Securities and Exchange Commission v. Collins & Aikman Corporation et al
| Securities and Exchange Commission |
| David A. Stockman, J. Michael Stepp, Gerald E. Jones, David R. Cosgrove, Elkin B. McCallum, Paul C. Barnaba, John G. Galante, Christopher M. Williams and Thomas V. Gougherty |
| 1:2007cv02419 |
| March 26, 2007 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| XX Out of State |
| Loretta A. Preska |
| Securities/Commodities |
| 15 U.S.C. ยง 77 Securities Fraud |
| None |
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The following documents for this case are available for you to view or download:
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Filing
247
ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF THE DISTRIBUTION AGENT - THIRD FEE REQUEST granting 246 Motion for Disbursement of Funds. IT IS HEREBY ORDERED: 1. The motion is granted. 2. The Clerk of the Court shall issue a check on the Co urt Registry investment System (CRIS Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins & Aikman, et al.," for the amount of $17,602.52 payable to Epiq Class Action & Claims Solutions, for the payment of fee s and expenses incurred by the distribution agent between July 2021 and August 2023. 3. The Clerk shall send the check by U.S. mail to: Epiq Class Action & Claims Solutions, P.O. Box 674652, Dallas, TX 75267-4652. SO ORDERED. (Signed by Judge Jesse M. Furman on 10/4/2023) (mml) Transmission to Finance Unit (Cashiers) for processing.
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Filing
243
ORDER. The Clerk of Court is directed to administratively close this case. SO ORDERED. (Signed by Judge Jesse M. Furman on 3/22/23) (yv)
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Filing
240
ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF THE TAX ADMINISTRATOR granting 239 Motion for Disbursement of Funds. IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Registry Investment System ("CRIS ") Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins & Aikman, et al.," for the amount of $4,368.00 payable to "Miller Kaplan Arase LLP" for the payment of the fees and expenses of the Tax A dministrator, as provided in the Declaration. 2. The Clerk shall send the check by U.S. mail to: Miller Kaplan Arase LLP, 4123 Lankershim Blvd, North Hollywood, CA 91602. The Commission's counsel shall provide to the Clerk of the Court with the necessary shipping information and the SEC's billing number. The Clerk of Court is directed to terminate ECF No. 239. SO ORDERED. (Signed by Judge Jesse M. Furman on 10/19/2022) (vfr) Transmission to Finance Unit (Cashiers) for processing.
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Filing
234
ORDER: Pursuant to Paragraph 89 of the Distribution Plan, the Distribution Agent is required to file with the Court quarterly progress reports informing the Court of the activities and status of the Fair Fund during the requested reporting period within 20 days of the end of the quarter. ECF No. 205-1 89. The Court has not yet received a progress report for the quarter ending December 31, 2021. The Distribution Agent shall promptly file the report. SO ORDERED. (Signed by Judge Jesse M. Furman on 2/2/2022) (ks)
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Filing
232
ORDER TO DISBURSE FUNDS TO PAY FEESAND EXPENSES OF THE TAX ADMINISTRATOR granting 230 Motion for Disbursement of Funds. IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Registry Investment System("CRIS") Account Number 1:07-cv-02419 under the case name designation "SEC v.Collins & Aikman, et al.," for the amount of $9,253.45 payable to "Miller KaplanArase LLP" for the payment of the fees and expenses of the Tax Administrator, asprovided in the Declaration. 2. The Clerk shall send the check by U.S. mail to: Miller Kaplan Arase LLP. The Commission's counsel shall provide to the Clerk of the Court with the necessary shipping information and the SEC's billing number. The Clerk of Court is directed to terminate ECF No. 230. SO ORDERED. (Signed by Judge Jesse M. Furman on 7/19/2021) (va) Transmission to Finance Unit (Cashiers) for processing.
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Filing
225
ORDER APPROVING TRANSFER OF FUNDS FOR DISBURSEMENT OF DISTRIBUTION FUND granting 222 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Motion is Granted. 2. The Clerk of the Court shall issue a check on the Court Registry Invest ment System ("CRIS") Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins & Aikman, et al.," for the amount of $2,667,666.64 payable to "SEC v Collins and Aikman Fair Fund" for payment for disbursement to the Eligible Claimants listed in the Payment File. 3. The Clerk shall direct the payment of $2,667,666.64 from the CRIS account to the escrow account "SEC v Collins and Aikman Fair Fund" at The Huntington National B ank ("Huntington Bank") for distribution to the Eligible Claimants in accordance with the Distribution Plan ("Plan"). 4. Epiq Class Action and Claims Solutions, Inc. ("Epiq") shall deposit these funds in accordance wit h paragraphs 73 to 75 of the Plan, into the escrow account at Huntington Bank in the name of "SEC v Collins & Aikman Fair Fund" and bearing the Employer Identification Number of the Qualified Settlement Fund, as custodian for the benefit of investors allocated a distribution pursuant to the plan in SEC v. Collins & Aikman, et al., Civ. Act. No. 1:07-cv-02419-JMF (S.D. NY). 5. Epiq shall also establish a separate deposit account titled "SEC v Collins and Aikman Fair Fund" for the purpose of funding and processing checks to be distributed to Eligible Claimants pursuant to the Plan. 6. Epiq shall disburse these funds to Eligible Claimants in accordance with the terms of the Plan and the Payment File reviewed and appr oved by the Commission. 7. The Clerk shall transmit the funds by wire transfer to: Account Name: SEC v Collins and Aikman Fair Fund Bank: The Huntington National Bank. The Commission's counsel shall provide to the Clerk of the Court the necessary banking information for the wire transfer of the funds. The Clerk of Court is directed to terminate ECF No. 222. SO ORDERED. (Signed by Judge Jesse M. Furman on 3/5/21) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing
220
ORDER: Pursuant to Paragraph 89 of the Distribution Plan, the Distribution Agent is required to file with the Court quarterly progress reports informing the Court of the activities and status of the Fair Fund during the requested reporting period. EC F No. 205-1 Paragraph 89. In the next such progress report, and in each progress report thereafter, the Distribution Agent shall note anyupcoming dates and deadlines relevant to its efforts. SO ORDERED. (Signed by Judge Jesse M. Furman on 11/25/2020) (ama)
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Filing
219
ORDER TO DISBURSE FUNDS TO PAY ESTIMATED TAX LIABILITIES granting 217 Motion for to Disburse Funds to Pay Estimated Tax Liabilities for the Second Quarter of 2020. IT IS HEREBY ORDERED: The Clerk of the Court shall issue a check on the Court Reg istry Investment System("CRIS") Account Number 1:07-cv-02419 under the case name designation "SEC v.Collins & Aikman, et al.," for the amount of $6,500.00 payable to "Miller KaplanArase LLP SEC Trust Account" for the payment of federal estimated tax liabilities for the second quarter of 2020 as provided in the Declaration of Jude Damasco. The check shall contain the notation SEC v. Collins & Aikman Fair Fund Case No. 1:07-cv-02419, EIN XX-XXX3645, second q uarter of 2020 Federal Estimated Tax Liability. The Clerk shall send the check by certified mail to: Miller Kaplan Arase LLP, 275 Battery Street, Suite 1800, San Francisco, CA 94111. The Commission's counsel shall provide to the Court Registry t he necessary overnight shipping information and the SEC's billing number. The Clerk of Court is directed to terminate ECF No. 217. SO ORDERED. (Signed by Judge Jesse M. Furman on 10/29/20) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing
216
ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSESOF DISTRIBUTION AGENT SECOND FEE REQUEST granting 215 Motion for to Disburse Funds to Pay Fees and Expenses of the Distribution Agent from June 1 to September 30, 2020. IT IS HEREBY ORDERED: 1. T he motion is granted. 2. The Clerk of the Court shall issue a check on the Court Registry investment System (CRIS Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins &Aikman, et al.," for the amount of $38,083 .87 payable to Epiq Class Action & Claims Solutions, for the payment of fees and expenses incurred by the distribution agent between June 1, 2020 and September 30, 2020. 3. The Clerk shall send the check by U.S. mail to: Epiq Class Action & Claims Solutions Dept. 0286, P.O. Box 120286, Dallas, TX 75312-0286. SO ORDERED. (Signed by Judge Jesse M. Furman on 10/26/20) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing
212
ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF DISTRIBUTION AGENT granting 211 Motion for an Order to Disburse Funds to Pay Fees and Expenses of the Distribution Agent. IT IS HEREBY ORDERED: 1.The motion is granted. 2.The Clerk of the Cour t shall issue a check on the Court Registry investment System (CRIS Account Number 1:07-cv-02419 under the case name designation SEC v. Collins & Aikman, et al., for the amount of $61,225.15 payable to Epiq Class Action & Claims Solutions, fo r the payment of fees and expenses incurred by the distribution agent between December 3, 2019 and May 31, 2020. 3. The Clerk shall send the check by U.S. mail to:Epiq Class Action & Claims Solutions, Dept. 0286, P.O. Box 120286, Dallas, TX 75312-0286. The Clerk of Court is directed to terminate ECF No. 211. SO ORDERED. (Signed by Judge Jesse M. Furman on 7/7/20) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing
210
MEMO ENDORSEMENT on ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF THE TAX ADMINISTRATOR granting 209 Motion and Notice of Motion in Support of an Order to Pay Fees and Expenses of the Tax Administrator. ENDORSEMENT: The Clerk of Court is directed to terminate ECF No. 209. (Signed by Judge Jesse M. Furman on 5/19/2020) (ama) Transmission to Finance Unit (Cashiers) for processing.
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Filing
208
ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 207 Motion. IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Registry Investment System ("CRIS") Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins & Aikman, et al.," for the amount of $591.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal estimated tax liabilities for tax year 2019 as provided in the Dec laration of Jude Damasco. The check shall contain the notation "SEC v. Collins & Aikman Fair Fund" Case No. 1:07-cv-02419, EIN XX-XXX3645, tax year 2019 Federal Estimated Tax Liability. 2. The Clerk shall send the check by certified ma il to: Miller Kaplan Arase LLP. Two Embarcadero Center, Suite 2280. San Francisco, CA 94111. The Commission's counsel shall provide to the Court Registry the necessary overnight shipping information and the SEC's billing number. The Clerk of Court is directed to terminate ECF No. 207. (Signed by Judge Jesse M. Furman on 5/18/2020) (ks) Transmission to Finance Unit (Cashiers) for processing.
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Filing
206
ORDER APPROVING DISTRIBUTION PLAN granting 205 Motion for an Order Approving Distribution Plan for Collins and Aikman Fair Fund. IT IS HEREBY ORDERED that: The Motion is GRANTED. The Distribution Plan is approved in its entirety. The Distribution Plan shall govern the administration of the Fair Fund previously established by Order entered December 2, 2019. The Clerk of Court is directed to terminate Docket No. 205. (Signed by Judge Jesse M. Furman on 3/4/20) (yv)
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Filing
204
ORDER granting 203 Letter Motion for Extension of Time to File. Future untimely requests are unlikely to be granted. That said, the SEC's deadline to file a Distribution Plan for the Court's review is EXTENDED to March 6, 2020. All other dates and deadlines in the schedule approved at ECF No. 195 remain in place. The Clerk of Court is directed to terminate ECF No. 203. SO ORDERED. (Signed by Judge Jesse M. Furman on 2/12/20) (yv)
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Filing
202
ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 199 MOTION for Disbursement of Funds to Pay Tax Obligations. IT IS HEREBY ORDERED: 1.The Clerk of the Court shall issue a check on the Court Registry Investment System("CRIS" ) Account Number 1:07-cv-02419 under the case name designation "SEC v. Collins& Aikman, et al.," for the amount of $47,046.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal tax obligat ions for tax years 2010 to 2018, and for the fourth quarter of 2019 as provided in the Declarations of Jude Damasco. The check shall contain the notation "SEC v. Collins & Aikman Fair Fund" Case No. 1:07-cv-02419,EIN XX-XXX3645, tax yea rs 2010 to 2018, and Q4 2019 Federal Estimated Tax Liabilities. 2. The Clerk shall send the check by certified mail to: Miller Kaplan Arase LLP Two Embarcadero Center, Suite 2280 San Francisco, CA 94111 The Commission's counsel shall provi de to the Court Registry the necessary overnight shipping information and the SEC's billing number. The Clerk of Court is directed to terminate ECF No. 199. SO ORDERED. (Signed by Judge Jesse M. Furman on 1/10/2020) (jca) Transmission to Finance Unit (Cashiers) for processing.
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Filing
171
ORDER/STAY OF PROCEEDINGS AS TO DEFENDANT COSGROVE, all discovery motion practice, and other proceedings in this matter relating to defendant Cosgrove are stayed until 3/29/10. (Signed by Judge Shira A. Scheindlin on 2/2/10) (cd)
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Filing
163
ORDER: It is hereby ordered that pursuant to Title 18, United States Code, Sections 6002 and 6003, Lewis G. Brewer give testimony and provide other information as to all matters about which he may be questioned in Securities and Exchange Commission v . Collins & Aikman, 07 Civ. 2419 (SAS); and it is further ordered that, pursuant to Title 18, United States Code, Sections 6002 and 6003, no testimony or other information compelled under this Order, or any information directly or indirectly derived from such testimony or other information, may be used against Lewis G. Brewer in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with this Order. This Order shall become effective only if after the date of this Order Lewis G. Brewer refuses to testify or provide other information on the basis of his privilege against self incrimination. (Signed by Judge Shira A. Scheindlin on 11/9/2009) (jpo)
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Filing
150
STIPULATION AND PROTECTIVE ORDER REGARDING CONFIDENTIALITY OF DISCOVERY MATERIALS...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge Shira A. Scheindlin on 9/21/2009) (jpo)
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Filing
142
NOTICE OF WITHDRAWAL AS COUNSEL OF RECORD AND PROPOSED ORDER: Please take notice that attorney Jesse T. Travis, formerly of the law firm of Wilmer Cutler Pickering Hale and Dorr LLP, is hereby withdrawn as counsel of record for Defendant David A. Sto ckman in the above-captioned action. Ms. Travis is no longer employed by Wilmer Cutler Pickering Hale and Dorr LLP. Co-counsel William R. McLucas, Joseph Keith Brermer, and Andrew B. Weissman of Wilmer Cutler Pickering Hale and Dorr LLP will continue to represent Mr. Stockman in this action. (Signed by Judge Shira A. Scheindlin on 4/2/2009) (jpo)
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Filing
129
OPINION AND ORDER #96959: When a government agency initiates litigation, it must be prepared to follow the same discovery rules that govern private parties (albeit with the benefit of additional privileges such as deliberative process and state secre ts). For the reasons set forth above, the SEC is ordered to produce or identify documents organized in response to Stockman's requests; to negotiate an appropriate search protocol to locate documents responsive to requests described above in Par t IV; to submit materials allegedly covered by the deliberative process privilege to the Court for in camera review, together with a supporting memorandum within twenty days of the date of this Order; and to negotiate an appropriately limited search protocol with respect to agency e-mail. While the SEC has raised legitimate concerns about the burdens imposed by particular requests, it cannot unilaterally determine that those burdens outweigh defendants' need for discovery. At the very least , the SEC must engage in a good faith effort to negotiate with its adversaries and craft a search protocol designed to retrieve responsive information without incurring an unduly burdensome expense disproportionate to the size and needs of the case. The parties are therefore directed to engage in a cooperative effort to resolve the scope and design of a search with respect to the rebate issues and a search of e-mail created and maintained by the SEC. A conference is scheduled for February 13, at 5:00 pm, by which date the parties should have completed the meet and confer process in the hope of establishing an acceptable discovery program. If the parties remain at an impasse, the Court will be prepared to resolve further disputes and will consider the appointment of a Special Master to supervise the remaining discovery in this case. (Signed by Judge Shira A. Scheindlin on 1/13/2009) (jfe) Modified on 1/15/2009 (mro).
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