Securities and Exchange Commission v. One or More Unknown Purchasers of call Options for DRS Technologies, Inc. et al
Plaintiff: Securities and Exchange Commission
Defendant: One or More Unknown Purchasers of call Options for DRS Technologies, Inc. and One or More Unknown Purchasers of call options for the Common Stock of American Power Conversion Corp.
Case Number: 1:2008cv06609
Filed: July 25, 2008
Court: US District Court for the Southern District of New York
Office: Securities/Commodities Office
County: Washington
Presiding Judge: Unassigned
Nature of Suit: None
Cause of Action: Federal Question
Jury Demanded By: 15:78m(a) Securities Exchange Act
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Date Filed Document Text
September 3, 2024 Opinion or Order Filing 201 ORDER: The telephone conference scheduled for September 13, 2024 is adjourned to September 25, 2024, at 12:00 p.m. Dial - in : 888-363 - 4749, with access code 8140049. SO ORDERED. (Signed by Judge John G. Koeltl on 9/3/2024) ( Telephone Conference set for 9/25/2024 at 12:00 PM before Judge John G. Koeltl.) (ks)
August 29, 2024 Opinion or Order Filing 199 ORDER: The parties are directed to appear, by phone, for a conference in connection with the plaintiff's motion on Friday, September 13, 2024, at 12:00 p.m. Dial-in: 888-363-4749, with access code 8140049. SO ORDERED. (Signed by Judge John G. Koeltl on 8/29/2024) ( Telephone Conference set for 9/13/2024 at 12:00 PM before Judge John G. Koeltl.) (ks)
July 25, 2024 Opinion or Order Filing 196 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 194 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Clerk of the Court shall issue payment on Court Registry Investment System ("CRIS") account number 08-cv-660 9 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $607.90 payable to "Miller Kaplan Arase LLP," for the payment of federal late payment interest for the 2023 tax year as provided in the Declaration. 2. The Clerk shall send payment to the Miller Kaplan Arase LLP SEC Trust Account using the EFT instructions already on file with the Clerk for City National Bank account ending -8990. The parties are directed to bring all future applications for disbursement of funds to the PART I on duty. SO ORDERED. (Signed by Judge Paul A. Crotty on 7/25/2024) (mml) Transmission to Finance Unit (Cashiers) for processing.
June 13, 2024 Opinion or Order Filing 193 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 191 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Clerk of the Court shall issue payment on Court Registry Investment System ("CRIS") account number 08-cv-6 609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $21,500 payable to "Miller Kaplan Arase LLP," for the payment of estimated tax liabilities of the second quarter of 2024 as provided in the Declaration. 2. The Clerk shall send payment to the Miller Kaplan Arase LLP SEC Trust Account using the EFT instructions already on file with the Clerk for City National Bank account ending -8990. (Signed by Judge Paul A. Crotty on 6/13/2024) (ks) Transmission to Finance Unit (Cashiers) for processing.
May 13, 2024 Opinion or Order Filing 190 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 188 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: The Clerk of the Court shall issue payment on Court Registry Investment System ("CRIS") account number 08-cv-66 09 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $82,484 payable to "Miller Kaplan Arase LLP," for the payment of federal tax obligations for tax year 2023 and estimated tax liabilitie s of the first quarter of 2024 as provided in the Declaration. 2. The Clerk shall send payment to the Miller Kaplan Arase LLP SEC Trust Account using the EFT instructions already on file with the Clerk for City National Bank account ending -8990.. (Signed by Judge Paul A. Crotty on 5/13/2024) (ks) Transmission to Finance Unit (Cashiers) for processing. Modified on 5/13/2024 (ks).
February 22, 2024 Opinion or Order Filing 187 ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF TAX ADMINISTRATOR granting 182 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Clerk of the Court shall issue payment on Court Registry Investment System ("CRIS" ) account number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $1,819.52 payable to "Miller Kaplan Arase LLP," for the payment of the fees and expenses of the Tax Administrat or as provided in the Declaration. 2. The Clerk shall send payment to the Miller Kaplan Arase LLP SEC Trust Account using the EFT instructions already on file with the Clerk for City National Bank account ending -8990.. (Signed by Judge Paul A. Crotty on 2/22/2024) (ks) Transmission to Finance Unit (Cashiers) for processing.
January 3, 2024 Opinion or Order Filing 181 ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF TAX ADMINISTRATOR granting 176 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Clerk of the Court shall issue a check on Court Registry Investment System ("CRIS") account number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $1,819.52 payable to "Miller Kaplan Arase LLP," for the payment of the fees and expenses of the Tax Administrato r as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al., Case Number 08-cv-6609-PAC, Inv. 2835." 2. The Clerk shall send the check by overnight mail to: Miller Kaplan Arase LLP 275 Battery Stree t Suite 1800 San Francisco, CA 94111 The Commission's counsel shall provide the Court Registry with the necessary overnight shipping information and the SEC' s billing number.. (Signed by Judge Paul A. Crotty on 1/3/2024) (ks) Transmission to Finance Unit (Cashiers) for processing.
November 20, 2023 Opinion or Order Filing 175 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 173 Motion for Disbursement of Funds. The Court, having reviewed the Securities and Exchange Commission's Motion to Disburse Funds to Pay Tax Obligations for the fourth quarter of 2023 and the supporting Declaration of Nicholas A. Sanchez in Support of Request to Make Tax Payment ("Declaration"), and for good cause shown, IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Registry Investme nt System ("CRIS") Account Number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $5,500.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal estimated tax liabilities for the fourth quarter of 2023 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, Federal Estimated Tax Liabiliti es for the fourth quarter of 2023. 2. The Clerk shall send the check by certified mail to: Miller Kaplan Arase LLP 275 Battery Street, Suite 1800 San Francisco, CA 94111 The Commissions counsel shall provide to the Court Registry the necessary overnight shipping information and the SEC's billing number.. (Signed by Judge Paul A. Crotty on 11/20/2023) (ks) Transmission to Finance Unit (Cashiers) for processing.
September 22, 2023 Opinion or Order Filing 172 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS: granting 170 Motion for Disbursement of Funds. IT IS HEREBY ORDERED: The Clerk of the Court shall issue a check on the Court Registry Investment System ("CRIS") Account Number 08-cv-6609 un der the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of$l l,000.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal estimated tax liabilities for the second and thi rdquarters of 2023 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, Federal Estimated Tax Liabilities for the second and third quarters of 2023. and as set forth herein.. (Signed by Judge Paul A. Crotty on 9/22/2023) (ama) Transmission to Finance Unit (Cashiers) for processing.
March 30, 2023 Opinion or Order Filing 169 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 166 Motion for Disbursement of Funds. The Court, having reviewed the Securities and Exchange Commission's Motion to Disburse Funds to Pay Tax Obligations for the first quarter of 2023 and the supporting Declaration of Nicholas A. Sanchez In Support of Request to Make Tax Payment ("Declaration"), and for good cause shown, IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Registry Inves tment System ("CRIS") Account Number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $5,500.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the paymen t of federal estimated tax liabilities for the first quarter of 2023 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, Federal Estimated Tax L iabilities for the first quarter of 2023. 2. The Clerk shall send the check by certified mail to: Millet Kaplan Arase LLP 275 Battery Street, Suite 1800 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.. (Signed by Judge Paul A. Crotty on 3/30/2023) (ks) Transmission to Finance Unit (Cashiers) for processing.
May 3, 2021 Opinion or Order Filing 160 ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF THE TAX ADMINISTRATOR granting 157 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&qu ot;) account number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $1,707.85 payable to "Miller Kaplan Arase LLP" for the payment of fees and expenses of the Tax Administra tor as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 08-cv-6609-PAC, EIN XX-XXX2381. 2. The Clerk shall send the check by overnight mail to: Miller Kaplan Arase LLP 4123 Lankers him Boulevard North Hollywood, CA 91602 3. The Commission's counsel shall provide the Court Registry with the necessary overnight shipping information and the SEC's billing number. 4. The Commission is authorized to approve and arrange p ayment of all future taxes, fees and expenses for services rendered by the Tax Administrator directly from the Fair Fund without further order of the Court.. (Signed by Judge Paul A. Crotty on 5/3/2021) (ks) Transmission to Finance Unit (Cashiers) for processing.
September 21, 2020 Opinion or Order Filing 156 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 153 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 08- cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $10,000.00 payable to "Miller Kaplan Arase LLP SEC Trust Account for the payment of federal tax obligations for the second quarter o f 2020 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, Second Quarter FY 2020 Federal Estimated Tax Liabilities. 2. The Clerk shall send the check by certified mail to: Miller Kaplan Arase LLP 275 Battery Street Suite 1800 San Francisco, CA 941111 The Commission's counsel shall provide to the Court Registry the necessary overnight shipping information and the SEC's billing number. (Signed by Judge Paul A. Crotty on 9/21/2020) (ks) Transmission to Finance Unit (Cashiers) for processing.
August 31, 2020 Opinion or Order Filing 152 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 149 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 08-cv -6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $1,000.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal tax obligations for the third quarter o f 2020 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, Third Quarter FY 2020 Federal Estimated Tax Liabilities. 2. The Clerk shall send the ch eck 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 the necessary overnight shipping information and the SEC's billing number.. (Signed by Judge Paul A. Crotty on 8/31/2020) (ks) Transmission to Finance Unit (Cashiers) for processing.
May 27, 2020 Opinion or Order Filing 148 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 145 Motion for Disbursement of Funds. IT IS HEREBY ORDERED: The Clerk of the Court shall issue a check on the Court Registry Investment System ("CRIS") Account Number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $8,157.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal tax obligations for the year 2019 as provid ed in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08-cv-06609-PAC, EIN XX-XXX2381, 2019 Federal Estimated Tax Liabilities. The Clerk shall send the check by certified mail to: Miller Kap lan 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. (Signed by Judge Paul A. Crotty on 5/27/2020) (rro) Transmission to Finance Unit (Cashiers) for processing.
April 7, 2020 Opinion or Order Filing 144 ORDER TO DISBURSE FUNDS TO PAY FEES AND EXPENSES OF THE TAX ADMINISTRATOR, AND TO AUTHORIZE PAYMENT OF FUTURE TAXES, FEES, AND EXPENSES OF THE TAX ADMINISTRATOR: IT IS HEREBY ORDERED: 1. The Clerk of the Court shall issue a check on the Court Re gistry Investment System ("CRIS") account number 08-cv-6609 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $2,261.60 payable to "Miller Kaplan Arase LLP" for the payment of f ees and expenses of the Tax Administrator as provided in the Declaration. Thecheck shall contain the notation "SEC v. Di Nardo, et al.," case number 08-cv-6609-PAC, EIN XX-XXX2381. 2. The Clerk shall send the check by overnight mail to: Miller Kaplan Arase LLP 4123 Lankershim Boulevard North Hollywood, CA 91602 3. The Commission's counsel shall provide the Court Registry with the necessary overnight shipping information and the SEC's billing number. 4. The Commission is authorized to approve and arrange payment of all future taxes, fees and expenses for services rendered by the Tax Administrator directly from the Fair Fund without further order of the Court. (Signed by Judge Paul A. Crotty on 4/7/2020) (ks) Transmission to Finance Unit (Cashiers) for processing.
November 19, 2019 Opinion or Order Filing 139 ORDER TO DISBURSE FUNDS TO PAY TAX OBLIGATIONS granting 136 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 08-cv-66 09 under the case name designation "SEC v. Gianluca Di Nardo, et al.," for the amount of $7,000.00 payable to "Miller Kaplan Arase LLP SEC Trust Account" for the payment of federal tax obligations for fourth quarter of 2019 as provided in the Declaration. The check shall contain the notation "SEC v. Di Nardo, et al.," case number 1:08- cv-06609-PAC, EIN XX-XXX2381, Q4 2019 Federal Estimated Tax Liabilities. 2. The Clerk shall send the check by ce rtified mail 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. (Signed by Judge Paul A. Crotty on 11/19/2019) (ks) Transmission to Finance Unit (Cashiers) for processing.
September 30, 2013 Opinion or Order Filing 71 ORDER re: 70 Order on Motion to Approve & 68 MOTION to Approve Establish Fair Fund, Approve Distribution Plan, and Establish Notice Procedures filed by Securities and Exchange Commission. The Court, having reviewed the Plaintiff Securities and Ex change Commission's ("Commission") Motion to Establish Fair Fund, Approve Distribution Plan, and Establish NoticeProcedures, and Memorandum in Support thereof, (the "Motion"), the proposed Distribution Plan (the "Distrib ution Plan"), the supporting Declaration of Stuart Jackson (the "Declaration"), and the related documents; having found that the relief requested therein is in the best interests ofthe Distribution Fund, the Counter-Parties, and all pa rties in interest; and after due deliberation and for good cause shown,IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. The Motion is GRANTED. 2. A Fair Fund, in accordance with Section 308(a) of the Sarbanes-Oxley Act of 2002, as amended [15 U.S. C. § 7246(a)], is hereby created for the benefit of defrauded investors and shall comprise and include the entire amount currently contained in the Court'sregistry established by the Clerk of the Court in this matter, minus the appropriate expenses incurred in establishing and maintaining the account or ordered by the Court to be paid to satisfy the Fair Funds tax-related obligations. 3. The Distribution Plan of the Securities and Exchange Commission is APPROVED. 4. The Commission staf f shall send out the Notice of Plan to Distribute Funds and other documents as provided in the Distribution Plan and follow the steps set forth in the Plan to resolve any objections to the Plan and move for a Final Distribution Order thereafter. Recipients of the Plan shall have 60 days to object. 5. The Court shall retain jurisdiction over the Distribution Plan and the effectuation thereof. SO ORDERED. (Signed by Judge Paul A. Crotty on 09/30/2013) (mov)
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Plaintiff: Securities and Exchange Commission
Represented By: Richard Edward Simpson
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Defendant: One or More Unknown Purchasers of call Options for DRS Technologies, Inc.
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Defendant: One or More Unknown Purchasers of call options for the Common Stock of American Power Conversion Corp.
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