participated in past conferences in this matter, may attend and be heard at the May 4, 2012 pre-motion conference. However, the purpose of the conference is to address Defendants' contemplated motions to dismiss and Plaintiffs contemplated motion for summary judgment; thus, the May 4 conference will be focused on those issues and not general concerns surrounding this action, and the parties and investors should plan their statements accordingly. (Signed by Judge Richard J. Sullivan on 4/24/2012) (jfe)

April 19, 2012

Received Return Receipt of Mail Order by Certified Mail as to Gary Alan Tanaka, which was served by Certified Mail # 7003 0500 0000 0343 0164, on 2/14/2012. (ft)

April 13, 2012

Filing 224 ORDER. IT IS HEREBY ORDERED THAT all future correspondence from Ms. Shevitz in this matter shall be by letter, mailed to Chambers at 500 Pearl Street, New York, New York 10007. Finally, in light of the brevity of Defendant's proposed attachments to his pre-motion letter, IT IS HEREBY ORDERED THAT Defendant may submit the additional materials described. (Signed by Judge Richard J. Sullivan on 4/11/2012) (rjm)

April 10, 2012

Filing 223 ORDER: The Court is in receipt of an emailed message from Defendant Gary Tanaka, dated April 9, 2012, requesting leave to submit attachments, consisting of "GX's or PDF'd letters and email transmissions," to his response to Plaintiffs pre-motion letter. However, Defendant provides no indication as to the number or size of the proposed attachments. The Court's usual individual practice of disallowing attachments and exhibits to pre-motion letters is aimed at obtaining brief statements of each side's position. Without any information as to the nature of Defendant's proposed attachments, it is impossible to determine whether they will be useful to that end. Accordingly, IT IS HEREBY ORDERED THAT Defendant's request is denied without prejudice to renewal. Defendant also requests that all letters submitted in this case, as well as the related criminal matter, No. 05 Cr. 621 (RJS), be docketed. The only letters properly sent to the Court in this matter are pre-motion letters in advance of pre-motion conferences, which are held on the record. Moreover, the general policy in the Southern District of New York is to not docket letters, and the Court sees no reason to depart from that practice in this instance. (Signed by Judge Richard J. Sullivan on 4/10/2012) (mro)

April 6, 2012

Filing 222 ORDER: IT IS HEREBY ORDERED THAT the parties shall appear for a pre-motion conference on May 4, 2012 at 10:00 a.m. regarding their contemplated motions. Pursuant to the Court's Individual Practices, Defendants shall respond to Plaintiff's pre-motion letter no later than April 11, 2012., ( Pre-Motion Conference set for 5/4/2012 at 10:00 AM before Judge Richard J. Sullivan.) (Signed by Judge Richard J. Sullivan on 4/6/2012) (lmb)

March 22, 2012

Filing 221 ORDER denying #206 Motion for Summary Judgment filed by Alberto William Vilar; denying #210 Motion to Dismiss filed by Gary Alan Tanaka: Defendants' motions are denied without prejudice. Should Defendants wish to renew their motion, they shall submit pre-motion letters no later than April 6, 2012. The Clerk of the Court is respectfully directed to terminate the motions located at Doc. Nos. 206 and 210. Should Plaintiff wish to file any motion at this time, such as a motion to amend or a motion for summary judgment based on collateral estoppel it shall also submit a pre-motion letter no later than April 6, 2012. The parties are directed to consult the Court's Individual Practices. The conference currently scheduled for March 30, 2012 is adjourned pending further submissions by the parties. (Signed by Judge Richard J. Sullivan on 3/21/2012) (ab)

March 21, 2012

Filing 220 NOTICE OF CASE REASSIGNMENT to Judge Richard J. Sullivan. Judge Laura Taylor Swain is no longer assigned to the case. (pgu)

March 20, 2012

Transmission to Case Assignment Clerk. Transmitted re: #219 Order,,, to the Case Assignment Clerk for preparation of notice of case assignment/reassignment. (js)

March 19, 2012

Filing 219 ORDER: Accordingly, the Court in the criminal matter, No. 05 Cr. 621 (RJS), will resolve the government's pending motion for entry of a final order of forfeiture (Doc No. 486) and Defendant's cross-motion for a stay of forfeiture pending appeal (Doc. No. 489) in a forthcoming Order. Finally, in light of the substantial overlap between these two cases, the civil matter, No. 05 Civ. 5231 (LTS), will be transferred to Judge Sullivan's docket. (Signed by Judge Richard J. Sullivan and Judge Laura Taylor Swain on 3/19/2012) (js)

March 19, 2012

Filing 218 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Julian W. Friedman dated 3/8/2012 re: We represent Paul Marcus and Dr. Ronald Salvatti. I am writing this letter after receiving the motion to dismiss the SEC action filed yesterday by Defendant Gary Tanaka. The sole purpose of this letter is to request that the Tanaka motion to dismiss not result in any further delay in the adoption and implementation of a plan to distribute the ATGF and GFRDA assets to the investors.(lmb)

March 19, 2012

Filing 217 Letter addressed to Judge Laura Taylor Swain from Neal Jacobson dated 3/8/2012 re: We write to request that the court relieve the Securities and Exchange Commission ("SEC") of any requirement to respond or otherwise engage in any motion practice in connection with the recent dispositive motions filed by defendants Gary Alan Tanaka and Alberto Vilar in this action until all of the pending matters can be addressed at the scheduled March 30, 2012 status conference. Document filed by Securities and Exchange Commission.(lmb)

March 19, 2012

Filing 216 Letter addressed to Judge Laura Taylor Swain from Vivian Shevitz dated 3/8/2012 re: I write to oppose the SEC's request to have more time - beyond the next conference - to respond to Gary Tanaka's motion to dismiss the complaint. Document filed by Gary Alan Tanaka.(lmb)

March 14, 2012

Filing 215 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 1/10/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

March 14, 2012

Filing 214 TRANSCRIPT of Proceedings re: Conference held on 1/10/2012 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Paula Speer, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/9/2012. Redacted Transcript Deadline set for 4/19/2012. Release of Transcript Restriction set for 6/15/2012.(McGuirk, Kelly)

March 11, 2012

Filing 213 NOTICE OF CHANGE OF ADDRESS by Vivian Shevitz on behalf of Gary Alan Tanaka. New Address: Vivian Shevitz, 401 Cumberland Ave., Apt. 609, Portland, Maine, USA 04101, 914 763 2122. (Shevitz, Vivian)

March 9, 2012

Filing 212 MEMORANDUM OF LAW in Support re: #210 MOTION to Dismiss Notice of Motion (re-filed separately)., #206 MOTION for Summary Judgment Dismissing the Action. Refiled per clerk's office. Document filed by Gary Alan Tanaka. (Shevitz, Vivian)

March 9, 2012

Filing 211 DECLARATION of Vivian Shevitz in Support re: #210 MOTION to Dismiss Notice of Motion (re-filed separately)., #206 MOTION for Summary Judgment Dismissing the Action.. Document filed by Gary Alan Tanaka. (Shevitz, Vivian)

March 9, 2012

Filing 210 MOTION to Dismiss Notice of Motion (re-filed separately). Document filed by Gary Alan Tanaka.(Shevitz, Vivian)

March 8, 2012

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #209 Memorandum of Law in Support of Motion. ERROR(S): Document linked to filing error. (db)

March 8, 2012

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #208 MOTION to Dismiss Notice of Motion and Declaration - in support of dismissal of case --. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)

March 8, 2012

Filing 209 FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: #206 MOTION for Summary Judgment Dismissing the Action., #208 MOTION to Dismiss Notice of Motion and Declaration - in support of dismissal of case --.. Document filed by Gary Alan Tanaka. (Shevitz, Vivian) Modified on 3/9/2012 (db).

March 8, 2012

Filing 208 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss Notice of Motion and Declaration - in support of dismissal of case --. Document filed by Gary Alan Tanaka.(Shevitz, Vivian) Modified on 3/9/2012 (db).

March 7, 2012

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Vivian Shevitz to RE-FILE Document #205 MOTION to Dismiss COMPLAINT and Memorandum. ERROR(S): (1) ALL Supporting Documents are filed separately, each receiving their own document #. Supporting Documents are found under the Event Type - Replies, Opposition and Supporting Documents. (2) No signature or s/ on Motion and Memorandum. (db)

March 7, 2012

Filing 207 AFFIRMATION of David C. Burger in Support re: #206 MOTION for Summary Judgment Dismissing the Action.. Document filed by Alberto William Vilar. (Burger, David)

March 7, 2012

Filing 206 MOTION for Summary Judgment Dismissing the Action. Document filed by Alberto William Vilar.(Burger, David)

March 7, 2012

Filing 205 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss COMPLAINT and Memorandum. Document filed by Gary Alan Tanaka. (Attachments: #1 Memo in support of motion to diismiss)(Shevitz, Vivian) Modified on 3/8/2012 (db).

February 29, 2012

Filing 204 NOTICE OF APPEARANCE by Vivian Shevitz on behalf of Gary Alan Tanaka (Shevitz, Vivian)

February 29, 2012

Filing 203 MEMORANDUM OF LAW regarding claims and procedures. Document filed by Gary Alan Tanaka, Alberto William Vilar. (Shevitz, Vivian)

February 29, 2012

Filing 202 BRIEF concernin g claims and process. Document filed by Gary Alan Tanaka, Alberto William Vilar.(Shevitz, Vivian)

February 29, 2012

Received Return Receipt of Mail Order by Certified Mail as to John Preetzmann Agge Holme, which was served by Certified Mail # 7003 0500 0000 0277 3361, on date not indicated. (djc)

February 22, 2012

Received Return Receipt of #174 Order, Set Hearings, as to Gary Tanaka, which was served by Certified Mail # 7003 0500 0000 3767, on 1/24/2011. (cd)

February 21, 2012

Filing 201 RESPONSE to the Courts' February 7, 2012 Order. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

February 8, 2012

Received returned mail re: #174 Order. Mail was addressed to Alfred Heitkonig at PO Box 9024038 San Juan, P.R. 00902 and was returned for the following reason(s): unclaimed. (cd)

February 8, 2012

Filing 200 AFFIDAVIT OF SERVICE of Order on February 7, 2012. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

February 8, 2012

Mailed a copy of #199 Order, to Gary Alan Tanaka FCI Terminal Island P.O. Box 3007 San Pedro, CA 90731 (7003 0500 0000 0343 0164) with Return Receipt Requested. (jab)

February 7, 2012

Filing 199 ORDER: The Office of the United States Attorney and the SEC shall consult with each other and shall file and serve on all parties to these proceedings and the representatives of the investors who have thus far made written submissions to the Court in connection with either proceeding, the following as set forth within. The submission shall be directed to both Judge Sullivan and Judge Swain so as to be received no later than February 21, and shall be captioned with both case titles and docket numbers and titled on the ECF system. The Clerk of Court is respectfully requested to docket this order in each of the above captioned cases and to mail a copy of the order to Mr. Gary Alan Tanaka. The SEC is directed to provide copies of this order to Patrick W. Begos, Esq., Julian W. Friedman, Esq., John Preetzmann Aggerholm, Esq., Mr. Alfred Heitkonig, Thomas J. Hall, Esq. and Timothy Wright, Esq. promptly by fax or similarly rapid mode of delivery. (Signed by Judge Laura Taylor Swain and Judge Richard J. Sullivan on 2/6/2012) Copies Mailed By Chambers. (ab) Modified on 2/8/2012 (ab).

February 7, 2012

Transmission to Docket Assistant Clerk. Transmitted re: #199 Order to the Docket Assistant Clerk for case processing. (ab)

February 3, 2012

Filing 198 LUSK SUBMISSION REGARDING JANUARY 13, 2012 ORDER: Peter A. Lusk by his attorney, Timothy S. Wright, submits the following comments concerning the Court's January 13, 2012 Order. (jfe)

February 3, 2012

Filing 197 MAYERS' SUBMISSION REGARDING JANUARY 13, 2012 ORDER: Debra and Lisa Mayer, on their own behalf and on behalf of their Father, Dr. Herbert Mayer (together "Mayers"), by their attorneys, Begos Horgan & Brown LLP, submit the following objections and/or comments regarding the Court's January 13, 2012 Order. (jfe)

February 3, 2012

Filing 196 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Julian W. Friedman dated 2/2/2012 re: Counsel writes this letter as a supplement to their letter to Your Honor dated January 27. More particularly, counsel writes in order to state their clients' objections to certain proposals made in Defendant Vilar's recent Submission in response to the Court's January 13, 2012 Order. (jfe)

February 3, 2012

Filing 195 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Julian W. Friedman dated 1/27/2012 re: Counsel writies this letter pursuant to the Order entered by Your Honors on January 13, 2012. Counsel writes to suggest certain alternatives and make certain observations that counsel hope will be helpful to the Court. (jfe)

January 30, 2012

Filing 194 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Alfred Heitkonig, dated January 26, 2012 re: I again thank your Honors for the opportunity to speak up. I hope that I have not crossed any boundries; this was not my intention, I am only calling it as I see it. Yes, I am outraged at years of inaction by the Government, but I hold absolutely no grudges, I welcome whoever can help with open arms, my only motivation is to find a fast and proper solution and that all ACC receive their monies without further delay. I hope and pray for swift and just action. (djc)

January 30, 2012

Filing 193 Gary Tanaka's Submission Regarding January 13, 2012 Order. Document filed by Gary Alan Tanaka. (djc)

January 30, 2012

Filing 192 RESPONSE to Court's January 13, 2012 Order. Document filed by Securities and Exchange Commission. (djc)

January 27, 2012

Filing 191 RESPONSE Securities and Exchange Commission's Response To The Courts' January 13, 2012 Order. Document filed by Securities and Exchange Commission. (Jacobson, Neal)

January 27, 2012

Filing 190 Objection re: #183 Order,,,,,,,, Response to Court Orders of January 13, 2012. Document filed by Alberto William Vilar. (Shevitz, Vivian)

January 23, 2012

Filing 189 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 1/10/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)

January 23, 2012

Filing 188 TRANSCRIPT of Proceedings re: Conference held on 1/10/2012 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Paula Speer, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/17/2012. Redacted Transcript Deadline set for 2/27/2012. Release of Transcript Restriction set for 4/26/2012.(McGuirk, Kelly)

January 19, 2012

Filing 187 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Sharon Cohen Levin dated 1/8/2012 re: The Government respectfully submits this letter in response to the recent letters submitted by Vivian Shevitz, counsel for Alberto Vilar and Victoria Eiger, counsel for Gary Tanaka,. The Government agreed to modify the Substitute Assets Order to allow these funds to released. The Government refrained from submitting an Application for a Final Order of Forfeiture to allow these funds to be released. Defense counsel has failed to respond to the Mayer Family1 s request for release of funds.Accordingly, on December 1, 2011 the Government filed an application for a Final Order of Forfeiture. Exhibit E is the email correspondence from Mr. Begos to defense counsel.The Government respectfully submits this letter in an effort to help clarify some of the issues raised by defense counsel prior to the January 10, 2012 conference Attached hereto as (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit)(js) Modified on 1/19/2012 (js).

January 18, 2012

Filing 186 OPPOSITION BRIEF re: #183 Order,,,,,,,, #181 Order,,,, RESPONSE TO HARDSHIP REQUEST. Document filed by Alberto William Vilar.(Shevitz, Vivian)

January 17, 2012

Filing 185 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Julian W. Friedman dated 1/12/12 re: I respectfully submit that the situation described above may change, so that an additional application for an emergency distribution may have to be made in the future. With specific regard to Mr. Heitkoenig, the support he has been giving to his relatives has stretched his own financial situation almost to the breaking point. If he does not get prompt access to the funds that he has tied up in ATGF and GFRDA, he may well face a situation in the next few months where he will be without funds himself. For that reason, and for all of the reasons expressed by other claimants counsel and myself at the hearing, I urge Your Honors to put in place a distribution mechanism that would provide for the prompt return to the ATGF and GFRDA investors the monies that everyone seems to agree really belong to them, and to which they have been denied access for over six years. Refer to 05 cr 621 (RJS).(jw)

January 17, 2012

Filing 184 CERTIFICATE OF SERVICE of Order served on Begos, Friedman, Aggerholm, Heitkonig, Hall and Wright on 1/17/12. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

January 13, 2012

Filing 183 ORDER: IT IS HEREBY ORDERED THAT the parties in each of the above-captioned cases, and each investor who has communicated with the Court regarding the asset distribution issue, shall submit to the Court in writing, and serve on all parties to these proceedings and the representatives of the investors who have thus far made written submissions to the Court in connection with either proceeding, any objections they may have to the proposed distribution mechanisms described in Attachments A and B, and the approach regarding illiquid assets that is described in Attachment C. Written submissions must include a detailed explanation of the nature of the party's objection and may include any counter-proposals or alternative suggestions. Written submissions may also identify individuals suggested for appointment as receiver, with appropriate curriculum vitae information. All submissions in response to this Order are to be directed to both Judge Sullivan and Judge Swain so as to be received no later than January 27, 2012. All submissions are to be captioned with both case titles and docket numbers and filed on the ECF system as responses to this Order, insofar as the filing party's representative is a registered ECF user for either case. Such submissions by non-ECF registered users must be served on all counsel, Mr. Tanaka, and Messrs. Patrick W. Begos, Julian W. Friedman, John Preetzmann Aggerholm, Alfred Heitkonig, Thomas J. Hall, and Timothy Wright. Courtesy copies must also be provided for the Chambersof each of the undersigned. The Clerk of Court is respectfully requested to docket this order in each of the above captioned cases and to mail a copy of the order to Mr. Gary Alan Tanaka. The SEC is directed to provide copies of this order to Patrick W. Begos, Esq., Julian W. Friedman, Esq., John Preetzmann Aggerholm, Esq., Mr. Alfred Heitkonig, Thomas J. Hall, Esq. and Timothy Wright, Esq. promptly by fax or similarly rapid mode of delivery. SO ORDERED. Refer to 05 cr 621 (RJS). (Signed by Judge Richard J. Sullivan on 1/13/12) (jw)

January 13, 2012

Transmission to Docket Assistant Clerk. Transmitted re: #183 Order to the Docket Assistant Clerk for case processing. (jw)

January 13, 2012

Mailed a copy of #183 Order, to Gary Alan Tanaka FCI Terminal Island P.O. Box 3007 San Pedro, CA 90731 by Certified Mail # 7003 0500 0000 0277 3767 with Return Receipt Requested. (eef)

January 13, 2012

Filing 182 CERTIFICATE OF SERVICE of Order served on Begos, Friedman, Preetzman, Heitkonig, Hall and Wright on January 13, 2012. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

January 13, 2012

Filing 181 ORDER: Pursuant to the discussions at the January 10, 2012 conference, IT IS ORDERED that the Government and the SEC shall disclose a comprehensive list of the investors, and any other potential claimants whom they have identified to date, to Defendants Vilar and Tanaka by January 20, 2012. Courtesy copies shall also be provided for the Chambers of each of the undersigned. IT IS FURTHER ORDERED that the Government promptly file its January 9, 2012 submission on the ECF system. The Clerk of Court is respectfully requested to docket this order in each of the above captioned cases and to mail a copy of the order to Mr. Gary Alan Tanaka. The SEC is directed to provide copies of this order to Patrick W. Begos, Esq., Julian W. Friedman, Esq., John Preetzmann Aggerholm, Esq., Mr. Alfred Heitkonig, Thomas J. Hall, Esq. and Timothy Wright, Esq. promptly by fax or similarly rapid mode of delivery. (Signed by Judge Laura Taylor Swain and Judge Richard J. Sullivan on 1/12/2012) Copies Mailed to Mr. Tanaka By Chambers. (lmb)

January 10, 2012

Minute Entry for proceedings held before Judge Laura Taylor Swain: Status Conference held on 1/10/2012. By the close of business 1/12/2012, counsel for victims Sayco and Marcus are to submit and serve their hardship distribution requests. By 1/18/2012, Messrs, Vilar and Tanaka are to submit and serve their objections to the hardship distribution requests of the Mayers in the amount of $1.8 million, and Mr. Heitkoenig's cousin in the amount of $50,000.00 and any other hardship requests made. By this Friday, the Court will issue a proposed interim distribution structure. (jfe)

January 9, 2012

Filing 180 Letter: addressed to Judge Laura Taylor Swain from Gary A. Tanaka dated 1/5/2012 re: Plaintiff Pro Se writes in hopes that the Court excepts this letter with added written comments to serve as participation. Plaintiff believes in reading his transcripts that information he has given was omitted. Document filed by Gary Alan Tanaka.(js)

January 9, 2012

Filing 179 ENDORSED LETTER: addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Thomas J. Hall dated 1/4/2012 re: Counsel for Robin Sayko requests permission to appear at and participate in the conference scheduled in the above matters for January 10, 2012 at 4:45 p.m. pursuant to the joint order signed by Your Honor dated December 19, 2011. ENDORSEMENT: The request is granted. So Ordered. (Signed by Judge Laura Taylor Swain on 1/6/2011) (js)

January 5, 2012

Filing 178 Letter addressed to Judge Laura Taylor Swain and Judge Richard J. Sullivan from Victoria B. Eiger dated 1/4/2012 re: We write in response to the letter submitted by the SEC dated December 30, 2011 and in advance of the conference scheduled for January 10, which will attend as appellate counsel or Mr. Tanaka in the criminal case. (rdz)

January 5, 2012

Filing 177 Letter addressed to Judge Laura Taylor Swain and Judge Richard J. Sullivan from Vivian Shevitz dated 12/31/2011 re: I write in connection with the Court's December 19, 2011 Orders to the parties in No. 05 cr. 621 and 05 civ. 5231, to make joint written submissions "setting forth a brief explanation of the value of the property referenced in the government's submissions in connection with its motion" for entry of a final order of forfeiture. (rdz)

January 5, 2012

Filing 176 Letter addressed to Judge Laura Taylor Swain and Judge Richard J. Sullivan from Sharon Cohen Levin dated 12/30/2011 re: The Government has obtained the current values of the assets listed in the Government's Proposed Final Order of Forfeiture submitted in the Criminal case referenced. (rdz)

January 5, 2012

Filing 175 Letter addressed to Judge Laura Taylor Swain and Judge Richard J. Sullivan from Neal Jacobson dated 12/30/2011 re: The Staff of the Securities and Exchange Commission ("S.C.") submits this letter in response to the Courts' December 19, 2011 Order directing the Sl C to describe any relevant assets not previously identified in the submission by the parties to the above-referenced criminal action and the status and anticipated timing of any plans, proposals or agreed mechanisms for distribution of all relevant assets. Document filed by Securities and Exchange Commission.(rdz)

January 4, 2012

Received Return Receipt of Mail Order by Certified Mail as to Mr. Julian W. Friedman, which was served by Certified Mail # 7003 0500 0000 0277 3330, on 12/23/11. (jab)

January 3, 2012

Received Return Receipt of Mail Order by Certified Mail as to Patrick W. Begos, at 327 Riverside Avenue, Westport Connecticut 06880, which was served by Certified Mail # 7003 0500 0000 0277 3354. (eef)

December 29, 2011

Received Return Receipt of #174 Order, Set Hearings, as to Gary Alan Tanaka (FCI Terminal Island, P.O. Box 3007, San Pedro, CA 90731), which was served by Certified Mail # 7003-0500-0000-0277-3323, on 12/29/2011. (bw)

December 19, 2011

Mailed a copy of #174 Order, Set Hearings, to Julian W. Friedman at 425 Park Ave. New York, NY 10022 by Certified Mail # 7003 0500 0000 0277 3330 with Return Receipt Requested. (eef)

December 19, 2011

Mailed a copy of #174 Order, Set Hearings, to Gary Alan Tanaka FCI Terminal Island P.O. Box 3007 San Pedro, CA 90731 by Certified Mail # 7003 0500 0000 0277 3323 with Return Receipt Requested. (eef)

December 19, 2011

Mailed a copy of #174 Order, Set Hearings, to Alfred Heitkonig, at P.O. Box 9024038 San Juan, PR 00902 by Certified Mail # 7003 0500 0000 0277 3347 with Return Receipt Requested. (eef)

December 19, 2011

Mailed a copy of #174 Order, Set Hearings, to Patrick W. Begos, at 327 Riverside Avenue, Westport Connecticut 06880 by Certified Mail # 7003 0500 0000 0277 3354 with Return Receipt Requested. (eef)

December 19, 2011

Mailed a copy of #174 Order, Set Hearings, to John Preetzmann Aggerholm, at 21 2ieme Ruelle Wilson (Pacot), Port-au-Prince Haiti by Certified Mail # 7003 0500 0000 0277 3361 with Return Receipt Requested. (eef)

December 19, 2011

Transmission to Docket Assistant Clerk. Transmitted re: #174 Order to the Docket Assistant Clerk for case processing. (ab)

December 19, 2011

Filing 174 ORDER: All parties shall appear for a joint conference on January 10, 2012 at 4:45 p.m. in Courtroom 11 C of the United States District Court for the Southern District of New York, 500 Pearl Street, New York, New York. The SEC must make arrangements for Mr. Tanaka's telephonic participation. The non parties who submitted the above-described letters are also invited to attend. The parties in No. 05 Cr. 621 shall make a joint written submission to the Court no later than December 30, 2011, setting forth a brief explanation of the value of the property referenced in the government's submissions in connection with its motion. The SEC in No. 05 Civ. 5231 shall make a written submission to the Court no later than December 30, 2011, setting forth a brief explanation of what, if any, further relevant assets have been identified, the value and current custody of such assets, and the status and anticipated timing of any plans, proposals or agreed mechanisms for distribution of any or all of the assets referenced in the criminal proceeding submission, or otherwise identified as relevant to forfeiture, restitution or compensation claims. The Clerk of Court is respectfully requested to docket this order in each of the above captioned cases. The Clerk of Court is further requested to mail copies of this order to Mr. Gary Alan Tanaka, Mr. Patrick W. Begos, Mr. Julian W. Friedman, Mr. John Preetzmann Aggerholm, and Mr. Alfred Heitkonig. (Status Conference set for 1/10/2012 at 04:45 PM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain ) (Signed by Judge Laura Taylor Swain and Judge Richard J. Sullivan on 12/19/2011) (ab)

December 5, 2011

Filing 173 Letter addressed to Judge Laura Taylor Swain from Alfred Heitkonig dated 11/30/2011 re: resolution and restitution of investment. (pl)

December 5, 2011

Filing 172 Letter addressed to Judge Laura Taylor Swain from John Preetzmann Aggerholm, Investor dated 11/28/2011 re: reimbursement of Amerindo Funds. (pl)

November 28, 2011

Filing 171 Letter addressed to Judge Richard J. Sullivan and Judge Laura Taylor Swain from Julian W. Friedman dated 11/22/2011 re: Counsel writes in response to the letter fated 11/18/2011 from Patrick Begos, counsel for the Meyers, to Your Honor. (jfe)

November 28, 2011

Filing 170 Letter addressed to Judge Laura Taylor Swain from Patrick W. Begos dated 11/18/2011 re: Counsel represents three victims of defendants' crimes, Lisa, Debra and Herbert Mayer. Alberto Vilar and Gary Tanaka stole more from the Mayers than from any other victims; of the $34,899,102.53 in restitution awarded in the criminal action, $18,306,984.53 - more than half - is payable to the Mayers. It appears that the various parties in interest agree on the concept of distributing $17,000,000 to victims and investors without waiting for a resolution of the criminal appeal. The problem, and the reason counsel writes is two-fold. (jfe)

October 21, 2011

Filing 168 TRANSCRIPT of Proceedings re: pretrial conference held on 9/23/2011 before Judge Laura Taylor Swain. Court Reporter/Transcriber: Shari Riemer, (518) 581-8973. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 11/14/2011. Redacted Transcript Deadline set for 11/24/2011. Release of Transcript Restriction set for 1/22/2012.(tro)

October 21, 2011

Filing 169 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a pretrial conference proceeding held on 9/23/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(tro)

September 26, 2011

Filing 167 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Patrick W. Begos dated 9/21/2011 re: Counsel of defendants request that the Court grant the same courtesies extended to Julian Friedman (counsel for Paul Marcus) and Eugene Hestres-Velez (counsel for Alfred Heitkoenig), and permit counsel to be placed on the service list and to address the Court on behalf of my clients. ENDORSEMENT: The SEC will provide copies of its submissions to the Mayers' counsel, and will also be contacting the Mayers' counsel regarding efforts to make a special, limited, distribution to victims. (Signed by Judge Laura Taylor Swain on 9/23/2011) (jfe)

September 23, 2011

Filing 166 Letter addressed to Judge Laura Taylor Swain from Patrick W. Begos dated 9/21/2011 re: Counsel requests that the Court grant them the same courtesies extended to Julian Friedman and Eugene Hestres-Velez, and permit them to be placed on the service list. (ft) (ft).

September 23, 2011

Filing 165 LETTER: addressed to Judge Laura Taylor Swain from Patrick W. Begos dated 9/21/2011 re: This firm represents three victims of defendants' crimes, Lisa, Debra and Herbert Mayer. Alberto Vilar and Gary Tanaka stole more from the Mayers than from any other victims; of the $34,899,102.53 in restitution awarded. $18,306,984.53- more than half- is payable to the Mayers. I respectfully request the Court to take prompt action "to obtain compliance with the order" of restitution, and to take such other action as the Court considers appropriate to punish defendants' defaults.(js)

September 23, 2011

Minute Entry for proceedings held before Judge Laura Taylor Swain: Status Conference held on 9/23/2011. The Court directs Mr. Tanaka to file a Notice of Appearance with the Court's Pro Se Office. (Status Conference set for 3/30/2012 at 02:00 PM before Judge Laura Taylor Swain.) (ft)

September 13, 2011

Filing 164 Letter addressed to Judge Laura Taylor Swain from Julian W. Friedman dated 9/13/2011 re: I am writing in response to the September 12, 2011 letter to Your Honor from Robert Lemwand, counsel for Alberto Vilar.(lmb)

September 13, 2011

Filing 163 Letter addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 9/9/2011 re: I have some comments prompted by the submission of two lists of possible Amerindo investors by Ms. Sharon Levin from the files of Amerindo for our meeting on the 14th of this month. I wish to emphasize that the Amerindo (U.K.) Pension Plan which is a U.K. pension plan for our U.K. employees, and the Amerindo Internet Fund, a $10 million Cayman Island fund, both formerly custodied at Bear Stearns with our other Panama offshore accounts should also not be forgotten from our agenda. Document filed by Securities and Exchange Commission.(lmb)

September 13, 2011

Filing 162 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 9/12/2011 re: Counsel requests that the status conference scheduled for 9/14/2011 at 2:30 p.m. be adjourned to a date which is convenient to all of the parties and their counsel. ENDORSEMENT: The conference is adjourned to September 23, 2011, at 2:15 p.m. The SEC must arrange for Mr. Tanaka's telephone participation. (Status Conference set for 9/23/2011 at 02:15 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 9/12/2011) (tro)

July 19, 2011

Filing 161 Letter addressed to Judge Laura Taylor Swain from Julian Friedman dated 7/14/11 re: 7/29 conference has already been adjourned to 9/14. (cd)

July 19, 2011

Filing 160 Letter addressed to Judge Laura Taylor Swain from Julian Friedman dated 7/14/11 re: Request that the 7/29 conference be held as scheduled and that the SEC request to adjourn the conference until 9/14 be denied. (cd)

July 6, 2011

Filing 159 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 7/5/11 re: counsel for plaintiff writes that Your Honor has scheduled a Status Conference for July 29, 2011. The staff, joined by Mr. Vilar's counsel, respectfully requests that Your Honor reschedule the Status conference until September 14, 2011, in order to provide time for the parties to continue the discussions referenced above. ENDORSEMENT: The conference is adjourned to September 14, 2011, at 2:30 p.m. The SEC must arrange for Mr. Tanaka., ( Status Conference set for 9/14/2011 at 02:30 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 7/5/11) (pl) Modified on 7/6/2011 (pl). Modified on 7/6/2011 (pl).

June 13, 2011

Filing 158 Letter addressed to Judge Laura T. Swain from Gary A. Tanaka dated 6/6/2011 re: I am taking this opportunity to address the Court on the eve of the scheduled court conference on the 15th, which I hope to be a participant by phone connection. The firm, my partner, and myself are interested in a speedy resolution of these proceedings and will continue to be dedicated and fully cooperative in that regard. Document filed by Gary Alan Tanaka.(mbe)

June 13, 2011

Filing 157 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 6/8/11 re: Requests that Your Honor reschedule the status conference scheduled for Wednesday, June 15, 2011 until July 29, 2011. ENDORSEMENT: The conference is adjourned to July 29, 2011, at 3:00 p.m. The SEC is directed to inform Mr. Tanaka of the adjournment; a copy of this memorandum endorsed order will be mailed to him by the Court. So ordered. (Conference set for 7/29/2011 at 03:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 6/13/11) Copies Mailed By Chambers. (rjm)

April 21, 2011

Filing 156 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Julian Friedman dated 4/21/11 re: Request to reschedule the 4/29/11 conference. ENDORSEMENT: The conference has been rescheduled to 6/15/11, at 2:00 pm. (Pretrial Conference reset for 6/15/2011 at 02:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 4/21/11) (cd) Modified on 5/3/2011 (tro).

April 21, 2011

Filing 155 Letter addressed to Judge Laura Taylor Swain from Julian Friedman dated 4/21/11 re: Request to withdraw the letter of today, that the 4/29 conference be held as scheduled. (cd)

April 21, 2011

Filing 154 Letter addressed to Judge Laura Taylor Swain from Julian W. Friedman dated 4/21/11 re: counsel for defendant writes in order to withdraw my earlier letter to Your Honor sent this afternoon requesting that the pre-trial conference scheduled for April 29 be held, rather than adjourned as requested in Mark Salzberg's letter to Your Honor of today's date. (pl) Modified on 4/22/2011 (pl).

April 21, 2011

Filing 153 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 4/21/11 re: Counsel requests that Your Honor reschedule the status conference scheduled for Friday, April 29, 2011 until the earlier of (a)the resolution of the investors' petitions and (b)June 15, 2011. ENDORSEMENT: The request is granted. The conference is rescheduled to June 15, 2011, at 2:00 p.m. (Status Conference set for 6/15/2011 at 02:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 4/21/11). (djc)

February 16, 2011

Filing 152 ENDORSED LETTER: addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 2/15/2011 re: Accordingly, the staff, joined by Mr. Vilar's counsel, respectfully requests that Your Honor reschedule the status conference scheduled for Friday, February 18, 2011 until the earlier of (a) the resolution of the invetors' petitions and (b) April 15, 2011. ENDORSEMENT: The request is granted. The conference is adjourned to April 29, 2011, at 11:30 a.m. If the investors' petitions are resolved earlier, counsel must inform the Court promptly and request an earlier conference date if appropriate. So Ordered. (Signed by Judge Laura Taylor Swain on 2/15/2011) (js)

December 10, 2010

Minute Entry for proceedings held before Judge Laura Taylor Swain: Status Conference held on 12/10/2010, ( Status Conference set for 2/18/2011 at 04:00 PM before Judge Laura Taylor Swain.). (mbe)

December 10, 2010

Filing 151 NOTICE OF APPEARANCE by Neal Ralph Jacobson on behalf of Securities and Exchange Commission (Jacobson, Neal)

December 9, 2010

Filing 150 ORDER: The Court has received the attached letter, dated December 8, 2010, from Alfred C. Heitkonig, a client of Defendants Alberto W. Vilar and Gary Tanaka, requesting permission to attend tomorrow's conference in the above-captioned matter. Mr. Heitkonig's request to attend the conference is granted and the issues raised in his letter may be discussed at the conference. (Signed by Judge Laura Taylor Swain on 12/9/2010) (lnl)

December 9, 2010

Filing 149 NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Kevin N. Fox. Please note that this is a reassignment of the designation only. (sjo)

November 19, 2010

Filing 148 ENDORSED LETTER addressed to Judge Laura T. Swain from Mark D. Salzberg dated 11/17/10 re: Counsel for the plaintiff, joined by counsel for defendant Alberto Vilar, respectfully requests that the status conference remain on December 10, 2010 at 4:00 p.m. ENDORSEMENT: The conference will go forward on December 10, 2010, at 4:00 p.m. (Signed by Judge Laura Taylor Swain on 11/19/10) (mro)

October 19, 2010

Filing 147 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 10/18/2010 re: Requesting that the Court reschedule the status conference to the earlier of (a) Judge Sullivan issuing a ruling to the issues set forth in the Order and (b) December 10, 2010. ENDORSEMENT: The request is granted. The conference is adjourned to December 10, 2010 at 4:00 pm. The SEC must provide a copy of this order to defendant Tanaka and make arrangements for his telephonic participation. If Judge Sullivan's decision is rendered before that date, the parties must contact chambers to reschedule the conference. (Signed by Judge Laura Taylor Swain on 10/19/2010) (jpo) Modified on 11/2/2010 (jpo).

September 15, 2010

Filing 146 ORDER: The Court has received a letter dated August 23, 2010, from defendant Gary Tanaka indicating his preparation to assume self-representation and requesting the appointment of counsel. The Court construes Mr. Tanaka's letter as an appearance pro se, and will hold in abeyance his request for counsel pending the upcoming conference in this matter, currently scheduled forOctober 22, 2010. The Court has also received a letter dated August 31, 2010, from Fox Rothschild LLP, Mr. Tanaka's former counsel, which refers to a response to the SEC's Amended Complaint "sent... to the Court" unbeknownst to them by Mr. Tanaka. The Court has not received, nor does the docket reflect, the filing of a response by Mr. Tanaka. Mr. Tanaka is hereby directed to promptly file with the Court (by way of the Pro Se Office) and serve on the SEC and counsel for Alberto Vilar his response to the SEC's Amended Complaint. The SEC is directed to arrange with the Terminal Island Federal CorrectionalInstitution for Mr. Tanaka's telephonic participation in the October 22,2010, conference. (Signed by Judge Laura Taylor Swain on 9/15/10) Copies Mailed By Chambers. (db)

July 21, 2010

Filing 145 ENDORSED LETTER addressed to Judge Laura T. Swain from Mark D. Salzberg dated 7/19/2010 re: Counsel respectfully request that Your Honor reschedule the states conference in this action after defendant Tanaka has filed an answer to the amended complaint. ENDORSEMENT: The conference is adjourned to October 22, 2010, at 10:00 a.m. So Ordered. (Signed by Judge Laura Taylor Swain on 7/20/2010) (jfe)

July 15, 2010

Filing 144 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Julian W. Friedman dated 7/13/2010 re: I am writing in order to request Your Honor's permission to participate in the pretrial conference in the above matter that I understand is scheduled for July 23 at 3:30 p.m. ENDORSEMENT: The request is granted. SO ORDERED. (Signed by Judge Laura Taylor Swain on 7/14/2010) Copies Fax By Chambers to Julian Friedman.(jmi)

July 15, 2010

Filing 143 ORDER granting #130 Motion to Withdraw as Attorney. Attorney Eugene R. Licker terminated; #132 Motion to Seal Document. The Court has considered the facts proffered by Eugene R. Licker in support of his June 4, 2010, motion to withdraw as counsel for Defendant Amerindo Investment Advisors Inc. ("Amerindo"). Having found Mr. Licker's withdrawal motion to be warranted, it is hereby granted. The Court has also considered Mr. Licker's motions for sealed filing of his June 4, 2010, declaration and for a stay of proceedings in the above-captioned matter. In assessing the request for a stay, the Court has considered the Plaintiffs interest in expeditious adjudication and the prejudice to Plaintiff that a delay would create, the interests of and burdens on defendants, the interests of the courts, the interests of persons not parties to the present litigation, and the interest of the public at large. The Court concludes that, in light of the public interest in resolution of this matter and the lack of any prospect of a stay impacting Amerindo's ability to litigate the matter actively, a stay is unwarranted. The Plaintiff will, of course, have to meet its burden of proof on any application for relief. Because Mr, Licker's June 4,2010, declaration in support of the motion to withdraw as attorney of record and to stay the proceedings as to Amerindo is a "judicial document" to which the common law recognizes a right of public access, see Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 119 (2d Cir. 2006), and Mr. Licker has failed to show that the interests to be protected by sealing outweigh the importance of the presumption of public access, his declaration will be filed in the public docket. This order resolves docket entries 130 and 132. SO ORDERED. (Signed by Judge Laura Taylor Swain on 7/14/2010) (jmi)

July 12, 2010

Filing 142 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Ernest Edward Badway dated 7/9/10 re: We are requesting a 45 day adjournment of defendant Tanaka's time to answer the SEC's Amended Complaint until August 30, 2010. ENDORSEMENT: The request is granted., Gary Alan Tanaka answer due 8/30/2010. (Signed by Judge Laura Taylor Swain on 7/9/10) (rjm)

July 8, 2010

Filing 141 DECLARATION of Eugene Licker in Support re: #132 MOTION to Seal Document #131 Declaration in Support of Motion.. Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

July 7, 2010

Filing 140 DECLARATION of Mark D. Salzberg in Opposition re: #132 MOTION to Seal Document #131 Declaration in Support of Motion.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

July 7, 2010

Filing 139 MEMORANDUM OF LAW in Opposition re: #132 MOTION to Seal Document #131 Declaration in Support of Motion.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

June 28, 2010

Filing 138 ENDORSED LETTER addressed to Judge Laura T. Swain from Mark D. Salzberg dated 6/18/2010 re: Counsel for the SEC writes to seek an extension of time to file their opposition to two of the motions filed on 6/4/2010 by counsel to Amerindo Investment Advisors Inc. The Commission seeks an extension until 7/7/2010 to oppose both motions. Mr. Licker's reply would then be due on 7/17/2010. ENDORSEMENT: The requested extensions are granted. SO ORDERED. (Signed by Judge Laura Taylor Swain on 6/28/2010) (tve)

June 28, 2010

Filing 137 ORDER: In light of this right of public access, counsel for Defendant Amerindo Investment Advisors, Inc. is hereby directed to provide to the Court a supplemental submission, due no later than July 12, 2010, justifying its request to file its June 4, 2010, declaration in support of its motion to withdraw as counsel under seal. SO ORDERED. (Signed by Judge Laura Taylor Swain on 6/28/2010) (tve)

June 28, 2010

Filing 136 LETTER addressed to Judge Laura T. Swain from Eugene R. Licker dated 6/15/2010 re: Counsel for Amerindo Investment Advisors, Inc. writes to confirm that on 6/4/2010 counsel served the documents further set forth in this letter, by e-mail, on counsel for the SEC, on counsel for Mr. Vilar, and on Mr. Tanaka in care for Ms. Elger. (tve)

June 14, 2010

Filing 135 ORDER In light of the extension of defendant Gary Tanaka's deadline to respond to the complaint in the above-captioned matter through July 16, 2010, the conference currently scheduled for Wednesday, June 16, 2010, is hereby rescheduled to Friday, July 23, 2010, at 3:30 p.m. SO ORDERED. ( Pretrial Conference set for 7/23/2010 at 03:30 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 6/14/2010) (jmi)

June 11, 2010

Filing 134 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert J. A. Zito dated 6/10/2010 re: I write to respectfully request another extension until July 16 for the Defendants Amelindo Technology Growth Fund, Inc., Amelindo Technology Growth Fund II, Inc. and Techno Raquia, S.A. (collectively, the "Funds") to answer, move or otherwise plead in connection with the above action. ENDORSEMENT: The request is granted. SO ORDERED. Amerindo Technology Growth Fund II, Inc. answer due 6/16/2010; Techno Raquia, S.A. answer due 6/16/2010. (Signed by Judge Laura Taylor Swain on 6/11/2010) (jmi)

June 4, 2010

Filing 133 MEMORANDUM OF LAW in Support re: #132 MOTION to Seal Document #131 Declaration in Support of Motion.. Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

June 4, 2010

Filing 132 MOTION to Seal Document #131 Declaration in Support of Motion. Document filed by Amerindo Investment Advisors Inc.. (Attachments: #1 Proposed Order)(Licker, Eugene)

June 4, 2010

Filing 131 DECLARATION of Eugene R. Licker in Support re: #130 MOTION for Eugene R. Licker to Withdraw as Attorney.. Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

June 4, 2010

Filing 130 MOTION for Eugene R. Licker to Withdraw as Attorney. Document filed by Amerindo Investment Advisors Inc..(Licker, Eugene)

May 28, 2010

Filing 129 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Victoria Eiger dated 5/19/10 re: Request that all correspondence or filings related to the civil case be directed to Gary Tanaka, C/O Dershowitz, Eiger & Adelson, PC, 220 Fifth Avenue, Ste 300, NY NY, 10001. ENDORSEMENT: So Ordered. (Signed by Judge Laura Taylor Swain on 5/28/10) (cd)

May 13, 2010

Filing 128 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 5/13/2010 re: Counsel for the plaintiff S.E.C. write in receipt of Mr. Tanaka's letter, dated 5/10/2010, requesting that the deadline to appear for an additional sixty days to allow him to retain legal representation, as well as Your Order, dated 5/11/2010. The Commission does not oppose his request for an extension as set forth in this letter. ENDORSEMENT: Defendant Tanaka's time to respond to the complaint is extended through July 16, 2010. Gary Alan Tanaka answer due 7/16/2010. (Signed by Judge Laura Taylor Swain on 5/13/2010) Copies Mailed By Chambers.(tro)

May 11, 2010

Filing 127 ORDER: The Court is in receipt of a May 10, 2010, letter from Mr. Tanaka, a copy of which is attached hereto, requesting that the Court extend the deadline to appear for an additional 60 days to allow Mr. Tanaka to retain legal representation. The Securities and Exchange Commission is hereby directed to serve and file a response to Mr. Tanaka's request, with a courtesy copy sent to Chambers, by May 14, 2010. SO ORDERED. (Signed by Judge Laura Taylor Swain on 5/11/2010) (tve)

May 10, 2010

Filing 126 ENDORSED LETTER: addressed to Judge Laura Taylor Swain from Eugene R. Licker dated 5/10/2010 re: Counsel for defendant request that Amerindo U.S. be given additional time to respond to the complaint. ENDORSEMENT: The request is granted. No further extensions. The parties are expected to communicate and negotiate candidly and in good faith. So Ordered. (Signed by Judge Laura Taylor Swain on 5/10/2010) (js)

May 10, 2010

Filing 125 ANSWER to Amended Complaint. Document filed by Alberto William Vilar. Related document: #44 Amended Complaint, filed by Securities and Exchange Commission.(Burger, David)

May 10, 2010

Filing 124 ENDORSED LETTER: addressed to Judge Laura Taylor Swain from Robert J.A. Zito dated 5/7/2010 re: Carter Ledyard and Milburn LLP. requests an extension until June 10 for the defendants Amerindo Technology Growth Fund, Inc. Amerindo Technology Growth Fund II, Inc. and Techno Raquia, S.A. to answer, move or otherwise plead in connection with the above action. May 10 is the current deadline. ENDORSEMENT: The request is granted. So Ordered. (Signed by Judge Laura Taylor Swain on 5/7/2010) (js)

May 10, 2010

Set Deadlines/Hearings:Amerindo Technology Growth Fund, Inc. answer due 6/10/2010; Amerindo Technology Growth Fund II, Inc. answer due 6/10/2010; Techno Raquia, S.A. answer due 6/10/2010. (js)

April 15, 2010

Filing 123 ORDER that sentencing in the related criminal case having been completed, it is hereby ordered that Defendants respond to the Amended Complaint by 5/10/10. Mr. Tanaka must also enter a notice of appearance by new counsel or appear by pro se by 5/10/10. Mr. Tanaka is hereby notified that failure to file a notice of appearance by 5/10/10, may result in judgment against him by default, and as further set forth in this document. Amerindo Investment Advisors, Inc. (Panama) answer due 5/10/2010; Amerindo Advisors UK Limited answer due 5/10/2010; Amerindo Management Inc. answer due 5/10/2010; Amerindo Technology Growth Fund, Inc. answer due 5/10/2010; Amerindo Technology Growth Fund II, Inc. answer due 5/10/2010; Techno Raquia, S.A. answer due 5/10/2010; Amerindo Investment Advisors Inc. answer due 5/10/2010; Alberto William Vilar answer due 5/10/2010; Gary Alan Tanaka answer due 5/10/2010. (Signed by Judge Laura Taylor Swain on 4/15/10) (cd)

April 7, 2010

Filing 122 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert Leinwand dated 4/2/10 re: counsel for defendant writes that we believe that nothing substantial would be accomplished at the Pre-Trial Conference, and accordingly, request that the Pre-Trial Conference presently scheduled for April 9, 2010 be continued for approximately sixty (60) days. ENDORSEMENT: the conference is adjourned to June 16, 2010 at 4:30 pm. (Signed by Judge Laura Taylor Swain on 4/7/10) (pl)

March 4, 2010

Filing 121 WITHDRAWAL OF NOTICE OF APPEARANCE OF GLENN C. COLTON on behalf of Defendant Gary Alan Tanaka, because he is no longer affiliated with the firm Wilson Sonsini Goodrich & Rosati. (Signed by Judge Laura Taylor Swain on 3/4/10) (cd)

February 23, 2010

Filing 120 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 2/22/10 re: counsel for plaintiff Securities and Exchange Commission (the "Commission") respectfully request that the Status Conference in this action be rescheduled to the earlier of (a) one week after Judge Sullivan issues an Order concerning restitution and forfeiture in the criminal action: or (b) April 9, 2010. ENDORSEMENT: the counsel is adjourned to April 9, 2010, at 3:15 pm. The parties must notify the Court promptly if Judge Sullivan rules on the restitution issue a before that date. (Signed by Judge Laura Taylor Swain on 2/22/10) (pl)

February 17, 2010

Filing 119 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 2/16/2010 re: Vilar respectfully requests that the date for the filing of his response to the Complaint be further adjourned to February 26, 2010, which is the date that this Court scheduled for a Status Conference. ENDORSEMENT: The request is granted. SO ORDERED. Alberto William Vilar answer due 2/26/2010. (Signed by Judge Laura Taylor Swain on 2/17/2010) (jmi)

December 15, 2009

Filing 118 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 12/10/09 re: Vilar requests that the date for the filing of his response to the Complaint be further adjourned. ENDORSEMENT: The foregoing requests are granted. The conference is adjourned to 2/26/10 at 10., Alberto William Vilar answer due 2/15/2010.( Status Conference set for 2/26/2010 at 10:00 AM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 12/15/09) (sac)

October 28, 2009

***DELETED DOCUMENT. Deleted document number #130 order. The document was incorrectly filed in this case. (cd)

October 8, 2009

Filing 117 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 10/5/2009 re: Requesting that the date for the filing of his response to the the Complaint be further adjourned to the earlier of ten days after his sentencing in the criminal proceeding or December 15, 2009 and requesting that the date for status conference be adjourned to a date the Court's convenience after December 15, 2009. ENDORSEMENT: The foregoing requests are granted. The conference is adjourned to December 17, 2009 at 12:00 p.m. noon. (Signed by Judge Laura Taylor Swain on 10/8/2009) (jpo)

September 28, 2009

Filing 116 ORDER The Status Conference scheduled for October 22, 2009, is rescheduled for October 22, 2009, at 5:00 p.m. in Courtroom 11C. ( Status Conference set for 10/22/2009 at 05:00 PM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 9/28/2009) (jmi)

September 28, 2009

Filing 115 ORDER: The Status Conference scheduled for October 22, 2009, is rescheduled for October 22, 2009, at 5:00 p.m., in Courtroom 11C. (Signed by Judge Laura Taylor Swain on 9/28/2009) (jfe)

September 10, 2009

Filing 114 CERTIFICATE OF SERVICE served on Gary Alan Tanaka on 9/10/2009. Document filed by Gary Alan Tanaka. (Margolis, Jessica)

September 9, 2009

Filing 113 ORDER, the Court has received the motion of Wilson Sonsini Goodrich & Rosati, P.C.'s ("Wilson Sonsini"), specifically Jessica L. Margolis, to withdraw as counsel of record for Defendant Gary Alan Tanaka in the above-captioned action, as well as the documents submitted in support of that motion. Wilson Sonsini is directed to serve a copy of this order on Defendant Tanaka and Wilson Sonsini's motion to withdraw is granted, effective upon Wilson Sonsini's filing of proof of service of this Order on Defendant Tanaka. Defendant Tanaka is directed to file a notice of appearance pro se, or by new counsel, by October 16, 2009. Information regarding appearances pro se may be obtained from the Court's Pro Se Office located in Room 230,500 Pearl Street, New York, New York 10007, (212) 805-0175. (Signed by Judge Laura Taylor Swain on 9/9/09) (pl)

August 20, 2009

Filing 112 DECLARATION of Jessica L. Margolis in Support re: #111 MOTION for Jessica L. Margolis to Withdraw as Attorney.. Document filed by Gary Alan Tanaka. (Attachments: #1 Exhibit A)(Margolis, Jessica)

August 20, 2009

Filing 111 MOTION for Jessica L. Margolis to Withdraw as Attorney. Document filed by Gary Alan Tanaka.(Margolis, Jessica)

August 14, 2009

Filing 110 ORDER denying #108 Motion to Withdraw as Attorney.. The motion of Jessica L. Margollis and Wilson Sonsini Goodrich & Rosati to withdraw as counsel of record for Defendant Gary Alan Tanaka in the above-captioned action is denied without prejudice to renewal of the motion in accordance with the undersigned's individual practice rule 2(D), specifically the requirement of an affidavit of the applicant attorney's client confirming consent to the withdrawal or proof of service of the motion on the client. (Signed by Judge Laura Taylor Swain on 8/14/09) (tro)

August 13, 2009

Filing 109 DECLARATION of Jessica L. Margolis in Support re: #108 MOTION for Jessica L. Margolis to Withdraw as Attorney.. Document filed by Gary Alan Tanaka. (Margolis, Jessica)

August 13, 2009

Filing 108 MOTION for Jessica L. Margolis to Withdraw as Attorney. Document filed by Gary Alan Tanaka.(Margolis, Jessica)

August 12, 2009

Set/Reset Deadlines: Alberto William Vilar answer due 10/15/2009. (jmi)

August 12, 2009

Filing 107 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated August 11, 2009 re: My firm represents defendant Alberto Vilar ("Vilar") in the above-noted action. Vilar respectfully requests that the date for the filing of his response to the Complaint be further adjourned to the earlier often days after his sentencing in the criminal proceeding or October 15, 2009. ENDORSEMENT: The request is granted. The Conference is adjourned to October 22, 2009 at 3:00 p.m. SO ORDERED. ( Status Conference set for 10/22/2009 at 03:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 8/12/2009) (jmi)

June 30, 2009

Filing 106 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 6/29/2009 re: Counsel respectfully request that the control date for the status conference be adjourned to a date at the Court's convenience after August 15, 2009. ENDORSEMENT: The requests are granted. The conference is adjourned to September 4, 2009 at 2:30 p.m. So Ordered. (Signed by Judge Laura Taylor Swain on 6/30/2009) (jfe)

April 20, 2009

Filing 105 MARSHAL'S PROCESS RECEIPT AND RETURN OF SERVICE EXECUTED Supoena served on Alberto W. Vilar on 4/1/09. Service was accepted by Albero W. Vilar. Document filed by Securities and Exchange Commission. (mro)

April 17, 2009

Filing 104 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 4/15/09 re: In light of the postponement of the sentencing and the extension of time for the Defendant to respond to the Complaint, Vilar respectfully requests that the date for the presentation of a Joint Statement be adjourned to two (2) weeks subsequent to the date the Response to the Complaint is due, and that the Status Conference be adjourned to a date thereafter at the Court's convenience. ENDORSEMENT: The request is granted. The conference is adjourned to a control date of July 31, 2009, at 2:00 pm. (Signed by Judge Laura Taylor Swain on 4/16/09) (tro)

April 3, 2009

Filing 103 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 4/1/09 re: Counsel requests that the date for the filing of his response to the complaint be adjourned to the earlier of ten days after his sentencing in the criminal proceeding or July 1, 2009. ENDORSEMENT: The request is granted in light of the postponement of the sentencing. (Signed by Judge Laura Taylor Swain on 4/3/09) (mme)

February 3, 2009

Filing 102 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 2/2/2009 re: Counsel writes to respectfully request that the parties be permitted to simultaneously seek business record certifications pursuant to Fed. R. Evid. 902(11) and (12) from producing parties at the time oftheir respective productions. ENDORSEMENT: Such certification requests would be consistent with the terms of the Minute Entry Order. So Ordered. (Signed by Judge Laura Taylor Swain on 2/2/2009) (jfe)

January 9, 2009

Filing 101 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Eugene R. Licker dated 1/7/09. re: We represent Amerlndo Investment Advisors Inc. In the above-captioned malter. This will confirm my representation in open court today that given the continuation of the stay in the matter, Loeb wishes at this time to withdraw its motion for leave to withdraw as counsel. The withdrawal of the motion is without prejudice to renewing the motion at a later date. Since it islikely that the motion will be renewed at a later date, we would appreciate your Honor's ruling on our request (made by letter to your Honor dated January 5, 2009) to file the declaration in support of such a motion under seal. Of course, should your Honor prefer, we can renew that application at a later date as well. ENDORSEMENT: The motion is withdrawn without prejudice and docket entry 98 is terminated. The factual declaration for any renewed motion may be filed under seal. So Ordered. (Signed by Judge Laura Taylor Swain on 1/8/09) (js)

January 7, 2009

Minute Entry for proceedings held before Judge Laura Taylor Swain: Status Conference held on 1/7/2009. The Court orders that the stay of this action is continued until the sentencing in the criminal proceedings. Defendants must respond to the complaint by 4/10/09. Paper discovery may proceed as against third parties on notice to the parties in this action. (mro)

January 6, 2009

Filing 100 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Eugene R. Licker dated 1/5/2009 re: Counsel respectfully request that the Court allow Leob to file under seal the declaration supporting its motion to withdraw as counsel. ENDORSEMENT: The request is granted. The declaration may be filed under seal and will be maintained under seal pending further order of the Court. A courtesy copy must be provided for Chambers. So Ordered. (Signed by Judge Laura Taylor Swain on 1/6/2009) (jfe)

January 6, 2009

Filing 99 DECLARATION of Eugene R. Licker in Support re: #98 MOTION for Eugene R. Licker to Withdraw as Attorney.. Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

January 6, 2009

Filing 98 MOTION for Eugene R. Licker to Withdraw as Attorney. Document filed by Amerindo Investment Advisors Inc.. (Attachments: #1 Text of Proposed Order)(Licker, Eugene)

November 20, 2008

Filing 97 ORDER: In light of the conclusion of the trial in the parallel criminal case (United States v. Vilar, 05 Cr. 621 (RJS)), a status conference will be held in the above-captioned action on Wednesday, January 7, 2009 at 12:30 p.m. The parties are directed to consult in advance of the conference and to submit to the Court in writing, to be received at least one week before the conference, a proposed deadline for a response or responses to the complaint and any further information that the parties believe the Court should consider in setting a schedule in this action. (Status Conference set for 1/7/2009 at 12:30 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 11/20/08) (db)

June 13, 2007

Filing 96 NOTICE OF APPEARANCE by William Joseph Davis on behalf of Alberto William Vilar (Davis, William)

March 6, 2007

Filing 95 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 3/5/07 re: Request that the Court schedule the Court conference and deadline for the defendants to respond to the amended complaint following its receipt of the aforementioned letter. ENDORSEMENT: The March 16, 2007 conference date and the deadline for defendants Vilar, Tanaka and Amerindo US to respond to the Amended Complaint are adjourned pending further order of the Court. (Signed by Judge Laura Taylor Swain on 3/5/07) (js)

March 6, 2007

Filing 94 CERTIFICATE OF SERVICE of Memo Endorsed Letter on March 6, 2007. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

October 13, 2006

Filing 93 ENDORSED LETTER addressed to Judge Swain from Mark D. Salzberg dated 10/12/06 re: named parties requests that the Court adjourn the Nov. 30, 2006 conference in this action to a date on or about March 5, 2007 and requests an extension of the December 14, 2006 deadline to respond to amended complaint; The requests are granted. The conference is adjourned to March 9, 2007 at 10:25 a.m. Defendants Vilar, Taraka and Amerindo have until March 16, 2007 to respond to the amended complaint. (Signed by Judge Laura Taylor Swain on 10/12/06) (djc, ) Modified on 10/16/2006 (djc, ).

October 13, 2006

Set Answer Due Date purs. to #93 Endorsed Letter,, as to Alberto William Vilar answer due on 3/16/2007; Gary Alan Tanaka answer due on 3/16/2007. (djc, )

October 13, 2006

Filing 92 CERTIFICATE OF SERVICE of Memo Endorsed Letter on October 13, 2006. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

May 26, 2006

Filing 91 CERTIFICATE OF SERVICE of Memo Endorsement on May 26, 2006. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

May 26, 2006

Filing 90 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 5/26/06 re: The requests are GRANTED. The conference is adjourned to 12/1/06 at 10:30 a.m. in Courtroom 17C. (Signed by Judge Laura Taylor Swain on 5/26/06) (db, )

May 26, 2006

Set/Reset Hearings: Pretrial Conference set for 12/1/2006 10:30 AM before Judge Laura Taylor Swain. (db, )

April 6, 2006

Filing 89 LETTER addressed to Judge Laura Taylor Swain from Robert R. Leinwand dated 3/23/06 re: Paul G. Gizzi's 3/20/06 letter. Document filed by Alberto William Vilar.(db, )

April 6, 2006

Filing 88 LETTER addressed to Laura Taylor Swain from Glenn C. Colton dated 3/31/06 re: response to the SEC's Proposed Order discharging Robert N. Knuts, Esq.. Document filed by Gary Alan Tanaka.(db, )

April 6, 2006

Filing 87 LETTER addressed to Judge Laura Taylor Swain from Eugene R. Licker dated 3/23/06 re: response to 3/20/06 letter of Paul Gizzi, Esq.. Document filed by Amerindo Investment Advisors Inc.(db, )

April 6, 2006

Filing 86 CERTIFICATE of Counsel by Paul Gerard Gizzi on behalf of Securities and Exchange Commission. of Service of the Court's Memo Endorsed Order dated April 6, 2006 (Gizzi, Paul)

April 6, 2006

Filing 85 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Paul G. Gizzi dated 4/4/06 re: having reviewed all of the parties correspondence concerning Plaintiff's proposed order, the Court has deleted paragraph IV and entered the remaining provisions of the order. This determination is without prejudice to any future motion by plaintiff for relief similar to that contemplated in paragraph IV. (Signed by Judge Laura Taylor Swain on 4/5/06) (pl, )

April 6, 2006

Filing 84 ORDER; that Robert N. Knuts, Esq. is discharged as monitor for Amerindo Investment Advisors, Inc. (Signed by Judge Laura Taylor Swain on 5/2/06) (pl, )

April 5, 2006

Filing 83 NOTICE of Of request to file brief response (attached) to personal matters contained in SEC's April 4, 2005 letter re: #82 Notice (Other), Notice (Other). Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

April 4, 2006

Filing 82 NOTICE of Plaintiff's Reply to Opposition to [Plaintiff's Proposed] Order Discharging Robert N. Knuts, Esq. As Monitor For Amerindo Investment Advisors Inc. re: #76 Notice (Other). Document filed by Securities and Exchange Commission. (Gizzi, Paul)

March 31, 2006

Filing 81 NOTICE of Letter in Response to the SEC's Proposed Order Discharging Robert Knuts re: #76 Notice (Other). Document filed by Gary Alan Tanaka. (Colton, Glenn)

March 28, 2006

Filing 80 CERTIFICATE of Counsel by Paul Gerard Gizzi on behalf of Securities and Exchange Commission. Re: #79 Endorsed Letter,. Service of the Court's Memo Endorsed Order Dated March 27, 2006 (Gizzi, Paul)

March 27, 2006

Filing 79 ENDORSED LETTER addressed to Judge Laura T. Swain from Paul G. Gizzi dated 3/20/06 re: Counsel for the Commission submits this letter [plaintiff's proposed] Order discharging Robert N. Knuts, Esq. as monitor for Amerindo Investment Advisors Inc.. Any objection to entry of the revised proposed order that was submitted by the SEC under cover of this 3/20/06 letter shall be filed and served by 4/5/06. So Ordered. (Signed by Judge Laura Taylor Swain on 3/27/06) (jco, )

March 24, 2006

Filing 78 NOTICE of Response to SEC Notice of Proposed Order (item #76) (this letter is dated March 23 but could not be e-filed on that date due to technical difficulties) re: #76 Notice (Other). Document filed by Amerindo Investment Advisors Inc.. (Licker, Eugene)

March 23, 2006

Filing 77 NOTICE of Notice of Opposition to Notice of Proposed Order Discharging Robert N. Knuts as Monitor re: #76 Notice (Other). Document filed by Alberto William Vilar. (Leinwand, Robert)

March 20, 2006

Filing 76 NOTICE of Filing [Plaintiff's Proposed] Order Discharging Robert N. Knuts, Esq. As Monitor For Amerindo Investment Advisors Inc. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

January 19, 2006

Filing 75 RETURN OF LETTERS ROGATORY as to Michael Cunningham from Securities and Exchange Commission.(sac, )

January 19, 2006

Filing 74 RETURN OF LETTERS ROGATORY as to Amerindo Investment Advisors UK Limited from Securities and Exchange Commission.(sac, )

January 13, 2006

Filing 73 ORDER: The Monitor's Fee Application dated December 29,2005 is GRANTED;Defedant Amerindo Investment Advisors Inc. shall pay forthwith the sum of $35,975.99 to Day, Berry & Howard LLP. (Signed by Judge Laura Taylor Swain on 1/13/2006) (jmi, )

December 29, 2005

Filing 69 CERTIFICATE OF SERVICE of Declaration and Fee Application of Robert Knuts, Monitor for Amerindo Investment Advisors Inc. served on Kay Lackey, Esq., Eugene R. Licker, Esq., Robert R. Leinwand, Esq., Glenn C. Colton, Esq. on 12/29/05. Service was made by Mail. Document filed by Robert Knuts. (Knuts, Robert)

December 29, 2005

Filing 68 MOTION for Attorney Fees Declaration and Fee Application of Robert Knuts, Monitor for Amerindo Investment Advisors Inc.. Document filed by Robert Knuts. (Attachments: #1 Exhibit Invoice#2 Exhibit Proposed Order)(Knuts, Robert)

December 13, 2005

Filing 67 ORDER that the Dept of Justice's motion to intervene is granted. Discovery is stayed pending further order of the court, and defts' time to respond to the Amended Complaint is hereby extended to 5/31/06. The next conf in this matter will be held on 6/7/06, at 2:30 pm. (Signed by Judge Laura Taylor Swain on 12/13/05) (cd, )

December 12, 2005

Filing 66 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Mark D. Salzberg dated 12/6/05 re: the service is recognized, nunc pro tunc, as considered as compliant with the Court's 11/15/05. (Signed by Judge Laura Taylor Swain on 12/9/05) (db, )

December 12, 2005

Filing 65 ORDER granting #37 Motion for Attorney Fees. Defendant Amerindo Investment Advisers Inc. shall pay forthwith the sum of $66,634.68 to Day Berry & Howard LLP. (Signed by Judge Laura Taylor Swain on 12/9/05) (db, )

December 9, 2005

Filing 72 AFFIRMATION of Marc Litt in Support re: 70 MOTION to Intervene. Document filed by Securities and Exchange Commission. (db, )

December 9, 2005

Filing 71 MEMORANDUM OF LAW in Support re: 70 MOTION to Intervene. Document filed by Securities and Exchange Commission. (db, )

December 9, 2005

Filing 70 MOTION to Intervene and for a Stay of Discovery. Document filed by Securities and Exchange Commission. (db, )

December 9, 2005

Minute Entry for proceedings held before Judge Laura Taylor Swain : Initial Pretrial Conference held on 12/9/2005. DOJ's application to intervene granted - discovery stayed pending further order of the Court and defendant's time to respond to the amended complaint is extended to 5/31/06. (sac, )

December 7, 2005

Filing 64 ACKNOWLEDGMENT OF SERVICE of Amended Complaint served on Gary Alan Tanaka (via Glenn C. Colton) on November 18, 2005. Service was made by Mail. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 63 ACKNOWLEDGMENT OF SERVICE of Amended Complaint served on Alberto W. Vilar (via Robert Leinwand) on November 18, 2005. Service was made by Mail. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 62 ACKNOWLEDGMENT OF SERVICE of Amended Complaint served on Amerindo Investment Advisors Inc. on November 18, 2005. Service was made by Mail. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 61 AFFIDAVIT OF SERVICE of Amended Complaint served on Techno Raquia, S.A. on November 30, 2005. Service was accepted by Alberto W. Vilar, Treasurer. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 60 AFFIDAVIT OF SERVICE of Amended Complaint served on Techno Raquia, S.A. on November 22, 2005. Service was accepted by Gary Alan Tanaka, Assistant Treasurer. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 59 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Technology Growth Fund II, Inc. on November 30, 2005. Service was accepted by Alberto W. Vilar, President. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 58 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Technology Growth Fund II, Inc. on November 22, 2005. Service was accepted by Gary Alan Tanaka, Secretary. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 57 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Technology Growth Fund, Inc. on November 30, 2005. Service was accepted by Alberto W. Vilar, President. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 56 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Technology Growth Fund, Inc. on November 22, 2005. Service was accepted by Gary Alan Tanaka, Secretary. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 55 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Management Inc. on November 30, 2005. Service was accepted by Alberto W. Vilar. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 54 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Management Inc. on November 22, 2005. Service was accepted by Gary Alan Tanaka. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 53 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Advisors UK Limited on November 30, 2005. Service was accepted by Alberto W. Vilar. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 52 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Advisors UK Limited on November 22, 2005. Service was accepted by Gary Alan Tanaka. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 51 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Investment Advisors, Inc. on November 30, 2005. Service was accepted by Alberto W. Vilar. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 7, 2005

Filing 50 AFFIDAVIT OF SERVICE of Amended Complaint served on Amerindo Investment Advisors, Inc. on November 22, 2005. Service was accepted by Gary Alan Tanaka. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

December 5, 2005

Filing 49 CERTIFICATE OF SERVICE of Report of Robert Knuts, As Monitor For Defendant Amerindo Investment Advisors Inc. with Exhibits 1-13 served on Kay Lackey, Paul Gizzi, Eugene Licker, Robert Leinwand, Glenn Colton on 12/5/2005. Service was made by Fed Ex. Document filed by Robert Knuts. (Knuts, Robert)

December 5, 2005

Filing 48 STATUS REPORT. Report of Robert Knuts, As Monitor for Defendant Amerindo Investment Advisors Inc. Document filed by Robert Knuts.(Knuts, Robert)

December 2, 2005

Filing 47 ENDORSED LETTER addressed to Judge Swain from robert Knuts dated 12/1/05 re: granting counsel an extension of time until Monday December 5, 2005 to file report.. (Signed by Judge Laura Taylor Swain on 12/2/05) (djc, )

November 21, 2005

Filing 46 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Glenn C. Colton dated 11/18/05; re: as counsel correctly notes, the deadline for response to the Amended Complaints runs from the issuance of the materials report, since that will be the later event. (Signed by Judge Laura Taylor Swain on 11/21/05) (sac, )

November 21, 2005

Filing 45 CERTIFICATE OF SERVICE of Memo Endorsement served on Securities and Exchange Commission, Alberto Vilar, Amerindo Investment Advisors Inc. on November 21, 2005. Document filed by Gary Alan Tanaka. (Margolis, Jessica)

November 17, 2005

Filing 44 AMENDED COMPLAINT amending #1 Complaint against Amerindo Investment Advisors, Inc. (Panama), Amerindo Advisors UK Limited, Amerindo Management Inc., Amerindo Technology Growth Fund, Inc., Amerindo Technology Growth Fund II, Inc., Techno Raquia, S.A., Amerindo Investment Advisors Inc., Alberto William Vilar, Gary Alan Tanaka.Document filed by Securities and Exchange Commission. Related document: #1 Complaint filed by Securities and Exchange Commission.(sac, )

November 17, 2005

Set Answer Due Date purs. to #44 Amended Complaint, as to Amerindo Investment Advisors, Inc. (Panama) answer due on 12/19/2005; Amerindo Advisors UK Limited answer due on 12/19/2005; Amerindo Management Inc. answer due on 12/19/2005; Amerindo Technology Growth Fund, Inc. answer due on 12/19/2005; Amerindo Technology Growth Fund II, Inc. answer due on 12/19/2005; Techno Raquia, S.A. answer due on 12/19/2005; Amerindo Investment Advisors Inc. answer due on 12/5/2005; Alberto William Vilar answer due on 12/5/2005; Gary Alan Tanaka answer due on 12/5/2005. (sac, )

November 16, 2005

Filing 43 CERTIFICATE OF SERVICE of Order on November 16, 2005. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

November 16, 2005

Filing 42 ORDER; re: granting #40 MOTION for Leave to File Amended Complaint. filed by Securities and Exchange Commission, (Signed by Judge Laura Taylor Swain on 11/15/05) (pl, )

November 10, 2005

Filing 41 DECLARATION of Mark D. Salzberg in Support re: #40 MOTION for Leave to File Amended Complaint.. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

November 10, 2005

Filing 40 MOTION for Leave to File Amended Complaint. Document filed by Securities and Exchange Commission. (Salzberg, Mark)

November 10, 2005

Filing 39 NOTICE of Appearance by Fred B. Ringel on behalf of Alberto William Vilar (Ringel, Fred)

November 3, 2005

Filing 38 CERTIFICATE OF SERVICE of Declaration and Interim Fee Application of Robert Knuts, Monitor for Amerindo Investment Advisers Inc. served on Mark K. Schonfeld, Paul Gizzi, Glenn C. Colton, Eugene Licker, Robert R. Leinwand on November 3, 2005. Service was made by MAIL. Document filed by Robert Knuts. (Knuts, Robert)

November 3, 2005

Filing 37 MOTION for Attorney Fees Declaration and Interim Fee Application of Robert Knuts, Monitor for Amerindo Investment Advisers Inc.. Document filed by Robert Knuts. (Knuts, Robert)

October 20, 2005

Filing 36 CERTIFICATE OF SERVICE of Court's Memo Endorsement dated October 19, 2005 served on Counsel on October 20, 2005. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

October 19, 2005

Filing 35 ORDER granting 16 Motion for Kay L. Lackey to Appear Pro Hac Vice, subject to payment of the requisite fee . (Signed by Judge Laura Taylor Swain on 10/19/05) (cd, )

October 19, 2005

Transmission to Attorney Admissions Clerk. Transmitted re: #35 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd, )

October 7, 2005

Filing 34 NOTICE of Appearance by Glenn Charles Colton on behalf of Gary Alan Tanaka (Colton, Glenn)

October 6, 2005

Minute Entry for proceedings held before Judge Laura Taylor Swain : Interim Pretrial Conference held on 10/6/2005. Monitor's report to be served and filed by 12/1/05; dfts Vilar & Tanaka to respond to amended complaint within 20 days of the later of service of amended complaint or service of monitor's report. PTCadj. to 12/9/05 @12 p.m. (pl, )

October 6, 2005

Filing 33 NOTICE of Appearance by Jessica Leigh Margolis on behalf of Gary Alan Tanaka (Margolis, Jessica)

September 15, 2005

Filing 31 CERTIFICATE OF SERVICE of Memo Endorsement dated September 14, 2005 served on Defendants on September 15, 2005. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

September 14, 2005

Filing 32 ENDORSED LETTER addressed to Judge Swain from Paul G. Gizzi dated 9/13/05: granting requests that the date by which defts Vilar and Tanaka are to respond to the complaint to a date set by the court at the 10/7/05 conference and that this ptc be held as a status conference etc. (Signed by Judge Laura Taylor Swain on 9/14/05) (cd, )

August 29, 2005

Filing 30 CERTIFICATE OF SERVICE of Endorsed Letter served on U.S. Securities and Exchange Commission, Robert Knuts, Esq., Amerindo Investment Advisors, Inc., and Alberto W. Vilar on August 29, 2005. Service was made by Fax. Document filed by Gary Alan Tanaka. (Sher, Justin)

August 24, 2005

Filing 29 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Justin M. Sher dated 8/18/05 re: Application GRANTED. Defendant's Tanaka and Vilar's time to respond to the complaint is extended to 9/19/05. Also, the initial conference is extended to 10/7/05 at 3:00 p.m. (Signed by Judge Laura Taylor Swain on 8/22/05) Copies Faxed by Chambers.(db, ) Modified on 8/25/2005 (db, ).

August 24, 2005

Set Answer Due Date purs. to #29 Endorsed Letter, as to Alberto William Vilar answer due on 9/19/2005; Gary Alan Tanaka answer due on 9/19/2005. (db, )

August 24, 2005

Set/Reset Hearings: Initial Conference set for 10/7/2005 03:00 PM before Judge Laura Taylor Swain. (db, )

August 19, 2005

Filing 28 ANSWER to Complaint. Document filed by Amerindo Investment Advisors Inc..(Licker, Eugene)

July 28, 2005

Filing 25 STIPULATION AND ORDER; the date by which defendant Amerindo must answer, move or respond to complaint shall be extended until August 19, 2005. (Signed by Judge Laura Taylor Swain on 7/25/05) (djc, )

July 27, 2005

Filing 27 STIPULATION AND ORDER; the date by which defendant Vilar must answer, move, or otherwise respond to the complaint shall be extended until August 19, 2005 (Signed by Judge Laura Taylor Swain on 7/25/05) (djc, )

July 27, 2005

Filing 26 STIPULATION AND ORDER; the date by which defendant Tanaka must answer, move or otherwise respond to the complaint is extended until August 19, 2005. (Signed by Judge Laura Taylor Swain on 7/25/05) (djc, )

July 27, 2005

Set Answer Due Date purs. to #26 Stipulation and Order as to Gary Alan Tanaka answer due on 8/19/2005. (djc, )

July 27, 2005

Set Answer Due Date purs. to #27 Stipulation and Order (djc, )

July 27, 2005

Set Answer Due Date purs. to #25 Stipulation and Order (djc, )

July 15, 2005

Filing 24 STIPULATION AND ORDER; the date by which Defendant Amerindo must answer, move, or otherwise respond to the complaint shall be extended until August 19, 2005. (Signed by Judge Laura Taylor Swain on 7/14/05) (djc, )

July 15, 2005

Set Answer Due Date purs. to #24 Stipulation and Order as to Amerindo Investment Advisors Inc. answer due on 8/19/2005. (djc, )

July 14, 2005

Filing 23 ACKNOWLEDGEMENT OF SERVICE. Amerindo Investment Advisors Inc. served on 6/24/2005, answer due 7/14/2005. Service was made by Mail. Document filed by Securities and Exchange Commission. (Ellenbogen, Bennett)

July 14, 2005

Filing 22 AFFIDAVIT OF SERVICE. Alberto William Vilar served on 6/21/2005, answer due 7/11/2005. Service was accepted by Alberto William Vilar. Document filed by Securities and Exchange Commission. (Ellenbogen, Bennett)

July 14, 2005

Filing 21 AFFIDAVIT OF SERVICE. Gary Alan Tanaka served on 6/21/2005, answer due 7/11/2005. Service was accepted by Gary Alan Tanaka. Document filed by Securities and Exchange Commission. (Ellenbogen, Bennett)

July 6, 2005

MEMORANDUM TO THE DOCKET CLERK: hearing held on 7/5/05 - adjourned to 9/16/05. (db, )

June 24, 2005

Filing 20 CERTIFICATE OF SERVICE of Initial Conference Order served on defendants on June 22, 2005. Service was made by Federal Express. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 14, 2005

Filing 19 ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE: Initial Conference set for 9/16/2005 02:30 PM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 6/13/05) (db, )

June 14, 2005

Filing 18 DECLARATION of Kay L. Lackey in Support re: 16 MOTION for Kay L. Lackey to Appear Pro Hac Vice.. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 8, 2005

Filing 17 DECLARATION of Kay L. Lackey in Support re: 16 MOTION for Kay L. Lackey to Appear Pro Hac Vice.. Document filed by Securities and Exchange Commission. (mde, )

June 8, 2005

Filing 16 MOTION for Kay L. Lackey to Appear Pro Hac Vice. Document filed by Securities and Exchange Commission. Return Date set for 6/15/2005. (mde, )

June 8, 2005

Filing 15 DECLARATION of Elzbieta Wraga in Support re: #10 Preliminary Injunction. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 8, 2005

Filing 14 MEMORANDUM OF LAW in Support re: #10 Preliminary Injunction. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 8, 2005

Filing 13 DECLARATION of Paul G. Gizzi in Support re: #10 Preliminary Injunction. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 8, 2005

Filing 12 DECLARATION of Kay L. Lackey in Support re: #3 MOTION for Limited Admission.. Document filed by Securities and Exchange Commission. (Gizzi, Paul)

June 8, 2005

Filing 11 NOTICE of Acceptance of Appointment as Monitor under the terms of the Preliminary Injunction Order. Document filed by Robert Knuts. (Knuts, Robert)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Paul Gizzi to MANUALLY RE-FILE Document No. #3 Motion for Admission Pro Hac Vice. This document is not filed via ECF. (sn)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Robert Knuts to RE-FILE Document #2 MOTION to Appoint Monitor under terms of Preliminary Injunction Order.. Use the document type Notice (Other) found under the document list Notices. (sn)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Paul Gizzi to RE-FILE Document #4 MOTION for Limited Admission Declaration Supporting Motion. Use the document type Declaration in Support of Motion found under the document list Responses and Replies. (sn)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Paul Gizzi to RE-FILE Document #6 MOTION to Appoint Temporary Receiver Local Rule 6.1(d) Declaration of Paul G. Gizzi. Use the document type Declaration (non-motion) found under the document list Other Answers. (sn)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Paul Gizzi to RE-FILE Document #9 MOTION to Appoint Temporary Receiver Declaration of Elzbieta Wraga in Support of Motion. Use the document type Declaration in Support (non-motion) found under the document list Other Answers. (sn)

June 8, 2005

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Paul Gizzi to RE-FILE Document #7 MOTION to Appoint Temporary Receiver Memorandum of Law in Support of Plaintiff's Motion. Use the document type Memorandum of Law in Support (non-motion) found under the document list Other Answers. (sn)

June 7, 2005

***NOTE TO ATTORNEY TO E-MAIL PDF. ECF clerks phoned on 06/03 to Attorney Mark K. Schonfeld to E-MAIL the PDF for Document #1 Complaint to: case_openings@nysd.uscourts.gov. (jeh, )

June 3, 2005

Filing 10 PRELIMINARY INJUNCTION ORDER AND ORDER TO APPOINT A MONITOR FOR AMERINDO AND TO CONDUCT AN EXAMINATION OF CLIENT ACCOUNTS. (Signed by Judge Laura Taylor Swain on 6/2/05) (jco, )

June 3, 2005

Filing 9 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION to Appoint Temporary Receiver Declaration of Elzbieta Wraga in Support of Motion. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 8 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Appoint Temporary Receiver Proposed Order. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 7 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION to Appoint Temporary Receiver Memorandum of Law in Support of Plaintiff's Motion. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 6 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION to Appoint Temporary Receiver Local Rule 6.1(d) Declaration of Paul G. Gizzi. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 5 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION to Appoint Temporary Receiver. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 4 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION for Limited Admission Declaration Supporting Motion. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 3 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION for Limited Admission. Document filed by Securities and Exchange Commission. (Gizzi, Paul) Modified on 6/6/2005 (sn).

June 3, 2005

Filing 2 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION to Appoint Monitor under terms of Preliminary Injunction Order. Document filed by Robert Knuts. (Knuts, Robert) Modified on 6/6/2005 (sn).

June 2, 2005

MEMORANDUM TO THE DOCKET CLERK: Hearing begun before Judge Laura Taylor Swain. Consent PI order signed - adj to 6/14/05 at 4:30 p.m. (kw, )

June 1, 2005

MEMORANDUM TO THE DOCKET CLERK: hearing begun on 6/1/05 and continued to 6/2/05 before Judge Laura Taylor Swain. (kw, )

June 1, 2005

Filing 1 COMPLAINT against Amerindo Investment Advisors Inc., Alberto William Vilar, Gary Alan Tanaka. Document filed by Securities and Exchange Commission.(es, ) Additional attachment(s) added on 6/8/2005 (tr, ).

June 1, 2005

SUMMONS ISSUED as to Amerindo Investment Advisors Inc., Alberto William Vilar, Gary Alan Tanaka. (es, )

June 1, 2005

Case Designated ECF. (es, )

June 1, 2005

Magistrate Judge Douglas F. Eaton is so designated. (es, )

Search for this case: Securities and Exchange Commission v. Amerindo Investment Advisors Inc. et al
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Interested party: Alfred C. Heitkoenig
Represented By:	Paula Kae Colbath
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Interested party: J.P. Morgan Securities LLC
Represented By:	Andrea Likwornik Weiss
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Interested party: Lisa Mayer
Represented By:	Jerome Reisman
Represented By:	Patrick Walter Begos
Represented By:	Lisa Ann Giunta
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Interested party: Elna Charlotte Olga
Represented By:	Paula Kae Colbath
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Interested party: Debra Mayer
Represented By:	Jerome Reisman
Represented By:	Patrick Walter Begos
Represented By:	Lisa Ann Giunta
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Interested party: Heitkonig Parties
Represented By:	Paula Kae Colbath
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Interested party: John Preetzman-Aggerholm
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Interested party: Los Angeles Opera Company
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Interested party: Maakie Heitkoenig
Represented By:	Leo L. Esses
Represented By:	Paula Kae Colbath
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Defendant: Amerindo Management Inc.
Represented By:	Vivian Shevitz
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Defendant: Amerindo Investment Advisors Inc.
Represented By:	Eugene R. Licker
Represented By:	Vivian Shevitz
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Defendant: Gary Alan Tanaka
Represented By:	Glenn Charles Colton
Represented By:	Jessica Leigh Margolis
Represented By:	Vivian Shevitz
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Defendant: Amerindo Technology Growth Fund, Inc.
Represented By:	Vivian Shevitz
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Defendant: Techno Raquia, S.A.
Represented By:	Vivian Shevitz
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Defendant: Alberto William Vilar
Represented By:	Vivian Shevitz
Represented By:	William Joseph Davis
Represented By:	David Clifford Burger
Represented By:	Fred B. Ringel
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Defendant: Amerindo Investment Advisors, Inc.
Represented By:	Vivian Shevitz
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Defendant: Amerindo Advisors UK Limited
Represented By:	Vivian Shevitz
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Defendant: Amerindo Technology Growth Fund II, Inc.
Represented By:	Vivian Shevitz
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Intervenor: James Stableford
Represented By:	Andrew Edward Goldsmith
Represented By:	James McCormick Webster, III
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Claimant: Ana R Acevedo
Represented By:	Ronald Wolf Adelman
Represented By:	Paul A. Winick
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Claimant: The Deane J. Marcus Trust
Represented By:	Julian Walter Friedman
Represented By:	Bradley Gershel
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Claimant: The Ceryl Marcus-Podhaizer Trust
Represented By:	Julian Walter Friedman
Represented By:	Bradley Gershel
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Claimant: Maria Dichov
Represented By:	Ronald Wolf Adelman
Represented By:	Paul A. Winick
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Claimant: Paul Marcus
Represented By:	Julian Walter Friedman
Represented By:	Bradley Gershel
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Claimant: The Steven E. Marcus Trust
Represented By:	Julian Walter Friedman
Represented By:	Bradley Gershel
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Claimant: The Eve S. Marcus Children's Trust
Represented By:	Julian Walter Friedman
Represented By:	Bradley Gershel
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Plaintiff: Securities and Exchange Commission
Represented By:	Paul G. Gizzi
Represented By:	Mark K. Schonfeld
Represented By:	Marc O Litt
Represented By:	Mark Daniel Salzberg
Represented By:	Neal Ralph Jacobson
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Not yet classified: Ian Gazes
Represented By:	Ian J. Gazes
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