Securities and Exchange Commission v. Galleon Management, LP et al Featured Case
Plaintiff: Securities and Exchange Commission
Defendant: Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat and New Castle Funds LLC
Case Number: 1:2009cv08811
Filed: October 16, 2009
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: Jed S. Rakoff
Nature of Suit: None
Cause of Action: 15 U.S.C. ยง 78 m(a) Securities Exchange Act
Jury Demanded By: None
Docket Report

This docket was last retrieved on August 14, 2012. A more recent docket listing may be available from PACER.

Date Filed Document Text
April 20, 2012 Opinion or Order Filing 267 ORDER: that for the reasons stated in the attached letter, the Court hereby terminates this action with respect to defendant Shankar. The Consent Order and Judgment shall otherwise remain in full force and effect. (Signed by Judge Jed S. Rakoff on 4/19/2012) (pl)
April 17, 2012 Opinion or Order Filing 266 ORDER: On November 5, 2010, the Court entered a Consent Order and Judgment as to Defendant Rajiv Gael, ordering permanent injunctive relief, a permanent officer and director bar, disgorgement, and prejudgment interest. The Consent Order and Judgment, however, provided that the Court would determine at a later date whether it would impose civil penalties against defendant Gael and, if so, to what extent. On April 11, 2012, the Court received the attached letter from the Securities and Exchange Commission, which requested that this Court terminate this action against defendant Goel without imposing civil penalties. The Court agrees. Accordingly, for the reasons stated in the attached letter, the Court hereby terminates this action with respect to defendant Goel. The Consent Order and Judgment shall otherwise remain in full force and effect. (Signed by Judge Jed S. Rakoff on 4/16/2012) (lmb)
March 12, 2012 Filing 265 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 3/6/12 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...Filed In Associated Cases: 1:12-cv-01055-JSR, 1:09-cv-08811-JSR(McGuirk, Kelly)
March 12, 2012 Filing 264 TRANSCRIPT of Proceedings re: Conference held on 3/6/2012 before Judge Jed S. Rakoff. 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 4/5/2012. Redacted Transcript Deadline set for 4/16/2012. Release of Transcript Restriction set for 6/14/2012.Filed In Associated Cases: 1:12-cv-01055-JSR, 1:09-cv-08811-JSR(McGuirk, Kelly)
January 4, 2012 Opinion or Order Filing 263 STIPULATION AND ORDER: The date by which the Court shall determine whether it is appropriate to order a civil penalty against Khan and, if so, the amount of the penalty, is hereby adjourned to June 29, 2012. IT IS FURTHER ORDERED, otherwise, the Consent Order and Judgment as to Defendant Roomy Khan Shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 12/31/2011) (rdz)
January 4, 2012 Opinion or Order Filing 262 STIPULATION AND ORDER: The date by which the Court shall determine whether it is appropriate to order a civil penalty against Shankar and, if so, the amount of the penalty, is hereby adjourned to April 27, 2012. IT IS FURTHER ORDERED that, otherwise, the Consent Order and Judgment as to Defendant Gautham Shankar shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 12/31/2011) (rdz)
December 23, 2011 Opinion or Order Filing 261 ORDER: Accordingly, for the reasons stated in the attached letter, the Court hereby terminates this action with respect to defendant Plate. (Signed by Judge Jed S. Rakoff on 12/23/2011) (cd)
December 23, 2011 Opinion or Order Filing 260 STIPULATION AND ORDER: That the date by which the Court shall determine whether it is appropriate to order a civil penalty against Goel and, if so, the amount of penalty, is hereby adjourned to Apri1 27, 2012. IT IS FURTHER ORDERED that., otherwise, the Consent Order and Judgment as to Defendant Rajiv Geel shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 12/22/2011) (rdz)
December 16, 2011 Opinion or Order Filing 259 STIPULATION AND ORDER: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the date by which the Court shall determine whether it is appropriate to order a civil penalty against Kumar and, if so, the amount of the penalty, is hereby adjourned to June 29, 2012. IT IS FURTHER ORDERED that. otherwise. the Consent Order and Judgment as to Defendant Anil Kumar shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 12/15/2011) (djc)
December 15, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/15/2011. (js)
December 7, 2011 Filing 258 NOTICE OF APPEAL from 252 Judgment. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. Document filed by Raj Rajaratnam. Filing fee $ 455.00, receipt number 465401023714. (tp)
December 7, 2011 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 258 Notice of Appeal. (tp)
December 7, 2011 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 36 Notice of Appearance filed by Schottenfeld Group LLC, 6 Notice of Appearance filed by Securities and Exchange Commission, 176 MOTION to Compel Production of Relevant Wiretapped Communications. filed by Securities and Exchange Commission, 28 Notice of Appearance filed by Robert Moffat, 99 Declaration in Support of Motion filed by Securities and Exchange Commission, 73 Answer to Amended Complaint filed by Anil Kumar, 243 Declaration in Support of Motion filed by Securities and Exchange Commission, 54 Notice of Appearance filed by Mark Kurland, 154 Protective Order, 232 MOTION for Summary Judgment. filed by Securities and Exchange Commission, 98 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 210 Order on Motion to Appear Pro Hac Vice, 240 Declaration in Opposition to Motion, filed by Galleon Management, LP, 138 Order, Set Hearings,, 252 Judgment, 246 Order, 213 Consent Judgment, 42 Notice of Appearance filed by Ali T. Far, 34 Notice of Appearance filed by Galleon Management, LP, 200 Order on Motion to Appear Pro Hac Vice, 159 Case Management Plan,,, 8 Notice of Appearance filed by Raj Rajaratnam, 10 Notice of Appearance filed by Anil Kumar, 76 Answer to Amended Complaint filed by Galleon Management, LP, 212 Order on Motion to Appear Pro Hac Vice, 162 Letter, filed by Securities and Exchange Commission, Schottenfeld Group LLC, 140 Answer to Amended Complaint filed by New Castle Funds LLC, 220 Consent Judgment, 184 Order, Set Deadlines/Hearings,,,,,,,,,,,,,,,, 166 Order on Motion for Leave to File Document, 131 Letter, 144 Answer to Amended Complaint filed by Robert Moffat, 222 Transcript,, 160 Letter, filed by Securities and Exchange Commission, 48 Answer to Amended Complaint filed by Raj Rajaratnam, 62 Order, Set Deadlines/Hearings,, 46 Stipulation and Order, Add and Terminate Attorneys,,,, 196 Memorandum of Law in Support of Motion, filed by Securities and Exchange Commission, 192 Order, Add and Terminate Attorneys,, 255 Judgment, 9 Notice of Appearance filed by Raj Rajaratnam, 257 Notice of Filing Transcript, 153 Answer to Amended Complaint filed by Steven Fortuna, 115 Letter, filed by Danielle Chiesi, 146 Answer to Amended Complaint filed by Galleon Management, LP, 47 Stipulation and Order, Set Deadlines/Hearings, 195 MOTION in Limine to Preclude Defendants' Expert's Testimony and Other Disclosures. filed by Securities and Exchange Commission, 215 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 256 Transcript,, 17 Rule 7.1 Corporate Disclosure Statement filed by Galleon Management, LP, 165 Order,,,,,,,,, 24 Case Management Plan, 68 Order Admitting Attorney Pro Hac Vice, 77 Rule 7.1 Corporate Disclosure Statement filed by Schottenfeld Group LLC, 89 Notice of Appearance filed by Steven Fortuna, 100 Memorandum of Law in Opposition to Motion filed by Raj Rajaratnam, 127 Letter, filed by Danielle Chiesi, Raj Rajaratnam, 111 Letter, filed by Raj Rajaratnam, 84 Answer to Amended Complaint filed by David Plate, 208 MOTION for Catherine E. Creely to Appear Pro Hac Vice. filed by Raj Rajaratnam, 223 Notice of Filing Transcript, 64 Notice of Appearance filed by New Castle Funds LLC, 12 Notice of Appearance filed by Anil Kumar, 90 Notice of Appearance filed by Steven Fortuna, 74 Answer to Amended Complaint filed by Danielle Chiesi, 202 Set Deadlines/Hearings, Order,,,,,,,, 1 Complaint filed by Securities and Exchange Commission, 123 Notice of Appearance filed by Roomy Khan, 182 Judgment, 19 Notice of Appearance filed by Danielle Chiesi, 250 Declaration in Support of Motion filed by Securities and Exchange Commission, 78 Answer to Amended Complaint filed by Schottenfeld Group LLC, 108 Order, 33 Notice of Appearance filed by Rajiv Goel, 29 Order on Motion to Appear Pro Hac Vice, 181 Stipulation and Order, Add and Terminate Parties, 148 Answer to Amended Complaint, filed by Zvi Goffer, 209 Order on Motion to Appear Pro Hac Vice, 191 Protective Order, 183 Judgment, 66 MOTION for Jeffrey L. Borenstein to Appear Pro Hac Vice. filed by Choo-Beng Lee, 133 Letter, filed by Raj Rajaratnam, 126 Letter, filed by Securities and Exchange Commission, 207 Reply Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 136 Order, 25 Order Admitting Attorney Pro Hac Vice, 231 Judgment, 219 Consent Judgment, 197 MOTION for Francis J. DiMento to Appear Pro Hac Vice. filed by Steven Fortuna, 224 Transcript,, 101 Letter,, 92 Answer to Amended Complaint filed by Gautham Shankar, 31 Order, 2 Notice of Appearance filed by Securities and Exchange Commission, 80 Stipulation and Order, Set Deadlines/Hearings, 190 MOTION for Entry of Default as to Deep Shah. filed by Securities and Exchange Commission, 249 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 139 Notice of Appearance filed by Zvi Goffer, 228 Judgment, 81 Answer to Amended Complaint filed by Zvi Goffer, 43 Notice of Appearance filed by Choo-Beng Lee, 58 Affidavit of Service Other filed by Raj Rajaratnam, 51 Notice of Appearance filed by Anil Kumar, 180 Reply Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 85 Answer to Amended Complaint filed by Ali Hariri, 221 Judgment, 211 Order on Motion to Appear Pro Hac Vice, 245 Consent Judgment, 53 Notice of Appearance filed by Mark Kurland, 226 Transcript,, 172 Judgment, 167 Order,,,, 229 Order of Dismissal, 177 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 91 Answer to Amended Complaint filed by Steven Fortuna, 20 Notice of Appearance filed by Danielle Chiesi, 238 Response filed by Raj Rajaratnam, 118 Letter,, filed by Securities and Exchange Commission, 88 Answer to Complaint filed by Choo-Beng Lee, 15 Notice of Appearance filed by Galleon Management, LP, 79 Answer to Amended Complaint filed by Mark Kurland, 194 Order on Motion to Compel,, 143 Answer to Amended Complaint filed by Danielle Chiesi, 185 Judgment, 56 MOTION for Terence J. Lynam to Appear Pro Hac Vice. filed by Raj Rajaratnam, 61 Stipulation and Order, Set Deadlines,, 49 Notice of Appearance filed by David Plate, 218 Certificate of Service Other filed by Securities and Exchange Commission, 193 Order, 96 Notice of Appearance filed by Schottenfeld Group LLC, 3 Notice of Appearance filed by Securities and Exchange Commission, 122 Notice of Appearance filed by Danielle Chiesi, 40 Notice of Appearance filed by Ali T. Far, 75 Answer to Amended Complaint filed by Rajiv Goel, 116 Letter,, filed by Raj Rajaratnam, 168 Order, 178 Memorandum of Law in Opposition to Motion filed by Danielle Chiesi, 119 Letter,, filed by Securities and Exchange Commission, 5 Order for Initial Pretrial Conference, 69 Stipulation and Order, Set Deadlines,, 129 Order,, 52 Notice of Appearance filed by Mark Kurland, 217 Statement of Damages,, filed by Securities and Exchange Commission, 247 Endorsed Letter, 145 Answer to Amended Complaint filed by Raj Rajaratnam, 214 MOTION for Default Judgment as to Defendant Deep Shah. filed by Securities and Exchange Commission, 203 MOTION for James E. Sherry to Appear Pro Hac Vice. filed by Raj Rajaratnam, 107 Order, 198 MOTION for Michael S. Marino to Appear Pro Hac Vice. filed by Steven Fortuna, 233 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 16 Notice of Appearance filed by Galleon Management, LP, 132 Letter filed by Raj Rajaratnam, 205 MOTION for Jeffrey M. King to Appear Pro Hac Vice. filed by Raj Rajaratnam, 26 MOTION for William E. White to Appear Pro Hac Vice. filed by Raj Rajaratnam, 170 Order, Add and Terminate Attorneys,, 94 Order,, 11 Notice of Appearance filed by Anil Kumar, 97 MOTION for Leave to File Second Amended Complaint. filed by Securities and Exchange Commission, 105 Letter, filed by Danielle Chiesi, 157 Answer to Amended Complaint filed by Mark Kurland, 83 Stipulation and Order, 204 MOTION for Michael Starr to Appear Pro Hac Vice. filed by Raj Rajaratnam, 71 Answer to Amended Complaint filed by Robert Moffat, 110 Letter, filed by Danielle Chiesi, 117 Letter, filed by Zvi Goffer, 14 Order on Motion to Appear Pro Hac Vice, 37 Notice of Appearance filed by Robert Moffat, 59 Affidavit of Service Other filed by Raj Rajaratnam, 227 Notice of Filing Transcript, 124 Amended Complaint, filed by Securities and Exchange Commission, 87 Answer to Amended Complaint filed by Ali T. Far, 248 Memorandum of Law in Opposition to Motion, filed by Raj Rajaratnam, 113 Letter, filed by Schottenfeld Group LLC, 253 Stipulation and Order,, 230 Order of Dismissal, 109 Letter,, filed by Gautham Shankar, David Plate, Zvi Goffer, 39 Notice of Appearance filed by Ali Hariri, 239 Memorandum of Law in Opposition to Motion, filed by Galleon Management, LP, 57 Affidavit of Service Other filed by Raj Rajaratnam, 50 Notice of Appearance filed by Anil Kumar, 4 Order, Set Deadlines/Hearings, 82 MOTION for Silvestre A. Fontes to Appear Pro Hac Vice. filed by Securities and Exchange Commission, 175 Order, Set Deadlines/Hearings,,,, 7 Notice of Appearance filed by Securities and Exchange Commission, 21 Certificate of Service Other filed by Galleon Management, LP, 60 Notice of Appearance filed by Zvi Goffer, 72 Answer to Amended Complaint filed by New Castle Funds LLC, 128 Letter, filed by Securities and Exchange Commission, 142 Notice of Appeal filed by Danielle Chiesi, 173 Clerk's Judgment, 174 Order, 244 Counter Statement to Rule 56.1 filed by Securities and Exchange Commission, 55 Notice of Appearance filed by Mark Kurland, 242 Reply Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 134 Letter, filed by Securities and Exchange Commission, 152 Letter, filed by Robert Moffat, 235 Declaration in Support of Motion, filed by Securities and Exchange Commission, 41 Notice of Appearance filed by Ali T. Far, 237 Memorandum of Law in Opposition to Motion filed by Raj Rajaratnam, 234 Rule 56.1 Statement filed by Securities and Exchange Commission, 45 Order Admitting Attorney Pro Hac Vice, 251 Memorandum & Opinion,,,, 112 Letter, filed by Robert Mof
December 6, 2011 Filing 257 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Argument proceeding held on 10/28/11 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)
December 6, 2011 Filing 256 TRANSCRIPT of Proceedings re: Argument held on 10/28/2011 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Kristen Carannante, (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 12/30/2011. Redacted Transcript Deadline set for 1/9/2012. Release of Transcript Restriction set for 3/8/2012.(McGuirk, Kelly)
December 5, 2011 Filing 255 FINAL JUDGMENT AS TO DEFENDANT ZVI GOFFER #11,2335 in favor of Securities and Exchange Commission against Zvi Goffer in the amount of $ 325,273.89. (Signed by Judge Jed S. Rakoff on 12/4/11) (Attachments: # 1 Notice of Right to Appeal)(dt)
November 21, 2011 Filing 254 NOTICE OF APPEARANCE by Alexander Martin Dudelson on behalf of Zvi Goffer (Dudelson, Alexander)
November 17, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/17/2011. (djc)
November 15, 2011 Opinion or Order Filing 253 STIPULATION AND ORDER Modifying Final Judgment as to Defendant Raj Rajaratnam that Section IV of the Final Judgment (Doc. #252) As To Defendant Raj Rajaratnam entered by the Court on November 8, 2:011 be modified and amended so that Mr. Rajaratnam be required to pay civil penalties to the SEC as follows: $50,000,000 within fourteen days of the date of the entry of the final judgment and the balance of the penalty, $42,805,705, on or before January 15,2012. All other terms of the Final Judgment As To Defendant Raj Rajaratnam remain unchanged. (Signed by Judge Jed S. Rakoff on 11/11/11) (ml)
November 10, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/10/2011. (djc)
November 8, 2011 Filing 252 FINALJUDGMENT AS TO DEFENDANT RAJ RAJARATNAM #11,1246 in favor of Securities and Exchange Commission against Raj Rajaratnam in the amount of $ 92,805,705.00. (Signed by Judge Jed S. Rakoff on 11/8//11) (Attachments: # 1 Notice of Right to Appeal)(dt)
November 8, 2011 Opinion or Order Filing 251 OPINION AND ORDER:#101003 the Court trebles the defendant's figure of $30,935,235 and arrives at a civil penalty of $92,805,705, which is hereby imposed. Defendant is ordered to make this payment, no later than 14 days after entry of the accompanying Final Judgment as to Defendant Raj Rajaratnam, by certified check, bank cashier's check, or United States postal money order made payable to the United States Securities and Exchange Commission. This civil penalty is entirely in addition to the forfeiture and other financial payments ordered by Judge Holwell and may not be used to offset those payments in any respect. Finally, defendant Raj Rafjaratnam is hereby permanently enjoined from violating Section 10(b) of the Exchange Act, Rule 10b-5 promulgated thereunder, and Section 17(a) of the Securities Act. The Court retains jurisdiction of this matter for purposes of enforcing the terms of this Order and of the Final Judgment as to Defendant Raj Rajaratnam filed contemporaneously herewith. The Clerk of the Court is hereby directed to close document number 232 on the docket sheet of this case. (Signed by Judge Jed S. Rakoff on 11/8/2011) (ae) Modified on 11/15/2011 (jab).
November 3, 2011 Filing 250 DECLARATION of John Henderson in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
November 3, 2011 Filing 249 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
November 1, 2011 Filing 248 MEMORANDUM OF LAW in Opposition re: 232 MOTION for Summary Judgment. DEFENDANT'S RAJARATNAM'S POST-ARGUMENT SUPPLEMENTAL MEMORANDUM IN OPPOSITION TO PLAINTIFF'S MOTION FOR PARTIAL SUMMARY JUDGMENT. Document filed by Raj Rajaratnam. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Lynam, Terence)
October 31, 2011 Filing 247 ENDORSED LETTER addressed to Judge Jed S. Rakoff from Steven R. Glaser dated 10/28/2011 re: At the suggestion of the Court's ECF Docketing Section, I am requesting that you direct that I be removed from the list of counsel receiving e-mail notifications in this case, my client, New Castle, is no longer involved in this matter. ENDORSEMENT: So ordered. (Signed by Judge Jed S. Rakoff on 10/30/2011) (lmb)
October 31, 2011 Opinion or Order Filing 246 ORDER: It is hereby ordered, adjudged, and decreed that the date by which the Court shall determine whether it is appropriate to order a civil penalty against Goel and, if so, the amount of the penalty, is hereby adjourned to December 30, 2011. It is further ordered that, otherwise, the Consent Order and Judgment as to Defendant Rajiv Goel shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 10/30/2011) (lmb)
October 28, 2011 CASE ACCEPTED AS RELATED. Create association to 1:11-cr-00907-JSR. (sjo)
October 27, 2011 Filing 245 FINAL CONSENT JUDGMENT in favor of Securities and Exchange Commission against Galleon Management, LP, Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 10/25/2011) (Attachments: # 1 Notice of Right to Appeal)(jnm)
October 21, 2011 Filing 244 COUNTER STATEMENT TO 234 Rule 56.1 Statement. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
October 21, 2011 Filing 243 DECLARATION of John Henderson in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
October 21, 2011 Filing 242 REPLY MEMORANDUM OF LAW in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
October 19, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 10/19/2011. (ft)
October 17, 2011 Filing 241 COUNTER STATEMENT TO 234 Rule 56.1 Statement. Document filed by Galleon Management, LP. (Hakki, Adam)
October 17, 2011 Filing 240 DECLARATION of Terence Gilroy in Opposition re: 232 MOTION for Summary Judgment.. Document filed by Galleon Management, LP. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Gilroy, Terence)
October 17, 2011 Filing 239 MEMORANDUM OF LAW in Opposition re: 232 MOTION for Summary Judgment. Memorandum of Law of Defendant Galleon Management, L.P. in Opposition to Plaintiff's Motion for Partial Summary Judgment. Document filed by Galleon Management, LP. (Gilroy, Terence)
October 17, 2011 Filing 238 RESPONSE re: 234 Rule 56.1 Statement , RAJ RAJARATNAMS RESPONSE TO PLAINTIFFS STATEMENT OF UNDISPUTED MATERIAL FACTS AND COUNTERSTATEMENT OF UNDISPUTED MATERIAL FACTS. Document filed by Raj Rajaratnam. (Lynam, Terence)
October 17, 2011 Filing 237 MEMORANDUM OF LAW in Opposition re: 232 MOTION for Summary Judgment.. Document filed by Raj Rajaratnam. (Attachments: # 1 Exhibits A-C)(Lynam, Terence)
October 17, 2011 Opinion or Order Filing 236 ORDER: The date by which the Court shall determine whether it is appropriate to order a civil penalty against Khan and, if so, the amount of the penalty, is hereby adjourned to December 31, 2011. The Consent Order, and Judgment as to Defendant Roomy Khan shall remain in full force and effect. (Signed by Judge Jed S. Rakoff on 10/17/2011) (ab)
October 13, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 10/13/2011. (lmb)
October 7, 2011 Filing 235 DECLARATION of John Henderson in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A1-A5, # 2 Exhibit A6 pt.1, # 3 Exhibit A6 pt.2, # 4 Exhibit A6 pt.3, # 5 Exhibit A6 pt.4, # 6 Exhibit A7-A9, # 7 Exhibit A-Z, # 8 Exhibit AA-ZZ, # 9 Exhibit AAA-LLL, # 10 Exhibit MMM-ZZZ, # 11 Exhibit AAAA-IIII, # 12 Exhibit JJJJ-QQQQ, # 13 Exhibit RRRR)(Szczepanik, Valerie)
October 7, 2011 Filing 234 RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
October 7, 2011 Filing 233 MEMORANDUM OF LAW in Support re: 232 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
October 7, 2011 Filing 232 MOTION for Summary Judgment. Document filed by Securities and Exchange Commission. Responses due by 10/17/2011 Return Date set for 10/28/2011 at 05:00 PM.(Szczepanik, Valerie)
September 30, 2011 Filing 231 JUDGMENT #11,1875 in favor of Securities and Exchange Commission against Steven Fortuna in the amount of $ 301,344.00. (Signed by Judge Jed S. Rakoff on 9/29/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml)
September 30, 2011 Opinion or Order Filing 230 ORDER: The Clerk of the Court is hereby directed to remove Jason Evan Friedman from the docket in this case as an attorney of record for Plaintiff, and to terminate electronic notification to that individual's email address. (Signed by Judge Jed S. Rakoff on 9/29/2011) (rdz)
September 30, 2011 Filing 229 NOTICE OF DISMISSAL AS TO DEFENDANT S2 Capital Management, LP: PLEASE TAKE NOTICE that, pursuant to Federal Rule of Civil Procedure 41 (a)( 1 )(A),Plaintiff hereby dismisses its claims against defendant S2 Capital Management, LP, in the above captioned action. (Signed by Judge Jed S. Rakoff on 9/28/2011) (rdz) Modified on 9/30/2011 (rdz).
September 26, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 9/26/2011. (cd)
August 23, 2011 Filing 228 JUDGMENT #11,1634 in favor of Securities and Exchange Commission against Deep Shah in the amount of $ 34,561,724.93. (Signed by Judge Jed S. Rakoff on 8/22/11) (Attachments: # 1 Notice of Right to Appeal)(dt)
August 19, 2011 Filing 227 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 6/20/11 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 19, 2011 Filing 226 TRANSCRIPT of Proceedings re: Conference held on 6/20/2011 before Judge Jed S. Rakoff. 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 9/12/2011. Redacted Transcript Deadline set for 9/22/2011. Release of Transcript Restriction set for 11/21/2011.(McGuirk, Kelly)
August 16, 2011 Filing 225 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 6/20/11 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 16, 2011 Filing 224 TRANSCRIPT of Proceedings re: Conference held on 6/2/2011 before Judge Jed S. Rakoff. 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 9/9/2011. Redacted Transcript Deadline set for 9/19/2011. Release of Transcript Restriction set for 11/17/2011.(McGuirk, Kelly)
August 15, 2011 Filing 223 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 7/5/11 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 15, 2011 Filing 222 TRANSCRIPT of Proceedings re: Conference held on 7/5/2011 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Pamela Utter, (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 9/8/2011. Redacted Transcript Deadline set for 9/19/2011. Release of Transcript Restriction set for 11/17/2011.(McGuirk, Kelly)
July 12, 2011 Filing 221 FINAL JUDGMENT #11,1301 in favor of Securities and Exchange Commission against Danielle Chiesi in the amount of $ 540,534.90. (Signed by Judge Jed S. Rakoff on 7/11/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml)
July 5, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Pretrial Conference held on 7/5/2011, (Motion by 10/7/2011, Reply due by 10/21/2011, Response due by 10/17/2011, TD ADJ to 11/14/2011, Oral Argument set for 10/28/2011 at 05:00 PM before Judge Jed S. Rakoff.) (ft)
June 30, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 6/30/2011. (mbe)
June 29, 2011 Filing 220 CONSENT JUDGMENT # 11,1239 in favor of Securities and Exchange Commission against David Plate in the amount of $ 53,291.91. (Signed by Judge Jed S. Rakoff on 6/27/11) (Attachments: # 1 notice of right to appeal)(ml)
June 28, 2011 Filing 219 CONSENT JUDGMENT # 11,1239 in favor of Securities and Exchange Commission against David Plate in the amount of $ 53,291.91. (Signed by Judge Jed S. Rakoff on 6/26/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml)
June 23, 2011 Filing 218 CERTIFICATE OF SERVICE of Motion for Default Judgment served on Deep Shah on 6.23.2011. Service was made by UPS Int'l Courier. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
June 23, 2011 Filing 217 STATEMENT OF DAMAGES. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4(a)-4(g), # 5 Exhibit 4(h)-4(j), # 6 Exhibit 4(k)-4(l), # 7 Exhibit 4(m), # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 8, # 12 Exhibit 9, # 13 Exhibit 10, # 14 Exhibit 11, # 15 Exhibit 12, # 16 Exhibit 13, # 17 Exhibit 14, # 18 Exhibit 15, # 19 Exhibit 16, # 20 Exhibit 17, # 21 Exhibit 18, # 22 Exhibit 19, # 23 Exhibit 20, # 24 Exhibit 21)(Szczepanik, Valerie)
June 23, 2011 Filing 216 DECLARATION of Timothy Casey in Support re: 214 MOTION for Default Judgment as to Defendant Deep Shah.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
June 23, 2011 Filing 215 MEMORANDUM OF LAW in Support re: 214 MOTION for Default Judgment as to Defendant Deep Shah.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
June 23, 2011 Filing 214 MOTION for Default Judgment as to Defendant Deep Shah. Document filed by Securities and Exchange Commission.(Szczepanik, Valerie)
June 16, 2011 CASHIERS OFFICE REMARK on 208 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 06/09/2011, Receipt Number 8831. (jd)
June 15, 2011 Opinion or Order Filing 213 CONSENT ORDER AND JUDGMENT # 11,1162 in favor of Securities and Exchange Commission against Gautham Shankar in the amount of $ 277,567.94. (Signed by Judge Jed S. Rakoff on 6/14/11) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml)
June 15, 2011 Opinion or Order Filing 212 ORDER granting 208 Motion for Catherine E. Creely to Appear Pro Hac Vice.. (Signed by Judge Jed S. Rakoff on 6/14/2011) (jpo)
June 13, 2011 Opinion or Order Filing 211 ORDER granting 205 Motion for Jeffrey M. King to Appear Pro Hac Vice for Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 6/13/11) (cd)
June 13, 2011 Opinion or Order Filing 210 ORDER granting 204 Motion for Michael Starr to Appear Pro Hac Vice for Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 6/13/11) (cd)
June 13, 2011 Opinion or Order Filing 209 ORDER granting 203 Motion for James E. Sherry to Appear Pro Hac Vice for Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 6/13/11) (cd)
June 10, 2011 Filing 207 REPLY MEMORANDUM OF LAW in Support re: 195 MOTION in Limine to Preclude Defendants' Expert's Testimony and Other Disclosures.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
June 9, 2011 Filing 208 MOTION for Catherine E. Creely to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(pgu)
June 9, 2011 CASHIERS OFFICE REMARK on 203 Motion to Appear Pro Hac Vice, 205 Motion to Appear Pro Hac Vice, 204 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 06/03/2011, Receipt Number 8310. (jd)
June 8, 2011 Opinion or Order Filing 206 CONSENT ORDER AND JUDGMENT AS TO DEFENDANT GAUTHAM SHANKAR #11,1063 in favor of Securities and Exchange Commission against Gautham Shankar in the amount of $ 277,567.94. (Signed by Judge Jed S. Rakoff on 6/7/11) (Attachments: # 1 Notice of Right to Appeal)(dt)
June 8, 2011 CASHIERS OFFICE REMARK on 198 Motion to Appear Pro Hac Vice, 197 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 05/25/2011, Receipt Number 7659. (jd)
June 7, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 6/7/2011. (ft)
June 6, 2011 Opinion or Order Filing 202 ORDER: Accordingly, the SEC requests that summary judgment practice be adjourned so that it may include its contemplated arguments regarding collateral estoppel in its papers. rd. at 3. The argument is not without force. However, the Court is not willing, given its own complicated trial schedule, which now extends until 2012, to move the trial from its long-set date of August 22, 2011. Fortunately, there is a way to accommodate the SEC's concerns without moving the trial date. First, the schedule for summary judgment for all parties not affected by the Rajaratnam verdict will remain as previously set. Second, if the SEC, Rajaratnam, or any other party affected by the Rajaratnam verdict wishes to have summary judgment practice after the July 29, 2011 sentence date, they may, in lieu of the aforementioned summary judgment schedule, proceed to summary judgment motion practice on the following expedited schedule: moving papers to be filed by August 3, 2011, opposition papers to be filed by August 9, 2011, no reply papers, oral argument on August 12, 2011 at 4:00P.M., and decision by August 15, 2011. (Signed by Judge Jed S. Rakoff on 6/6/2011) (js)
June 3, 2011 Filing 205 MOTION for Jeffrey M. King to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(pgu)
June 3, 2011 Filing 204 MOTION for Michael Starr to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(pgu)
June 3, 2011 Filing 203 MOTION for James E. Sherry to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(sjo)
June 3, 2011 Filing 201 MEMORANDUM OF LAW in Opposition re: 195 MOTION in Limine to Preclude Defendants' Expert's Testimony and Other Disclosures.. Document filed by Raj Rajaratnam. (Lynam, Terence)
May 31, 2011 Opinion or Order Filing 200 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 197 Motion for Francis J. DiMento to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 5/28/2011) (jfe)
May 31, 2011 Opinion or Order Filing 199 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 198 Motion for Michael S. Marino to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 5/28/2011) (jfe)
May 25, 2011 Filing 198 MOTION for Michael S. Marino to Appear Pro Hac Vice. Document filed by Steven Fortuna.(sjo)
May 25, 2011 Filing 197 MOTION for Francis J. DiMento to Appear Pro Hac Vice. Document filed by Steven Fortuna.(sjo)
May 20, 2011 Filing 196 MEMORANDUM OF LAW in Support re: 195 MOTION in Limine to Preclude Defendants' Expert's Testimony and Other Disclosures.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3)(Szczepanik, Valerie)
May 20, 2011 Filing 195 MOTION in Limine to Preclude Defendants' Expert's Testimony and Other Disclosures. Document filed by Securities and Exchange Commission. Return Date set for 6/20/2011 at 04:00 PM.(Szczepanik, Valerie)
May 11, 2011 Filing 194 MEMORANDUM; granting 176 Motion to Compel. That on December 17, 2010, the SEC renewed its motion to compel defendants Raj Rajaratnam and Danielle Chiesi to produce to the SEC all relevant wiretapped communications in their possession. Accordingly, the Court concluded that the SEC's right of access to the wiretaps significantly outweighed defendants' remaining privacy interests. The Court also considered defendants' other arguments and found them without merit. Accordingly, the Court issued, and now reaffirms, its January 31, 2011 Order granting the SEC's renewed motion. (Signed by Judge Jed S. Rakoff on 5/10/11) (pl)
May 5, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 5/5/2011. (cd)
May 4, 2011 Opinion or Order Filing 193 ORDER: In light of the above representations, the Court hereby grants Mr. Schaeffer's motion to be relieved as counsel and approves the substitution of Messrs. DiMento and Marino as new counsel for defendant Steven Fortuna. (Signed by Judge Jed S. Rakoff on 5/3/2011) (tro)
April 25, 2011 Opinion or Order Filing 192 ORDER: In light of the above representations, the Court hereby grants Anderson Kill's motion to withdraw as counsel and approves the substitution of William Barzee as new counsel for defendant Goffer. (Signed by Judge Jed S. Rakoff on 4/22/2011) (jpo)
April 19, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 4/19/2011. (mbe)
March 24, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 3/24/2011. (mbe)
March 22, 2011 Opinion or Order Filing 191 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Jed S. Rakoff on 3/21/11) (cd)
March 4, 2011 Filing 190 MOTION for Entry of Default as to Deep Shah. Document filed by Securities and Exchange Commission.(Szczepanik, Valerie)
March 4, 2011 Filing 189 AFFIDAVIT OF SERVICE. Deep Shah served on 3/22/2010, answer due 5/21/2010. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit A)(Szczepanik, Valerie)
February 17, 2011 Filing 188 TRANSCRIPT of proceedings held on January 21, 2011 2:10 p.m. before Judge Jed S. Rakoff. (ajc)
February 4, 2011 Filing 187 TRANSCRIPT of proceedings held on 1/21/2011, 2:10 p.m. before Judge Jed S. Rakoff. (rjm)
February 4, 2011 Filing 185 FINAL JUDGMENT AS TO DEFENDANT ALI HARIRI #11,0207 in favor of Securities and Exchange Commission against Ali Hariri in the amount of $ 2,665.68. (Signed by Judge Jed S. Rakoff on 2/3/11) (Attachments: # 1 Notice of Right to Appeal)(dt)
February 3, 2011 Opinion or Order Filing 186 ORDER: All Depositions due by 10/17/2011. All Discovery due by 10/17/2011. Summary Judgment Motions due by 10/26/2011. Responses due by 11/7/2011. Replies due by 11/14/2011. Final Pretrial Conference set for 11/18/2011 at 04:00 PM before Judge Jed S. Rakoff. Jury Trial set for 12/5/2011 at 09:00 AM before Judge Jed S. Rakoff. Oral Argument set for 11/18/2011 at 04:00 PM before Judge Jed S. Rakoff.) (Signed by Judge Jed S. Rakoff on 2/3/11) (db)
February 3, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/3/2011. (mro)
February 1, 2011 Opinion or Order Filing 184 ORDER. For reasons that will be explained in a forthcoming Memorandum, the Court hereby orders that defendants produce to the SEC all the communications and corresponding line sheets they have now conceded are relevant to the instant action by no later than February 4, 2011. The Court further orders defendants to produce to the SEC the remaining communications and corresponding line sheets sought in the SEC's discovery request by no later than February 11, 2011. All such discovery remains subject to the Court's protective order of December 16, 2009, and defendants may designate as confidential the identities of innocent third-parties pursuant to the terms of that order. Additionally, in light of the schedule of defendant Zvi Goffer's criminal trial before the Honorable Richard Sullivan and on the consent of all parties, the Court hereby severs Goffer's case from the instant action. The SEC and defense counsel for Goffer are instructed to convene a conference call to Chambers by no later than February 4, 2011 to set a schedule for further proceedings in the Goffer matter. Finally, the Court hereby sets the following schedule as set forth for further proceedings for all remaining parties in the above-captioned case. Every party-proponent of a claim (including any counterclaim, cross claim, or third-party claim) that intends to offer expert testimony in respect of such claim must make the disclosures required by Fed. R. Civ. P. 26(a) (2) by April 15, 2011. Every party-opponent of such claim that intends to offer expert testimony in opposition to such claim must make the disclosures required by Fed. R. Civ. P. 26(a) (2) by April 29, 2011, and as further scheduled in this order. (All Deposition due by 6/30/2011. All Discovery due by 6/30/2011. Summary Judgment Motions due by 7/8/2011. Joint Pretrial Order due by 8/12/2011. Responses due by 7/22/2011. Replies due by 7/29/2011. Final Pretrial Conference set for 8/5/2011 at 04:30 PM before Judge Jed S. Rakoff. Jury Trial set for 8/22/2011 at 09:00 AM before Judge Jed S. Rakoff. Oral Argument set for 8/5/2011 at 04:30 PM before Judge Jed S. Rakoff.) (Signed by Judge Jed S. Rakoff on 1/31/2011) (rjm)
February 1, 2011 Filing 183 FINAL JUDGMENT in favor of Securities and Exchange Commission against Robert Moffat. (Signed by Judge Jed S. Rakoff on 1/31/11) (Attachments: # 1 notice of right to appeal)(ml)
January 31, 2011 Filing 182 FINAL JUDGMENT AS TO DEFENDANT MARK KURLLAND #11,0167 in favor of Securities and Exchange Commission against Mark Kurland in the amount of $ 4,418,183.77. (Signed by Judge Jed S. Rakoff on 1/31/11) (Attachments: # 1 Notice of Right to Appeal)(dt) Modified on 2/7/2011 (ae).
January 31, 2011 Opinion or Order Filing 181 STIPULATION AND ORDER AS TO DEFENDANT NEW CASTLE FUNDS LLC. The Court hereby dismisses the Commission's claims against New Castle Funds LLC, with prejudice. New Castle Funds LLC terminated. (Signed by Judge Jed S. Rakoff on 1/31/2011) (rjm)
January 28, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/28/2011. (jfe)
January 26, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/26/2011. (ab)
January 21, 2011 Minute Entry for proceedings held before Judge Jed S. Rakoff: Oral Argument held on 1/21/2011 re: 176 MOTION to Compel Production of Relevant Wiretapped Communications. filed by Securities and Exchange Commission. (mbe)
January 11, 2011 Filing 180 REPLY MEMORANDUM OF LAW in Support re: 176 MOTION to Compel Production of Relevant Wiretapped Communications.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
January 5, 2011 Filing 179 MEMORANDUM OF LAW in Opposition re: 176 MOTION to Compel Production of Relevant Wiretapped Communications.. Document filed by Raj Rajaratnam. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Hotz, Robert)
January 5, 2011 Filing 178 MEMORANDUM OF LAW in Opposition re: 176 MOTION to Compel Production of Relevant Wiretapped Communications.. Document filed by Danielle Chiesi. (Kaufman, Alan)
December 17, 2010 Filing 177 MEMORANDUM OF LAW in Support re: 176 MOTION to Compel Production of Relevant Wiretapped Communications.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
December 17, 2010 Filing 176 MOTION to Compel Production of Relevant Wiretapped Communications. Document filed by Securities and Exchange Commission. Return Date set for 1/20/2011 at 05:00 PM.(Szczepanik, Valerie)
December 7, 2010 Opinion or Order Filing 175 ORDER: Plaintiff's renewed motion must be filed by December 17, 2010; Defendants' opposition papers must be filed by January 5, 2011; Plaintiff's reply papers must be filed by January 12, 2011; and Oral argument on the motion will be held on January 20, 2011 at 5:00 p.m. Meanwhile, deposition discovery in the case is stayed until the oral argument on January 20, 2011, at which point the Court will consider a schedule for deposition discovery. Similarly, the trial currently set to begin on February 14, 2011 is hereby adjourned, and the rescheduling of the trial will be considered at the time of the January 20, 2011 oral argument. (Signed by Judge Jed S. Rakoff on 12/6/2010) (jpo)
November 30, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/30/2010. (pl)
November 10, 2010 Opinion or Order Filing 174 ORDER Accordingly, all deposition discovery in the case is hereby adjourned until one week after that suppression motion is decided (without prejudice to further adjournments thereafter, depending on the circumstances). Meanwhile, however, document discovery shall proceed as scheduled in accordance with the Court's case management plan. (Signed by Judge Jed S. Rakoff on 11/9/10) (cd)
November 5, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/5/2010. (mro)
November 5, 2010 Filing 173 CONSENT JUDGMENT # 10,1939 in favor of Securities and Exchange Commission against Rajiv Goel in the amount of $ 254,017.73. (Signed by Judge Jed S. Rakoff on 11/4/10) (Attachments: # 1 notice of right to appeal)(ml)
October 27, 2010 Opinion or Order Filing 172 JUDGMENT AND CONSENT ORDER #10,1905 in favor of Securities and Exchange Commission against Roomy Khan in the amount of $ 1,856,965.71. (Signed by Judge Jed S. Rakoff on 10/27/10) (Attachments: # 1 NOTICE OF RIGHT TO APPEAL)(ml)
October 21, 2010 Transmission of USCA Mandate/Order to the District Judge re: 171 USCA Mandate,,. (nd)
October 20, 2010 Filing 171 MANDATE of USCA (Certified Copy) as to 137 Notice of Appeal filed by Raj Rajaratnam, 142 Notice of Appeal filed by Danielle Chiesi USCA Case Number 10-0462-cv (L). It is hereby Ordered, Adjudged and Decreed that the petition for writ of mandamus is GRANTED, the district court's discovery order is VACATED, and the case is REMANDED to the district court for further proceedings in accordance with the opinion of this court. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/20/2010. (nd)
September 27, 2010 Filing 170 NOTICE OF WITHDRAWAL OF MICHAEL P. HOLLAND AS COUNSEL FOR NEW CASTLE FUNDS LLC. PLEASE TAKE NOTICE THAT Michael P. Holland, formerly of the law firm Skadden, Arps, Slate, Meagher & Flom LLP, hereby withdraws his appearance in this case as one of the attorneys of record for Defendant New Castle Funds LLC. Attorney Michael Patrick Holland terminated. (Signed by Judge Jed S. Rakoff on 9/25/10) (rjm)
August 13, 2010 Filing 169 NOTICE OF APPEARANCE by Kevin Patrick McGrath on behalf of Securities and Exchange Commission (McGrath, Kevin)
August 10, 2010 Opinion or Order Filing 168 ORDER. The Clerk of the Court is hereby directed to remove Israel E. Friedman from the docket in this case as an attorney for record for Plaintiff, and to terminate electronic notification to that individual's email address. (Signed by Judge Jed S. Rakoff on 8/9/10); (djc)
July 23, 2010 Opinion or Order Filing 167 ORDER; On May 18, 2010, the Court issued an order quashing, among other things, Defendant Raj Rajaratnam's request for complete forensic copies of certain computers of Defendant Roomy Khan that were in the possession of the Plaintiff Securities and Exchange Commission. In the May 18 Order the Court held that the order to quash was "without prejudice to Rajaratnam's propounding more tailored and less speculative requests in each of these categories." Mr. Rajaratnam has now submitted a more tailored request. Specifically. Mr. Rajaratnam has proposed search terms that can be used to search the forensic images. Mr. Rajaratnam, Ms. Khan, and the SEC have agreed to the following general procedures that are set forth in this Order with respect to those searches: The SEC's custodian of the forensic images is directed to mail unencrypted copies of the forensic images to its New York Regional Office for release to the third party vendor when reasonably practicable. (Signed by Judge Jed S. Rakoff on 7/23/10) (pl) Modified on 7/27/2010 (pl).
July 7, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 7/7/2010. (mro)
May 18, 2010 Opinion or Order Filing 166 ORDER: The Court hereby grants defendant Khan's motion quashing Rajaratnam's requests for the three above-mentioned categories of information. This ruling is, however, without prejudice to Rajaratnam's propounding more tailored and less speculative requests in each of these categories. SO ORDERED. (Signed by Judge Jed S. Rakoff on 5/18/2010) (tve) Modified on 6/1/2010 (tve).
May 17, 2010 Filing 165 CONSENT ORDER AND JUDGMENT AS TO DEFENDANT KUMAR #10,0814:The Securities and Exchange Commission having filed a Second Amended Complaint("Complaint") and Defendant Anil Kumar ("Defendant") having entered a general appearance; agreed that the Court has jurisdiction over Defendant and the subject matter of this action;consented to entry of this Consent Order; waived findings of fact and conclusions of law; and waived any right to appeal from this Consent Order: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Consent Order by personal service or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security:otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 1O(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule] 10b-5 promulgated thereunder [17 C.F.R. § 240.l0b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for $2,600,000, representing profits gained and/or losses avoided as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $190,621.In the event that an order of criminal forfeiture is entered against Defendant in the criminal case before the United States District Court of the Southern District of New York titled, United States v. Anil Kumar, IO-CR-000l3, then Defendant's monetary obligations, including all outstanding pre and post judgment interest, will be credited dollar for dollar by the amount of the criminal forfeiture order. The monetary obligations ordered by this Consent Order shall become due thirty (30) days after entry of the Judgment of Conviction in the criminal case, or two (2) years from the date of the entry of this Consent Order, whichever comes first. All other provisions as set forth in this order. So Ordered Modified on 5/17/2010 (js). Modified on 5/18/2010 (ml).
May 7, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 5/7/2010. (mro)
April 28, 2010 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 61 Stipulation and Order, Set Deadlines, 36 Notice of Appearance filed by Schottenfeld Group LLC, 6 Notice of Appearance filed by Securities and Exchange Commission, 28 Notice of Appearance filed by Robert Moffat, 49 Notice of Appearance filed by David Plate, 99 Declaration in Support of Motion filed by Securities and Exchange Commission, 96 Notice of Appearance filed by Schottenfeld Group LLC, 122 Notice of Appearance filed by Danielle Chiesi, 73 Answer to Amended Complaint filed by Anil Kumar, 3 Notice of Appearance filed by Securities and Exchange Commission, 75 Answer to Amended Complaint filed by Rajiv Goel, 40 Notice of Appearance filed by Ali T. Far, 54 Notice of Appearance filed by Mark Kurland, 154 Protective Order, 116 Letter, filed by Raj Rajaratnam, 98 Memorandum of Law in Support of Motion filed by Securities and Exchange Commission, 119 Letter, filed by Securities and Exchange Commission, 5 Order for Initial Pretrial Conference, 69 Stipulation and Order, Set Deadlines, 138 Order, Set Hearings, 129 Order, 52 Notice of Appearance filed by Mark Kurland, 145 Answer to Amended Complaint filed by Raj Rajaratnam, 107 Order, 16 Notice of Appearance filed by Galleon Management, LP, 132 Letter filed by Raj Rajaratnam, 42 Notice of Appearance filed by Ali T. Far, 34 Notice of Appearance filed by Galleon Management, LP, 26 MOTION for William E. White to Appear Pro Hac Vice filed by Raj Rajaratnam, 94 Order, 11 Notice of Appearance filed by Anil Kumar, 97 MOTION for Leave to File Second Amended Complaint filed by Securities and Exchange Commission, 159 Case Management Plan, 157 Answer to Amended Complaint filed by Mark Kurland, 105 Letter, filed by Danielle Chiesi, 8 Notice of Appearance filed by Raj Rajaratnam, 83 Stipulation and Order, 110 Letter, filed by Danielle Chiesi, 71 Answer to Amended Complaint filed by Robert Moffat, 117 Letter, filed by Zvi Goffer, 10 Notice of Appearance filed by Anil Kumar, 76 Answer to Amended Complaint filed by Galleon Management, LP, 14 Order on Motion to Appear Pro Hac Vice, 162 Letter, filed by Securities and Exchange Commission, Schottenfeld Group LLC, 37 Notice of Appearance filed by Robert Moffat, 59 Affidavit of Service Other filed by Raj Rajaratnam, 140 Answer to Amended Complaint filed by New Castle Funds LLC, 124 Amended Complaint, filed by Securities and Exchange Commission, 131 Letter, 87 Answer to Amended Complaint filed by Ali T. Far, 113 Letter, filed by Schottenfeld Group LLC, 144 Answer to Amended Complaint filed by Robert Moffat, 160 Letter, filed by Securities and Exchange Commission, 109 Letter, filed by Gautham Shankar, David Plate, Zvi Goffer, 48 Answer to Amended Complaint filed by Raj Rajaratnam, 62 Order, Set Deadlines/Hearings, 46 Stipulation and Order, Add and Terminate Attorneys, 39 Notice of Appearance filed by Ali Hariri, 9 Notice of Appearance filed by Raj Rajaratnam, 153 Answer to Amended Complaint filed by Steven Fortuna, 115 Letter, filed by Danielle Chiesi, 146 Answer to Amended Complaint filed by Galleon Management, LP, 57 Affidavit of Service Other filed by Raj Rajaratnam, 47 Stipulation and Order, Set Deadlines/Hearings, 50 Notice of Appearance filed by Anil Kumar, 4 Order, Set Deadlines/Hearings, 82 MOTION for Silvestre A. Fontes to Appear Pro Hac Vice filed by Securities and Exchange Commission, 7 Notice of Appearance filed by Securities and Exchange Commission, 21 Certificate of Service Other filed by Galleon Management, LP, 60 Notice of Appearance filed by Zvi Goffer, 17 Rule 7.1 Corporate Disclosure Statement filed by Galleon Management, LP, 128 Letter, filed by Securities and Exchange Commission, 72 Answer to Amended Complaint filed by New Castle Funds LLC, 142 Notice of Appeal filed by Danielle Chiesi, 24 Case Management Plan, 68 Order Admitting Attorney Pro Hac Vice, 77 Rule 7.1 Corporate Disclosure Statement filed by Schottenfeld Group LLC, 55 Notice of Appearance filed by Mark Kurland, 89 Notice of Appearance filed by Steven Fortuna, 134 Letter, filed by Securities and Exchange Commission, 100 Memorandum of Law in Opposition to Motion filed by Raj Rajaratnam, 152 Letter, filed by Robert Moffat, 127 Letter, filed by Danielle Chiesi, Raj Rajaratnam, 111 Letter, filed by Raj Rajaratnam, 41 Notice of Appearance filed by Ali T. Far, 45 Order Admitting Attorney Pro Hac Vice, 84 Answer to Amended Complaint filed by David Plate, 64 Notice of Appearance filed by New Castle Funds LLC, 112 Letter, filed by Robert Moffat, 12 Notice of Appearance filed by Anil Kumar, 90 Notice of Appearance filed by Steven Fortuna, 163 Order, 74 Answer to Amended Complaint filed by Danielle Chiesi, 44 Notice of Appearance filed by David Plate, 86 Protective Order, 35 Notice of Appearance filed by Schottenfeld Group LLC, 1 Complaint filed by Securities and Exchange Commission, 123 Notice of Appearance filed by Roomy Khan, 30 Amended Complaint, filed by Securities and Exchange Commission, 19 Notice of Appearance filed by Danielle Chiesi, 93 Order on Motion to Appear Pro Hac Vice, 13 MOTION for John M. Dowd to Appear Pro Hac Vice filed by Raj Rajaratnam, 18 Notice of Appearance filed by Danielle Chiesi, 78 Answer to Amended Complaint filed by Schottenfeld Group LLC, 108 Order, 33 Notice of Appearance filed by Rajiv Goel, 29 Order on Motion to Appear Pro Hac Vice, 23 Rule 7.1 Corporate Disclosure Statement filed by New Castle Funds LLC, 65 Certificate of Service Other filed by New Castle Funds LLC, 148 Answer to Amended Complaint, filed by Zvi Goffer, 66 MOTION for Jeffrey L. Borenstein to Appear Pro Hac Vice filed by Choo-Beng Lee, 133 Letter, filed by Raj Rajaratnam, 126 Letter, filed by Securities and Exchange Commission, 22 Notice of Appearance filed by New Castle Funds LLC, 136 Order, 25 Order Admitting Attorney Pro Hac Vice, 147 Answer to Amended Complaint filed by David Plate, 130 Letter, filed by Roomy Khan, 149 Answer to Amended Complaint filed by Zvi Goffer, 137 Notice of Appeal filed by Raj Rajaratnam, 101 Letter, 92 Answer to Amended Complaint filed by Gautham Shankar, 31 Order, 2 Notice of Appearance filed by Securities and Exchange Commission, 27 Notice of Appearance filed by Robert Moffat, 120 Judgment, 80 Stipulation and Order, Set Deadlines/Hearings, 70 Order on Motion to Appear Pro Hac Vice, 141 USCA Order Non-Dismissal, 139 Notice of Appearance filed by Zvi Goffer, 103 Letter, filed by Securities and Exchange Commission, 81 Answer to Amended Complaint filed by Zvi Goffer, 43 Notice of Appearance filed by Choo-Beng Lee, 164 Judgment, 58 Affidavit of Service Other filed by Raj Rajaratnam, 135 Letter, filed by Securities and Exchange Commission, 114 Letter, filed by Securities and Exchange Commission, 102 Letter, filed by Securities and Exchange Commission, 106 Letter, filed by Zvi Goffer, 51 Notice of Appearance filed by Anil Kumar, 85 Answer to Amended Complaint filed by Ali Hariri, 161 Order, 150 Answer to Amended Complaint filed by Schottenfeld Group LLC, 53 Notice of Appearance filed by Mark Kurland, 32 Notice of Appearance filed by Rajiv Goel, 91 Answer to Amended Complaint filed by Steven Fortuna, 20 Notice of Appearance filed by Danielle Chiesi, 118 Letter, filed by Securities and Exchange Commission, 104 Letter filed by Raj Rajaratnam, 158 Order, 88 Answer to Complaint filed by Choo-Beng Lee, 15 Notice of Appearance filed by Galleon Management, LP, 79 Answer to Amended Complaint filed by Mark Kurland, 67 Notice of Appearance filed by Gautham Shankar, 143 Answer to Amended Complaint filed by Danielle Chiesi, 63 Stipulation and Order, Set Deadlines, 56 MOTION for Terence J. Lynam to Appear Pro Hac Vice filed by Raj Rajaratnam USCA Case Number 10-0462, were transmitted to the U.S. Court of Appeals. (tp)
April 12, 2010 Filing 162 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik and Kenneth Breen dated 4/7/10 re: The Commission and Schottenfeld Group request that Your Honor enter the proposed judgment with respect to defendant Schottenfeld Group which would resolve all issues in this action with respect to that defendant. Document filed by Schottenfeld Group LLC, Securities and Exchange Commission.(mro)
April 5, 2010 Opinion or Order Filing 161 ORDER: The parties, jointly or severally, are hereby ordered to file with the Court, by no later than April 12, 2010, one or more formal statements setting forth: (1) the details of how the disgorgement figure was calculated, including the particulars of the violations involved and how the related trading profits or losses were arrived at; (2) the specifics of the recommendations for enhancedcompliance made to Schottenfeld by its outside counsel and the manner in which Schottenfeld proposes to implement those recommendations; and (3) the timing and manner of the appointment of the independent consultant, including the selection criteria. (Signed by Judge Jed S. Rakoff on 4/5/10) (db)
April 5, 2010 Filing 160 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 3/29/10 re: The Commission requests that Your Honor enter the proposed judgment with respect to the defendant Schottenfeld Group, which would resolve all issues in this action with respect to that defendant. Document filed by Securities and Exchange Commission.(mro) Modified on 4/6/2010 (mro).
April 5, 2010 Filing 159 CIVIL CASE MANAGEMENT PLAN: Ready for Trial by 2/14/2011. This case is to be tried to a jury. All depositions (including any expert depositions, see item 3 of this Order) must be completed by 1/7/2011. All Discovery due by 1/7/2011. Post-discovery summary judgment motions are to be served and filed by 1/14/2011. Responses are to be served and filed by 1/21/2011. Replies are to be served and filed by 1/26/2011. A final pretrial conference, as well as oral argument on any post-discovery summary judgment motions, shall be held on 2/1/2011 at 04:00 PM before Judge Jed S. Rakoff. Pretrial Order due by 2/10/2011. The Court will decide any summary judgment motion by 2/4/11. No motions in limine will be permitted. The Joint Pretrial Order will be due on 2/10/11. (Signed by Judge Jed S. Rakoff on 4/3/2010) (tro)
March 24, 2010 Opinion or Order Filing 158 ORDER Now, however, a further factor has tipped the balance toward adjournment. Specifically, the Court of Appeals has today stayed the prior order of this Court directing certain defendants to turn over to the plaintiff Securities and Exchange Commission the wiretapped conversations received by these defendants in the parallel criminal matter. See S.E.C. v. Galleon Management, LP, 10-0462-cv (Lead) (2d Cir. Mar. 24, 2010) (order granting stay pending appeal). The stay order also sets forth the schedule for the briefing of the appeal from this Court's order, with the final brief to be filed on June 8, 2010 and oral argument to be heard thereafter. Moreover, comments made by the presiding judge during the oral argument before the Court of Appeals suggest that the resolution of that appeal may also be affected by the resolution of the suppression hearing on the wiretap evidence currently scheduled to commence before Judge Holwell on June 17, 2010. Since, therefore, resolution of the wiretap issue cannot realistically be expected before July 2010, an August 2 trial is no longer practical, and counsel for several of the defendants will thereafter be occupied in preparing for the criminal trial set for October 2010. Thus, with reluctance, the Court hereby adjourns the trial of this case until Monday, February 14, 2011. Counsel should consult with one another as to a proposed new case management plan in light of this change, and fax to the Court their proposed joint plan or respective differing plans by no later than March 31, 2010. SO ORDERED. (Signed by Judge Jed S. Rakoff on 3/24/2010) (jmi)
March 11, 2010 Filing 157 ANSWER to Amended Complaint. Document filed by Mark Kurland. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Theodore, Theodore)
March 11, 2010 Filing 156 TRANSCRIPT of proceedings held on 2/19/10 before Judge Jed S. Rakoff. (pl)
March 10, 2010 Filing 155 TRANSCRIPT of proceedings held on February 19, 2010 2:00 p.m. before Judge Jed S. Rakoff. (ajc)
February 25, 2010 Opinion or Order Filing 154 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge Jed S. Rakoff on 2/24/2010) (jpo)
February 24, 2010 Filing 153 ANSWER to Amended Complaint. Document filed by Steven Fortuna. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit of Service)(Bernard, Adler)
February 24, 2010 Filing 152 LETTER addressed to Judge Jed S. Rakoff from Kenneth L. Schacter dated 2/22/2010 re: We represent defendant Robert Moffat in the above-referenced matter. I am writing to address a legal issue that arose during the conference on Friday, February 19, 2010, concerning the Government's motion to adjourn the trial in this matter until after the conclusion of the trial in United States v. Rajaratnam et al., No. 09 Cr. 1184 (RJH). Document filed by Robert Moffat. (rw)
February 19, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Pretrial Conference held on 2/19/2010. The Court granted the U.S. Attorney's Office motion to intervene in this case. The Court reserved decision on the application to adjourn the trial date set for August 2nd. (mro)
February 18, 2010 Filing 151 TRANSCRIPT of proceedings held on January 25, 2010 4:57 p.m. before Judge Jed S. Rakoff. (ajc)
February 18, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/18/2010. (mro)
February 18, 2010 Filing 150 ANSWER to Amended Complaint. Document filed by Schottenfeld Group LLC. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Bajwa, Hissan)
February 18, 2010 Filing 149 ANSWER to Amended Complaint. Document filed by Zvi Goffer. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Monaco, Cynthia)
February 17, 2010 Filing 148 FILING ERROR - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY - ANSWER to Amended Complaint. Document filed by Zvi Goffer. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Monaco, Cynthia) Modified on 2/18/2010 (kco).
February 17, 2010 Filing 147 ANSWER to Amended Complaint with JURY DEMAND. Document filed by David Plate. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Ferrone, Diane)
February 16, 2010 Filing 146 ANSWER to Amended Complaint. Document filed by Galleon Management, LP. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Hakki, Adam)
February 16, 2010 Filing 145 ANSWER to Amended Complaint. Document filed by Raj Rajaratnam. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Hotz, Robert)
February 16, 2010 Filing 144 ANSWER to Amended Complaint. Document filed by Robert Moffat. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Schacter, Kenneth)
February 16, 2010 Filing 143 ANSWER to Amended Complaint. Document filed by Danielle Chiesi. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Zalman, David)
February 16, 2010 Opinion or Order Filing 141 ORDER of USCA (Certified Copy) USCA Case Number 10-0462-(L), 10-0464(Con). IT IS HEREBY ORDERED that the motion for a stay pending appeal of the February 9, 2010 order of the Hon. Jed S. Rakoff in the District Court for the Southern District of New York in docket no. 09cv8811 will be determined by a three judges motions panel as soon as possible. The order is stayed until the motions panel makes its determination. The Security & Exchange Commission is ordered to file its opposition on or before Friday, February 19, 2010 at 5:00 PM. Catherine O'Hagan Wolfe, Clerk USCA. Certified: 2/11/2010. (nd)
February 16, 2010 Transmission of Notice of Appeal to the District Judge re: 142 Notice of Appeal. (nd)
February 16, 2010 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 142 Notice of Appeal. (nd)
February 12, 2010 Filing 140 ANSWER to Amended Complaint. Document filed by New Castle Funds LLC. Related document: 124 Amended Complaint, filed by Securities and Exchange Commission.(Holland, Michael)
February 12, 2010 Filing 139 NOTICE OF APPEARANCE by Andrew James Frisch on behalf of Zvi Goffer (Frisch, Andrew)
February 11, 2010 Filing 142 NOTICE OF APPEAL from 129 Memorandum Order. Document filed by Danielle Chiesi. Filing fee $ 455.00, receipt number E 894118. (nd)
February 11, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/11/2010. (mro)
February 11, 2010 Opinion or Order Filing 138 ORDER: The Court will hear oral argument on all pending discovery disputes involving this case at 2 p.m. next Friday, February 19, 2010. Any party or third party having such a dispute should appear at that time. SO ORDERED. (Signed by Judge Jed S. Rakoff on 2/11/2010) (tve)
February 11, 2010 Filing 137 NOTICE OF APPEAL from 129 Memorandum Order. Document filed by Raj Rajaratnam. Filing fee $ 455.00, receipt number E 894114. (nd)
February 11, 2010 Opinion or Order Filing 136 ORDER: Given the shortness of time, therefore, the Court will simply indicate that it finds the reasoning in the S.E.C.'s letter wholly persuasive and adopts its reasoning by reference. Accordingly, the Court denies both the motion for certification, which the Court regards as frivolous, and the motion for a stay, which the Court finds would be highly prejudicial to the S.E.C. SO ORDERED. (Signed by Judge Jed S. Rakoff on 2/11/2010) (tve)
February 11, 2010 Filing 135 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 2/11/10 re: The SEC submits this letter to respond to the requests of defendants Rajaratnam and Chiesi that the Court stay its order dated 2/9/10; The Commission opposes defendants' request because a stay of the order would substantially prejudice the Commission. Document filed by Securities and Exchange Commission.(mro)
February 11, 2010 Filing 134 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 2/9/10 re: The SEC submits this letter to respond to counsel for defendant Roomy Khan's dated 2/5/10; The Commission agreed to produce materials from those images that are relevant to this action; The Commission takes no position with respect to Ms. Kahn's motion for a protective order. Document filed by Securities and Exchange Commission.(mro)
February 11, 2010 Filing 133 LETTER addressed to Judge Jed S. Rakoff from William E. White dated 2/9/10 re: Raj Rajaratnam responds to defendant Rommy Khan's 2/5/10 request for a protective order; Ms. Kahn's objections to the discovery are without merit and her request for a protective order should be denied; Ms. Kahn should be directed to immediately and fully respond to Mr. Rajaratnam's document requests. Document filed by Raj Rajaratnam.(mro)
February 11, 2010 Filing 132 LETTER addressed to Judge Jed S. Rakoff from Terence J. Lynam dated 2/9/10 re: We move for a stay of this Order pending appeal to the Second Circuit. Document filed by Raj Rajaratnam.(mro)
February 11, 2010 Filing 131 LETTER addressed to Judge Jed S. Rakoff from James M. Keneally dated 2/9/10 re: We write with respect to Your Honor's order, entered his afternoon, which directed Mr. Rajaratnam and Ms. Chiesi to produce the Title III wiretap recordings to the SEC; We respectfully join in the motion filed by letter this afternoon by counsel for Mr. Rajaratnam requesting a stay of the Court's Order pending appeal. (mro)
February 11, 2010 Filing 130 LETTER addressed to Judge Jed S. Rakoff from David Wikstrom dated 2/5/10 re: By this letter, defendant Roomy Khan moves for a protective order pursuant to Rule 26(c) barring defendant Raj Rajaratnam from seeking certain materials and documents from Ms. Kahn, from plaintiff SEC, and from third parties, as more fully set forth herein, on the ground that the material requests are neither relevant to the issues in this litigation, nor reasonably calculated to lead discovery of admissible evidence. Document filed by Roomy Khan.(mro)
February 11, 2010 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 137 Notice of Appeal. (nd)
February 11, 2010 Transmission of Notice of Appeal to the District Judge re: 137 Notice of Appeal. (nd)
February 9, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/9/2010. (tro)
February 9, 2010 Opinion or Order Filing 129 MEMORANDUM ORDER: Accordingly, defendants Rajaratnam and Chiesi are hereby ordered to produce to the S.E.C. by February 15, 2010 copies of all the wiretap recordings received by those defendants from the Government, and to promptly produce the same materials to any other party to this case who so demands in writing, provided that all parties to this case who have or receive such recordings shall not provide them to any person who is not a party to this case pending further order of this Court. SO ORDERED. (Signed by Judge Jed S. Rakoff on 2/9/2010) (tve)
February 9, 2010 Filing 128 LETTER addressed to Judge Jed S. Rakoff from Jonathan R. Streeter dated 1/29/10 re: The Government's litigation position that it is permitted to provide the wiretap materials directly to the SEC was announced in open court on January 25, 2010, before the Government even learned of the inadvertent disclosure described herein. Document filed by Securities and Exchange Commission.(mro)
February 9, 2010 Filing 127 LETTER addressed to Judge Jed S. Rakoff from Alan R. Kaufman dated 1/29/10 re: We join in the request of the attorneys for defendants Zvi Goffer for a hearing concerning the unauthorized disclosure of Title VII materials to the SEC by the US Attorney's Office. Document filed by Raj Rajaratnam, Danielle Chiesi.(mro)
February 9, 2010 Filing 126 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 1/27/10 re: The Commission requests that the Court order the defendants to comply with the Commission's discovery requests and to immediately produce to the Commission all wiretap materials in their possession, custody or control. Document filed by Securities and Exchange Commission.(mro)
February 2, 2010 Filing 123 NOTICE OF APPEARANCE by David Wikstrom on behalf of Roomy Khan (Wikstrom, David)
February 2, 2010 Filing 122 NOTICE OF APPEARANCE by Nicole Marie Hudak on behalf of Danielle Chiesi (Hudak, Nicole)
February 1, 2010 Filing 125 TRANSCRIPT of proceedings held on January 25, 2010 at 4:57 pm before Judge Jed S. Rakoff. (eef)
February 1, 2010 Filing 121 TRANSCRIPT of proceedings held on 1/25/10 before Judge Jed S. Rakoff. (pl)
February 1, 2010 Filing 119 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 1/29/10 re: In summary, any privacy interests defendants would otherwise have in the Title III materials are greatly diminished in the instant case where the materials have already been disclosed in public charging documents and given widespread publication in the national news media; Furthermore, these greatly reduced privacy interest are far outweighed by the public policy reasons supporting the disclosure of these materials to the Commission to enforce important public interests. Document filed by Securities and Exchange Commission.(mro)
February 1, 2010 Filing 118 LETTER addressed to Judge Jed S. Rakoff from Jonathan R. Streeter dated 1/29/10 re: The Government submits this letter in response to the letters of Raj Rajaratnam and Daniella Chiesi dated 1/27; For the reasons listed herein and in the Government's prior letters and oral arguments, the Governments submits that (1) this Court can and should order the defendants to produce the wiretap evidence to the SEC in discovery in this matter, (2) the Government is permitted under 18 USC 2517 to provide that evidence directly to the SEC. Document filed by Securities and Exchange Commission.(mro)
February 1, 2010 Filing 117 LETTER addressed to Judge Jed S. Rakoff from Cynthia M. Monaco dated 1/29/10 re: This letter is in response to the letter submissions of the USAO and the SEC dated 1/27; Mr. Goffer requests a hearing before this Court to explore the facts of this unauthorized disclosure and to fashion an appropriate remedy. Document filed by Zvi Goffer.(mro)
February 1, 2010 Filing 116 LETTER addressed to Judge Jed S. Rakoff from Terence J. Lynam dated 1/29/10 re: The SEC has not asked this Court to compel the production of the wiretaps from the USAO, which is not a party to this case and was only asked by the Court to participate in the recent hearing so as to share its views on the instant motion; Although the USAO suggests that it might benefit from disclosing the wiretaps to the SEC, the express purpose of the motion to compel is to assist the SEC's presentation of its civil case; If the USAO needs to help in the criminal case, it can seek authorization to disclose from Judge Holwell. Document filed by Raj Rajaratnam.(mro)
February 1, 2010 Filing 115 LETTER addressed to Judge Jed S. Rakoff from Alan R. Kaufman dated 1/29/10 re: Defendant Danielle Chie writes in response to the SEC's 1/27 letter; The USAO's argument that disclosure of the sealed Title III Intercepts to the SEC should be rejected, and the SEC''s motion to compel should be denied. Document filed by Danielle Chiesi.(mro)
February 1, 2010 Filing 114 LETTER addressed to Judge Jed S. Rakoff from Jonathan R. Streeter dated 1/27/10 re: For the reasons listed herein, as well as those provided at the conference and in the Government's letter of 1/20/10, the Government submits that this Court should compel the defendants to produce the wiretap evidence in discovery, or in the alternative, should permit the Government to disclose that evidence directly to the SEC. Document filed by Securities and Exchange Commission.(mro)
February 1, 2010 Filing 113 LETTER addressed to Judge Jed S. Rakoff from Kenneth M. Breen dated 1/27/10 re: Defendant Schottenfeld Group LLC, writes with respect to the motion to compel; Schottenfeld Group LLC takes no position on the motion brought by the SEC, but seeks to join the letter submitted by defendant Robert Moffat dated 1/27/10. Document filed by Schottenfeld Group LLC.(mro)
February 1, 2010 Filing 112 LETTER addressed to Judge Jed S. Rakoff from Kenneth I. Schacter dated 1/27/10 re: We submit this letter on behalf of our client, defendant Robert Moffat; While we take no position on the motion, to the extent that the Court directs defendants Rajaratnam and Chiesi to produce wiretap materials to the SEC, we request that the Court direct that all other parties to the litigation be provided with copies of those materials. Document filed by Robert Moffat.(mro)
February 1, 2010 Filing 111 LETTER addressed to Judge Jed S. Rakoff from Terence J. Lynam dated 1/27/10 re: Defendant Raj Rajaratnam submits this letter responding to caselaw and arguments raised during the 1/25/10 hearing on the SEC's motion to compel; Mr. Rajaratnam has a statutory right to challenge the legality of wire interceptions before they are disclosed in any proceeding. Document filed by Raj Rajaratnam.(mro)
February 1, 2010 Filing 110 LETTER addressed to Judge Jed S. Rakoff from Alan R. Kaufman dated 1/27/10 re: On behalf of Daniella Chiesi, we write to respond to arguments advanced by the SEC and the US Attorney's Office during the 1/25/10 hearing; For the reasons listed herein, we request that Your Honor deny the SEC's request that Ms. Chiesi produce the Sealed Title III Intercepts and Authorizations. Document filed by Danielle Chiesi.(mro)
February 1, 2010 Filing 109 LETTER addressed to Judge Jed S. Rakoff from Abbe R. Tiger dated 1/27/10 re: Our client, Craig C. Drimal is a defendant in 09cv9208; Defendats Goffer, Shankar, and Plate are co-defendants in that matter; We write concerning the request that is before Your Honor for an Order to allow the SEC to obtain certain wiretap material in civil discovery in the instant case; On behalf of Drimal, we join in the arguments presented on behalf of the defendants opposing the SEC's request for discovery of the wiretap materials. (mro)
January 29, 2010 Filing 124 SECOND AMENDED COMPLAINT amending 30 Amended Complaint against New Castle Funds LLC, Roomy Khan, Deep Shah, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, S2 Capital Management, LP, Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat.Document filed by Securities and Exchange Commission. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(mbe) (ama).
January 29, 2010 Filing 120 JUDGMENT #10,0194 in favor of Securities and Exchange Commission against Ali T. Far, Choo-Beng Lee in the amount of $ 1,335,618.17. (Signed by Judge Jed S. Rakoff on 1/28/10) (jf).
January 29, 2010 Opinion or Order Filing 108 ORDER...the Court hereby approves the settlement (which has been separately singed and docketed). The Court takes the liberty of suggesting that the SEC may wish to consider, as a matter of future practice, submitting explanation along with any settlements it submits to courts for approval. (Signed by Judge Jed S. Rakoff on 1/28/10) (cd)
January 27, 2010 Opinion or Order Filing 107 ORDER...the Court hereby grants leave to plaintiff to file its proposed second amended complaint. Also, the date for expert disclosures by a claim proponent is moved to 3/2/10, and the date for expert disclosures from a claim opponent is moved to 3/30/10. (Signed by Judge Jed S. Rakoff on 1/26/10) (cd)
January 25, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Pretrial Conference held on 1/25/2010. (mro)
January 25, 2010 Filing 106 LETTER addressed to Judge Jed S. Rakoff from Cynthia M. Monaco dated 1/22/10 re: We submit this letter response to the motion of the SEC to compel discovery of "wiretap materials;" Mr. Goffer requests that the Court deny the SEC's motion to compel. Document filed by Zvi Goffer.(mro)
January 25, 2010 Filing 105 LETTER addressed to Judge Jed S. Rakoff from Alan R. Kaufman dated 1/22/10 re: For the reasons listed herein, we request that Your Honor deny the SEC's request that Ms. Chiesi produce the Sealed Title III Intercepts and Authorizations. Document filed by Danielle Chiesi.(mro)
January 25, 2010 Filing 104 LETTER addressed to Judge Jed S. Rakoff from Terence J. Lynam dated 1/22/10 re: Defendant Raj Rajaratnam respectfully opposes the SEC's motion to compel the production of wiretap evidence. Document filed by Raj Rajaratnam.(mro)
January 25, 2010 Filing 103 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 1/20/10 re: The Commission requests that the Court order the defendants to comply with plaintiff's discovery requests and immediately produce to the Commission all wiretap materials in their possession, custody or control. Document filed by Securities and Exchange Commission.(mro)
January 25, 2010 Filing 102 LETTER addressed to Judge Jed S. Rakoff from Valerie A. Szczepanik dated 1/20/10 re: The Commission respectfully requests that Your Honor enter the proposed judgment with respect to defendants Lee and Far, which would resolve all issues in this action with respect to those defendants. Counsel for defendants Lee and Far have informed the undersigned that they agree with the contents of this letter and join in the Commission's request. Document filed by Securities and Exchange Commission.(mro)
January 25, 2010 Filing 101 LETTER addressed to Judge Jed S. Rakoff from Jonathan R. Streeter dated 1/20/10 re: At the Court's request, the Government submits this letter to set forth its position concerning whether the defendants can provide the wiretap evidence in their possession to the SEC in discovery; Because certain defendants currently possess that evidence, it is clearly relevant to the issues in the SEC case, and the wiretap statute doe snot preclude the defendants from producing it, the Government submits that the defendants can produce that evidence in discovery in this matter. Document filed by the Securities and Exchange Commission. (mro)
January 22, 2010 Filing 100 MEMORANDUM OF LAW in Opposition re: 97 MOTION for Leave to File Second Amended Complaint.. Document filed by Raj Rajaratnam. (Attachments: # 1 Certificate of Service)(Hotz, Robert)
January 20, 2010 Filing 99 DECLARATION of Matthew J. Watkins in Support re: 97 MOTION for Leave to File Second Amended Complaint.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Szczepanik, Valerie)
January 20, 2010 Filing 98 MEMORANDUM OF LAW in Support re: 97 MOTION for Leave to File Second Amended Complaint.. Document filed by Securities and Exchange Commission. (Szczepanik, Valerie)
January 20, 2010 Filing 97 MOTION for Leave to File Second Amended Complaint. Document filed by Securities and Exchange Commission.(Szczepanik, Valerie)
January 20, 2010 Received returned mail Mail was addressed to S2 Capital Management LP of Attn: The Corporation Trust Company at 1209 Orange Street, Wilmington, DE, 19801 and was returned for the following reason(s): According the records of CT Corporation their statutory representation services were discontinued and all process sent to the last known address on their records which was returned as undeliverable. Do not have a forwarding address. *Accepted for filing by the Chambers of Judge Jed S. Rakoff on 1/14/2010. (tro)
January 19, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/19/2010. (mro)
January 15, 2010 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/15/2010. (mro)
January 8, 2010 Filing 96 NOTICE OF APPEARANCE by Michael Melburn Bruso on behalf of Schottenfeld Group LLC (Bruso, Michael)
January 5, 2010 Filing 95 TRANSCRIPT of proceedings held on December 7, 2009 before Judge Jed S. Rakoff. (mro)
December 23, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/23/2009. (jw)
December 23, 2009 Opinion or Order Filing 94 ORDER: In a conference call initiated by counsel earlier today, it became apparent that defendants will be the proponents as far as expert testimony is concerned, with the plaintiff responding thereto. Accordingly, the date for expert disclosures by the defendants is moved to February 16, 2010, and the date for expert disclosures from the plaintiff is moved to March 23, 2010. Counsel are reminded, as they were on the conference call, that all other previously scheduled dates, including the trial date of August 2, 2010, remain fixed and firm. (Signed by Judge Jed S. Rakoff on 12/23/09) (ae)
December 22, 2009 Opinion or Order Filing 93 ORDER; that Silvestre A. Fontes to Appear Pro Hac Vice as counsel for Securities and Exchange Commission, in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Jed S. Rakoff on 12/21/09). (pl)
December 22, 2009 Filing 92 ANSWER to Amended Complaint with JURY DEMAND. Document filed by Gautham Shankar. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Sosinsky, Frederick)
December 22, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 93 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (pl)
December 21, 2009 Filing 91 ANSWER to Amended Complaint. Document filed by Steven Fortuna. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit of Service)(Schaeffer, Richard)
December 21, 2009 Filing 90 NOTICE OF APPEARANCE by Adler Charles Bernard on behalf of Steven Fortuna (Bernard, Adler)
December 21, 2009 Filing 89 NOTICE OF APPEARANCE by Richard J. Schaeffer on behalf of Steven Fortuna (Schaeffer, Richard)
December 21, 2009 CASHIERS OFFICE REMARK on 66 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 12/2/2009, Receipt Number 707426. (jd)
December 18, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/18/2009. (mro)
December 18, 2009 Filing 88 ANSWER to Complaint with JURY DEMAND. Document filed by Choo-Beng Lee.(Bornstein, Jefrey)
December 17, 2009 Filing 87 ANSWER to Amended Complaint with JURY DEMAND. Document filed by Ali T. Far. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Kobre, Steven)
December 17, 2009 Opinion or Order Filing 86 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge Jed S. Rakoff on 12/16/09) (cd)
December 16, 2009 Filing 85 ANSWER to Amended Complaint. Document filed by Ali Hariri. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Protass, Harlan)
December 16, 2009 Filing 84 ANSWER to Amended Complaint with JURY DEMAND. Document filed by David Plate.(Ferrone, Diane)
December 16, 2009 Opinion or Order Filing 83 STIPULATION AND ORDER AS TO DEFENDANTS FAR & LEE LLC AND SPHERIX CAPITAL LLC: It is hereby ordered that Far Lee LLC shall cease doing business, and Spherix Capital LLC shall cease doing business after it has completed winding down and therefore, pursuant to this Stipulation and Order, the Court hereby dismisses the Commission's claims against far & Lee LLC and Spherix Capital LLC, with prejudice. (Signed by Judge Jed S. Rakoff on 12/15/2009) (jpo)
December 15, 2009 Filing 82 MOTION for Silvestre A. Fontes to Appear Pro Hac Vice. Document filed by Securities and Exchange Commission.(mro)
December 14, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/14/2009. (mro)
December 14, 2009 Filing 81 ANSWER to Amended Complaint. Document filed by Zvi Goffer. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Monaco, Cynthia)
December 9, 2009 Filing 79 ANSWER to Amended Complaint. Document filed by Mark Kurland. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Smith, Patrick)
December 9, 2009 Filing 78 ANSWER to Amended Complaint. Document filed by Schottenfeld Group LLC. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Bajwa, Hissan)
December 9, 2009 Filing 77 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Schottenfeld Group LLC.(Bajwa, Hissan)
December 9, 2009 Filing 76 ANSWER to Amended Complaint. Document filed by Galleon Management, LP.(Hakki, Adam)
December 9, 2009 Filing 75 ANSWER to Amended Complaint. Document filed by Rajiv Goel. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission. (Attachments: # 1 Certificate of Service)(Kim, Sunny)
December 9, 2009 Filing 74 ANSWER to Amended Complaint. Document filed by Danielle Chiesi. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Zalman, David)
December 9, 2009 Filing 73 ANSWER to Amended Complaint. Document filed by Anil Kumar. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit Certificate of Service)(Morvillo, Robert)
December 9, 2009 Filing 72 ANSWER to Amended Complaint. Document filed by New Castle Funds LLC. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Holland, Michael)
December 9, 2009 Filing 71 ANSWER to Amended Complaint. Document filed by Robert Moffat. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission.(Schacter, Kenneth)
December 8, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/8/2009. (tro)
December 8, 2009 Opinion or Order Filing 70 ORDER GRANTING MOTION TO ADMIT COUNSEL PRO HAC VICE re: 66 Motion for Jeffrey L. Bornstein to Appear Pro Hac Vice. Jeffrey L. Bornstein is admitted to practice pro hac vice as counsel for Defendant Choo-Beng in this action. (Signed by Judge Jed S. Rakoff on 12/7/09) (tro)
December 8, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 70 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro)
December 7, 2009 Opinion or Order Filing 80 STIPULATION AND ORDER, Ali Hariri answer due 12/16/2009. (Signed by Judge Jed S. Rakoff on 12/3/09) (djc)
December 7, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Initial Pretrial Conference held on 12/7/2009 as to defendant Steven Fortuna. (mbe)
December 7, 2009 Filing 69 STIPULATION: It is hereby Stipulated and agreed that the time for defendant David Plate to answer, move with respect to or otherwise respond to the Amended Complaint herein is extended to and including December 16, 2009. (Signed by Judge Jed S. Rakoff on 12/3/2009) (jfe)
December 7, 2009 Opinion or Order Filing 68 ORDER: It is hereby Ordered that Attorney Terence J. Lynam be admitted Pro Hac Vice in this matter on behalf of Defendant Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 12/3/2009) (jfe)
December 7, 2009 Filing 67 NOTICE OF APPEARANCE by Frederick Lawrence Sosinsky on behalf of Gautham Shankar (Sosinsky, Frederick)
December 7, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 68 Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jfe)
December 4, 2009 CASHIERS OFFICE REMARK on 56 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 11/19/2009, Receipt Number 706523. (jd)
December 3, 2009 Filing 65 CERTIFICATE OF SERVICE of Notice of Appearance of Michael P. Holland. Document filed by New Castle Funds LLC. (Holland, Michael)
December 3, 2009 Filing 64 NOTICE OF APPEARANCE by Michael Patrick Holland on behalf of New Castle Funds LLC (Holland, Michael)
December 2, 2009 Filing 66 MOTION for Jeffrey L. Borenstein to Appear Pro Hac Vice. Document filed by Choo-Beng Lee.(mbe)
December 1, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/1/2009. (tro)
December 1, 2009 Opinion or Order Filing 63 STIPULATION AND ORDER: The time for Defendant Ali T. Far and Choo-Beng Lee to answer, move with respect to or otherwise respond to the Amended Complaint herein is extended to and including December 9, 2009, provided that this extension of time shall not affect the schedule for discovery in this action. (Signed by Judge Jed S. Rakoff on 12/1/09) (db)
November 30, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/30/2009. (tro)
November 30, 2009 Opinion or Order Filing 62 ORDER: It is hereby stipulated and agreed by and between the parties that the time for Defendant Ali T. Far and Choo Beng Lee to answer, move with respect to or otherwise respond to the Amended Complaint herein is extended to and including December 9, 2009, provided that this extension of time shall not affect the schedule for discovery in this action. (Signed by Judge Jed S. Rakoff on 11/27/2009) (jpo)
November 30, 2009 Opinion or Order Filing 61 STIPULATION AND ORDER that the time for defendants Galleon Management, LP, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat and New Castle Funds, LLC to answer, move with respect to or otherwise respond to the amended complaint herein is extended to and including 12/9/09, provided that this extension of time shall not affect the schedule for discovery in this action. (Signed by Judge Jed S. Rakoff on 11/23/09) (dle)
November 25, 2009 Filing 60 NOTICE OF APPEARANCE by Cynthia Margaret Monaco on behalf of Zvi Goffer (Monaco, Cynthia)
November 24, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/24/2009. (tro)
November 24, 2009 Filing 59 AFFIDAVIT OF SERVICE of Answer to Amended Complaint served on Harlan J. Protass on 11/24/09. Service was made by Mail. Document filed by Raj Rajaratnam. (Hotz, Robert)
November 24, 2009 Filing 58 AFFIDAVIT OF SERVICE of Answer to Amended Complaint served on Theodore Altman on 11/24/09. Service was made by Mail. Document filed by Raj Rajaratnam. (Hotz, Robert)
November 24, 2009 Filing 57 AFFIDAVIT OF SERVICE of Answer to Amended Complaint served on Richard J. Schaeffer on 11/24/09. Service was made by Mail. Document filed by Raj Rajaratnam. (Hotz, Robert)
November 24, 2009 Filing 55 NOTICE OF APPEARANCE by Patrick J. Smith on behalf of Mark Kurland (Smith, Patrick)
November 24, 2009 Filing 54 NOTICE OF APPEARANCE by Jeffrey David Rotenberg on behalf of Mark Kurland (Rotenberg, Jeffrey)
November 24, 2009 Filing 53 NOTICE OF APPEARANCE by Caryn Gail Schechtman on behalf of Mark Kurland (Schechtman, Caryn)
November 24, 2009 Filing 52 NOTICE OF APPEARANCE by Theodore Theodore on behalf of Mark Kurland (Theodore, Theodore)
November 24, 2009 Filing 51 NOTICE OF APPEARANCE by Gregory Robert Morvillo on behalf of Anil Kumar (Attachments: # 1 Certificate of Service)(Morvillo, Gregory)
November 24, 2009 Filing 50 NOTICE OF APPEARANCE by Robert Guy Morvillo on behalf of Anil Kumar (Attachments: # 1 Certificate of Service)(Morvillo, Robert)
November 24, 2009 Filing 49 NOTICE OF APPEARANCE by Diane Ferrone on behalf of David Plate (Ferrone, Diane)
November 24, 2009 Filing 48 ANSWER to Amended Complaint. Document filed by Raj Rajaratnam. Related document: 30 Amended Complaint,, filed by Securities and Exchange Commission. (Attachments: # 1 Certificate of Service)(Hotz, Robert)
November 23, 2009 Opinion or Order Filing 47 MEMO ENDORSEMENT on STIPULATION AND ORDER TO EXTEND DEADLINE TO RESPOND TO COMPLAINT AND MAKE INITIAL DISCLOSURES. ENDORSEMENT: Denied. (Signed by Judge Jed S. Rakoff on 11/20/2009) (jpo)
November 23, 2009 Opinion or Order Filing 46 STIPULATION AND ORDER SUBSTITUTING COUNSEL: It is hereby stipulated and agreed that pursuant to Local Civil Rule 1.4, Robert G. Morvillo and Gregory Morvillo, of Morvillo, Abramowitz, Grand, Iasan, Anello & Bohrer, P.C., 565 Fifth Avenue, New York, NY 10017, be substituted as counsel for Anil Kumar in place of Charles E. Clayman, Paul Scott Hugel, and Isabelle A. Kirshner, of Clayman & Rosenberg, 305 Madison Avenue, Suite 1301, New York, NY 10165. (Signed by Judge Jed S. Rakoff on 11/20/2009) (jpo)
November 23, 2009 Opinion or Order Filing 45 ORDER: It is hereby ordered that Terence J. Lynam is admitted pro hac vice in this action. (Signed by Judge Jed S. Rakoff on 11/20/2009) (jpo)
November 23, 2009 Filing 44 NOTICE OF APPEARANCE by Roland Gustaf Riopelle on behalf of David Plate (Riopelle, Roland)
November 20, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/20/2009. (mro)
November 20, 2009 Filing 43 NOTICE OF APPEARANCE by Laura A Brevetti on behalf of Choo-Beng Lee (Brevetti, Laura)
November 19, 2009 Filing 56 MOTION for Terence J. Lynam to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(mro)
November 19, 2009 Filing 42 NOTICE OF APPEARANCE by Francisco J. Navarro on behalf of Ali T. Far (Navarro, Francisco)
November 19, 2009 Filing 41 NOTICE OF APPEARANCE by Andrew C. Lourie on behalf of Ali T. Far (Lourie, Andrew)
November 19, 2009 Filing 40 NOTICE OF APPEARANCE by Steven Gary Kobre on behalf of Ali T. Far (Kobre, Steven)
November 17, 2009 Filing 39 NOTICE OF APPEARANCE by Harlan J. Protass on behalf of Ali Hariri (Protass, Harlan)
November 17, 2009 CASHIERS OFFICE REMARK on 26 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 11/03/2009, Receipt Number 705103. (jd)
November 12, 2009 Filing 37 NOTICE OF APPEARANCE by Gerald J. Russello on behalf of Robert Moffat (Russello, Gerald)
November 10, 2009 Filing 38 TRANSCRIPT of proceedings held on 11/4/09 before Judge Jed S. Rakoff. (ldi)
November 10, 2009 Filing 36 NOTICE OF APPEARANCE by Kenneth M. Breen on behalf of Schottenfeld Group LLC (Breen, Kenneth)
November 10, 2009 Filing 35 NOTICE OF APPEARANCE by Hissan Ahsan Bajwa on behalf of Schottenfeld Group LLC (Bajwa, Hissan)
November 9, 2009 Filing 34 NOTICE OF APPEARANCE by John A. Nathanson on behalf of Galleon Management, LP (Nathanson, John)
November 9, 2009 Filing 33 NOTICE OF APPEARANCE by Sunny Hyo Seon Kim on behalf of Rajiv Goel (Attachments: # 1 Certificate of Service)(Kim, Sunny)
November 9, 2009 Filing 32 NOTICE OF APPEARANCE by Norman Arthur Bloch on behalf of Rajiv Goel (Attachments: # 1 Certificate of Service)(Bloch, Norman)
November 6, 2009 Opinion or Order Filing 31 ORDER: The Securities and Exchange Commission amended its complaint yesterday to include additional defendants. unless persuaded otherwise, the court intends to maintain the schedule set forth in the Case management Plan ordered on November 4, 2009. Therefore, if counsel for any newly-added defendant objects to that schedule, such counsel must file such objection with the court by no later than November 25, 2009. So Ordered (Signed by Judge Jed S. Rakoff on 11/6/09) (js)
November 5, 2009 Filing 30 AMENDED COMPLAINT amending 1 Complaint against Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, S2 Capital Management, LP, New Castle Funds LLC, Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat.Document filed by Securities and Exchange Commission. Related document: 1 Complaint filed by Securities and Exchange Commission.(mro)
November 5, 2009 SUMMONS ISSUED as to New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, S2 Capital Management, LP, Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat. (mro)
November 5, 2009 Opinion or Order Filing 29 ORDER granting 26 Motion for William E. White to Appear Pro Hac Vice for Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 11/4/09) (db)
November 5, 2009 Filing 28 NOTICE OF APPEARANCE by Eugenie Marie Cesar-Fabian on behalf of Robert Moffat (Cesar-Fabian, Eugenie)
November 5, 2009 Filing 27 NOTICE OF APPEARANCE by Kenneth Ian Schacter on behalf of Robert Moffat (Schacter, Kenneth)
November 5, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 29 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (db)
November 4, 2009 Minute Entry for proceedings held before Judge Jed S. Rakoff: Initial Pretrial Conference held on 11/4/2009. (tro)
November 4, 2009 Opinion or Order Filing 25 ORDER ADMITTING ATTORNEY PRO HAC VICE. Attorney John M. Dowd for Raj Rajaratnam admitted Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 11/2/09) (db)
November 4, 2009 Filing 24 CIVIL CASE MANAGEMENT PLAN: The case is to be tried to a jury. Amended Pleadings due by 12/15/2009. Joinder of Parties due by 12/15/2009. Motions due by 5/14/2010. Responses due by 5/28/2010 Replies due by 6/4/2010. Discovery due by 4/30/2010. Oral Argument set for 6/11/2010 at 02:00 PM before Judge Jed S. Rakoff. Final Pretrial Conference set for 6/11/2010 at 02:00 PM before Judge Jed S. Rakoff. So ordered. (Signed by Judge Jed S. Rakoff on 11/4/09) (js)
November 4, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 25 Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (db)
November 3, 2009 Filing 26 MOTION for William E. White to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(mro)
November 3, 2009 Filing 23 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by New Castle Funds LLC.(Glaser, Steven)
November 3, 2009 Filing 22 NOTICE OF APPEARANCE by Steven Ronald Glaser on behalf of New Castle Funds LLC (Glaser, Steven)
November 3, 2009 Filing 21 CERTIFICATE OF SERVICE. Document filed by Galleon Management, LP. (Fishbein, Stephen)
November 2, 2009 Filing 20 NOTICE OF APPEARANCE by Alan Robert Kaufman on behalf of Danielle Chiesi (Kaufman, Alan)
November 2, 2009 Filing 19 NOTICE OF APPEARANCE by Thomas Benjamin Kinzler on behalf of Danielle Chiesi (Kinzler, Thomas)
November 2, 2009 Filing 18 NOTICE OF APPEARANCE by David I. Zalman on behalf of Danielle Chiesi (Zalman, David)
October 30, 2009 Filing 17 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Galleon Management, LP.(Fishbein, Stephen)
October 30, 2009 Filing 16 NOTICE OF APPEARANCE by Stephen Robert Fishbein on behalf of Galleon Management, LP (Fishbein, Stephen)
October 30, 2009 Filing 15 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Galleon Management, LP (Hakki, Adam)
October 29, 2009 Opinion or Order Filing 14 ORDER granting 13 Motion for John M. Dowd to Appear Pro Hac Vice for defendant Raj Rajaratnam. (Signed by Judge Jed S. Rakoff on 10/28/09) (cd)
October 29, 2009 Transmission to Attorney Admissions Clerk. Transmitted re: 14 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
October 28, 2009 Filing 13 MOTION for John M. Dowd to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(mro)
October 28, 2009 Filing 12 NOTICE OF APPEARANCE by Charles E. Clayman on behalf of Anil Kumar (Clayman, Charles)
October 28, 2009 Filing 11 NOTICE OF APPEARANCE by Isabelle A. Kirshner on behalf of Anil Kumar (Kirshner, Isabelle)
October 28, 2009 Filing 10 NOTICE OF APPEARANCE by Paul Scott Hugel on behalf of Anil Kumar (Hugel, Paul)
October 27, 2009 Filing 9 NOTICE OF APPEARANCE by Samidh Jalem Guha on behalf of Raj Rajaratnam (Guha, Samidh)
October 27, 2009 Filing 8 NOTICE OF APPEARANCE by Robert Henry Hotz, Jr on behalf of Raj Rajaratnam (Hotz, Robert)
October 26, 2009 Filing 7 NOTICE OF APPEARANCE by Sanjay Wadhwa on behalf of Securities and Exchange Commission (Wadhwa, Sanjay)
October 26, 2009 Filing 6 NOTICE OF APPEARANCE by Jason Evan Friedman on behalf of Securities and Exchange Commission (Friedman, Jason)
October 26, 2009 Filing 5 AMENDED NOTICE OF COURT CONFERENCE: Initial Conference set for 11/4/2009 at 10:00 AM in Courtroom 14B, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff. (Signed by Judge Jed S. Rakoff on 10/26/09) (tro)
October 22, 2009 Opinion or Order Filing 4 ORDER: ( Status Conference set for 10/2/2009 at 10:00 AM in Courtroom 14B, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff.) (Signed by Judge Jed S. Rakoff on 10/22/09) (js)
October 20, 2009 Filing 3 NOTICE OF APPEARANCE by Israel E. Friedman on behalf of Securities and Exchange Commission (Friedman, Israel)
October 19, 2009 Filing 2 NOTICE OF APPEARANCE by Valerie Ann Szczepanik on behalf of Securities and Exchange Commission (Szczepanik, Valerie)
October 19, 2009 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David Rosenfeld for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint to: case_openings@nysd.uscourts.gov. (mro)
October 16, 2009 Filing 1 COMPLAINT against New Castle Funds LLC, Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat. Document filed by Securities and Exchange Commission.(mro) (mro).
October 16, 2009 SUMMONS ISSUED as to New Castle Funds LLC, Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat. (mro)
October 16, 2009 Case Designated ECF. (mro)
October 16, 2009 Magistrate Judge Henry B. Pitman is so designated. (mro)

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Search for this case: Securities and Exchange Commission v. Galleon Management, LP et al
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Plaintiff: Securities and Exchange Commission
Represented By: David Rosenfeld
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Defendant: Galleon Management, LP
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Defendant: Raj Rajaratnam
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Defendant: Rajiv Goel
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Defendant: Anil Kumar
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Defendant: Danielle Chiesi
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Defendant: Mark Kurland
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Defendant: Robert Moffat
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Defendant: New Castle Funds LLC
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