Securities and Exchange Commission v. Wyly et al
Plaintiff: Securities and Exchange Commission
Defendant: Donald R. Miller, Jr., Samuel E. Wyly, Michael C. French, Louis J. Schaufele, III, John Graham, James W Lincoln, Jennifer Wyly Lincoln, Emily Wyly Lindsey, David Matthews, Kelly Wyly O'Donovan, Andrew Wyly, Caroline D Wyly, Christina Wyly, Lisa Wyly, Charles J Wyly III, Laurie Wyly Matthews, Martha Wyly Miller, Cheryl Wyly, Christiana Wyly, Emily Wyly, Evan Acton Wyly, Charles J. Wyly, Jr. and Keeley L. Hennington
Not Classified By Court: Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr. and United States of America
Interested Party: Laurie Matthews and Jennifer Lincoln
Intervenor: EVAN WYLY and MARTHA MILLER
Case Number: 1:2010cv05760
Filed: July 29, 2010
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: J Paul Oetken
Referring Judge: Shira A Scheindlin
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. § 77 Securities Fraud
Jury Demanded By: Both
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Docket Report

This docket was last retrieved on April 29, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
March 20, 2015 Opinion or Order Filing 601 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 3-19-2015 re: Rule 50 Motion Schedule. Document filed by Securities and Exchange Commission.(Worland, John)
March 18, 2015 Opinion or Order Filing 600 STIPULATION AND ORDER: 1. Relief Defendants Laurie Wyly Matthews, as the Trustee, and Relief Defendants Lisa Wyly and John Graham may pay for the repairs described above, the Sale-Related Costs, and the Moving Costs, and these payments, including the repairs already paid for, shall not count toward their allowed monthly living expenses under the Freeze Order. 2. Lisa Wyly, John Graham, and Laurie Wyly Matthews, as the Trustee, may truce all necessary steps to sell the Melissa Lane Property to a bona fide purchaser who is not a relative of any Defendant or Relief Defendant, as set forth within. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 3/18/2015) (ajs)
March 17, 2015 Opinion or Order Filing 599 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED that the December 8 Order is modified, and the Freeze Order and the November 13 Order are further modified, as follows: l. Wyly Works, Inc., may continue to operate the Elliott Yeary Gallery, including purchasing and selling art works and jewelry and funding its payroll and other ordinary and necessary operating expenses, using cash it currently holds and future operating revenue to fund the ordinary and necessary operations of the Elliott Yeary Gallery, provided that no cash from any other source is used to operate the Gallery, unless and until the Court orders otherwise. 2. Kelly Wyly O'Donovan shall not be deemed to be in violation of the Freeze Order, the November 13 Order, or the December 8 Order by reason of her or Wyly Works, Inc., taking any action permitted by this Order. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 3/17/2015) (ajs)
March 12, 2015 Opinion or Order Filing 598 MEMORANDUM OF LAW in Support re: # 596 MOTION for Judgment as a Matter of Law or Alternatively for a New Trial, and for a Stay of Enforcement of the Judgment . . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Appendix, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I)(Hatch-Miller, Mark)
March 12, 2015 Opinion or Order Filing 597 FILING ERROR - DEFICIENT DOCKET ENTRY - (MISSING EXHIBITS) - MEMORANDUM OF LAW in Support re: # 596 MOTION for Judgment as a Matter of Law or Alternatively for a New Trial, and for a Stay of Enforcement of the Judgment . . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Hatch-Miller, Mark) Modified on 3/12/2015 (lb).
March 12, 2015 Opinion or Order Filing 596 MOTION for Judgment as a Matter of Law or Alternatively for a New Trial, and for a Stay of Enforcement of the Judgment . Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
March 10, 2015 Opinion or Order Filing 595 LETTER addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 03/09/2015 re: Protective Order. Document filed by Securities and Exchange Commission.(Worland, John)
March 10, 2015 Opinion or Order Filing 594 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Local Rule 37.2 Conference Concerning Protective Order addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 03-09-2015. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 3/10/2015 (db).
March 10, 2015 Opinion or Order ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney John David Worland to RE-FILE Document # 593 LETTER MOTION for Conference re: # 56 Protective Order Conference not necessay addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 03-09-2015. Use the event type Letter found under the event list Other Documents. (db)
March 10, 2015 Opinion or Order ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney John David Worland to RE-FILE Document # 594 LETTER MOTION for Local Rule 37.2 Conference Concerning Protective Order addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 03-09-2015. Use the event type Letter found under the event list Other Documents. (db)
March 9, 2015 Opinion or Order Filing 593 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference re: # 56 Protective Order Conference not necessay addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 03-09-2015. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 3/10/2015 (db).
February 27, 2015 Opinion or Order Filing 592 STIPULATION AND ORDER: Relief Defendant Martha Miller may, with respect to 1060 Little Woody Creek Road, (a) pay or cause to be paid the invoices for the Pre-Freeze Repairs; and (b) contract for and pay or cause to be paid the actual price of the Current Repairs and of Future Repairs that may become necessary at or to that Property, as set forth within. SO ORDERED. (See Order.) (Signed by Judge Shira A. Scheindlin on 2/27/2015) (ajs)
February 26, 2015 Opinion or Order Filing 591 FINAL JUDGMENT AS TO DEFENDANTS SAMUEL E. WYLY AND DONALD R. MILLER, JR., IN HIS CAPACITY AS THE INDEPENDENT EXECUTOR OF THE WILL AND ESTATE OF CHARLES J. WYLY, JR. in favor of Securities and Exchange Commission against Donald R. Miller, Jr., Samuel E. Wyly in the amount of $299,357,243.69. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the SEC's Second Claim against Defendants, alleging violations of Exchange Act Section 10(b) and Rule 10b-5 thereunder by trading on the basis of material nonpublic information, is DISMISSED WITH PREJUDICE. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant Sam Wyly is liable to the SEC on its First, Fourth, Fifth, Sixth, Eighth, Ninth, Eleventh, Twelfth, and Thirteenth Claims, for $198,118,825.16 calculated as set forth within. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that, in the event there is a determination that Defendant Sam Wyly owes the Internal Revenue Service additional money for the tax years 1992 through 2004, amounts in excess of $17,139,647.41 paid to the Commission pursuant to section II above, shall be credited towards Defendant Sam Wyly's tax liability for the tax years 1992 through 2004. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that, in the event the amount set forth in Section II(a)-(b) above is rejected upon appeal, Defendant Sam Wyly is liable for $136,388,576.41 calculated as set forth within. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that the Estate of Defendant Charles J. Wyly, Jr. is liable to the SEC on its First. Fourth, Fifth, Sixth, Eighth, Ninth, Eleventh, Twelfth, and Thirteenth Claims, in the amount of $101,238,418.53 calculated as follows as set forth within. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that in the event there is a determination that the Estate of Defendant Charles J. Wyly, Jr. owes the Internal Revenue Service additional money for the tax years 1992 through 2004, amounts in excess of $6,585,888.81 paid to the Commission pursuant to section V above, shall be credited towards the Estate of Defendant Charles J. Wyly, Jr.'s tax liability for the tax years 1992 through 2004. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that, in the event the amount set forth in Section V(a)-(b) above is rejected upon appeal, the Estate of Defendant Charles J. Wyly, Jr. is liable for $62,304,519.81 calculated as set forth within. (See Order.) (Signed by Judge Shira A. Scheindlin on 2/26/2015) (ajs)
February 26, 2015 Opinion or Order Filing 590 MEMORANDUM OPINION AND ORDER re: # 581 MOTION for Judgment against Defendants Sam Wyly and the Estate of Charles Wyly, Jr. filed by Securities and Exchange Commission. For the foregoing reasons, the SEC's motion for final judgment is granted. A separate Order imposing the Final Judgment is issued simultaneously with this Opinion and Order. The Clerk of Court is directed to close this motion (Dkt. No. 581). SO ORDERED. (See Order.) (Signed by Judge Shira A. Scheindlin on 2/26/2015) (ajs)
February 20, 2015 Opinion or Order Filing 589 NOTICE OF APPEARANCE by Eric Hellerman on behalf of James W Lincoln, Jennifer Wyly Lincoln, Caroline D Wyly. (Hellerman, Eric)
February 19, 2015 Opinion or Order Filing 588 NOTICE OF CHANGE OF ADDRESS by David Leon Kornblau on behalf of John Graham, James W Lincoln, Jennifer Wyly Lincoln, Emily Wyly Lindsey, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Caroline D Wyly, Cheryl Wyly, Christiana Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Charles J Wyly III. New Address: Covington & Burling LLP, The New York Times Building, 620 Eighth Avenue, New York, New York, United States of America 10018, 212-841-1000. (Kornblau, David)
February 18, 2015 Opinion or Order Filing 587 LETTER addressed to Judge Shira A. Scheindlin from Judith W. Ross dated February 13, 2015 re: SEC's Motion for Entry of a Final Judgment. Document filed by Caroline D Wyly.(Kornblau, David)
February 18, 2015 Opinion or Order Filing 586 NOTICE OF APPEARANCE by David Leon Kornblau on behalf of Caroline D Wyly. (Kornblau, David)
February 17, 2015 Opinion or Order Filing 585 LETTER addressed to Judge Shira A. Scheindlin from Bridget M. Fitzpatrick dated February 17, 2015 re: Revised Proposed Final Judgment. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Ex. 1-Revised Proposed Final Judgment, # 2 Exhibit Ex. 2-Revised Proposed Final Judgment-Redlined)(Miller, Gregory)
February 13, 2015 Opinion or Order Filing 584 LETTER addressed to Judge Shira A. Scheindlin from Josiah M. Daniel, III dated 2/13/2015 re: SEC's Motion for Entry of a Final Judgment. Document filed by Samuel E. Wyly.(Susman, Stephen)
February 13, 2015 Opinion or Order Filing 583 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 2/13/2015 re: SEC's 2/6/2015 Letter, Motion for Final Judgment & Proposed Final Judgment. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit A-Redline, # 2 Exhibit B-Clean)(Susman, Stephen)
February 12, 2015 Opinion or Order Filing 582 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated February 12, 2015 re: Officer and Director Bar. Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
February 6, 2015 Opinion or Order Filing 581 MOTION for Judgment against Defendants Sam Wyly and the Estate of Charles Wyly, Jr. . Document filed by Securities and Exchange Commission. (Attachments: # 1 Attachment 1 - Proposed Final Judgment)(Zerwitz, Martin)
February 6, 2015 Opinion or Order Filing 580 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated February 6, 2015 re: ECF No. 577. Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
February 3, 2015 Opinion or Order Filing 579 ORDER EXTENDING TIME: Pursuant to Rule 6(b)(1)(A) of the Fed. R. Civ. P., the time for the Relief Defendants to answer or otherwise respond to the SEC's Supplemental Amended Complaint, filed November 19, 2014 (Dkt. No. 541), is hereby extended to and including April 5, 2015. No further adjournments will be granted. SO ORDERED. John Graham answer due 4/5/2015; James W Lincoln answer due 4/5/2015; Jennifer Wyly Lincoln answer due 4/5/2015; Emily Wyly Lindsey answer due 4/5/2015; David Matthews answer due 4/5/2015; Laurie Wyly Matthews answer due 4/5/2015; Martha Wyly Miller answer due 4/5/2015; Donald R. Miller, Jr. answer due 4/5/2015; Kelly Wyly O'Donovan answer due 4/5/2015; Andrew Wyly answer due 4/5/2015; Caroline D Wyly answer due 4/5/2015; Cheryl Wyly answer due 4/5/2015; Christiana Wyly answer due 4/5/2015; Christina Wyly answer due 4/5/2015; Emily Wyly answer due 4/5/2015; Evan Acton Wyly answer due 4/5/2015; Lisa Wyly answer due 4/5/2015; Charles J Wyly III answer due 4/5/2015. (Signed by Judge Shira A. Scheindlin on 2/3/2015) (ajs)
February 3, 2015 Opinion or Order Filing 578 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated February 3, 2015 re: Relief Defendants' Second Request for An Extension of Time to Answer or Otherwise Respond to the Supplemental Amended Complaint. Document filed by James W Lincoln, Jennifer Wyly Lincoln, Emily Wyly Lindsey, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Caroline D Wyly, Cheryl Wyly, Christina Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Charles J Wyly III. (Attachments: # 1 Text of Proposed Order)(Kornblau, David)
February 2, 2015 Opinion or Order Filing 577 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated February 2, 2015 re: Requesting the Court Set a Schedule for the SEC to Submit Proposed Judgment Language and for Defendants to Respond to that Proposal. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Susman, Stephen)
February 2, 2015 Opinion or Order Filing 576 MEMORANDUM OPINION AND ORDER re: # 566 MOTION for Reconsideration re; # 563 Memorandum & Opinion,,,, . filed by Samuel E. Wyly, Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr. For the foregoing reasons, the Wylys' motion for reconsideration of the December 19 Order is DENIED. In the event that a higher court disagrees with the measure of disgorgement imposed by this Court on September 25, 2014, Sam Wyly must disgorge $83,444,775, plus $35,804,154 in pre-judgment interest, for a total of $119,248,930. Charles Wyly must disgorge $39,129,605, plus $16,589,026 in pre-judgment interest, for a total of $55,718,631. The Clerk of Court is directed to close this motion (Dkt. No. 566). SO ORDERED. (See Order.) (Signed by Judge Shira A. Scheindlin on 2/2/2015) (ajs)
January 22, 2015 Opinion or Order Filing 575 STIPULATION AND ORDER: Relief Defendant O'Donovan, Horse Island LLC, Bounty LLC and Finbarr's Limited may take all necessary steps to consummate the Sale. Relief Defendant O'Donovan may permit and cause Horse Island LLC to sell the portion of the Property it owns on the terms and conditions set forth in the Contract. Relief Defendant O'Donovan may permit and cause Bounty LLC to sell the portion of the Property it owns on the terms and conditions set forth in the Contract. Finbarr's Limited may close and cease operations of the Restaurant on the Closing Date, or prior to the Closing Date if necessary as a result of employees learning of the imminent termination. Finbarr's Limited may pay, using cash it currently holds or from future operating revenue, a retention bonus of one month's salary or wages to each of the following employees: the General Manager/Head Chef, the Assistant Head Chef, the Bar Manager and the Bookkeeper; and as further set forth. (Signed by Judge Shira A. Scheindlin on 1/22/2015) (tn)
January 16, 2015 Opinion or Order Filing 574 REPLY MEMORANDUM OF LAW in Support re: # 566 MOTION for Reconsideration re; # 563 Memorandum & Opinion,,,, . . Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Shepard, Steven)
January 12, 2015 Opinion or Order Filing 573 MEMORANDUM OF LAW in Opposition re: # 566 MOTION for Reconsideration re; # 563 Memorandum & Opinion,,,, . . Document filed by Securities and Exchange Commission. (Zerwitz, Martin)
January 9, 2015 Opinion or Order Filing 572 NOTICE of SEC Disgorgement Recalculation re: # 563 Memorandum & Opinion,,,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit Declaration of Chyhe Becker, Ph.D.)(Miller, Gregory)
January 7, 2015 Opinion or Order Filing 571 STIPULATION AND ORDER: IT IS STIPULATED AND AGREED THAT the Freeze Order is hereby further modified as follows: 1. Relief Defendant Cheryl Wyly (a) may, until the Closing Date as defined in the December 30 Agreement, continue to permit Explore Booksellers & Bistro, LLC, to operate its business as usual, including without limitation selling inventory and incurring ordinary and necessary operating expenses, such as, without limitation, purchasing replacement inventory, paying its employees, and paying the providers to the Bookstore of ordinary and necessary services; and (b) will not be deemed to be, or to have been, in violation of the Freeze Order by reason of the continued operation of the Bookstore since the issuance of the Freeze Order until such Closing Date as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 1/7/2015) (lmb)
December 23, 2014 Opinion or Order Filing 570 STIPULATION AND ORDER: Relief Defendant Cheryl Wyly (a) may, until the Closing Date, continue to permit Explore Booksellers & Bistro, LLC to operate its business as usual, including without limitation selling inventory and incurring ordinary and necessary operating expenses, such as, without limitation, purchasing replacement inventory, paying its employees, and paying the providers to the Bookstore of ordinary and necessary services; and (b) will not be deemed to be, or have been, in violation of the Freeze Order by reason of the continued operation of the Bookstore since the issuance of the Freeze Order until the Closing Date, and as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 12/23/2014) (tn)
December 23, 2014 Opinion or Order Filing 569 STIPULATION AND ORDER: On Demand may continue to pay, as it has in the past, the salaries of its full time employees, all business and operating expenses, the salaries of the contract employees, and reasonable profit distributions to Edgar Lincoln only, for as long as the Court's November 3, 2014 Order (the "Freeze Order") remains in effect, or until further order by this Court. Relief Defendants will not be deemed to have violated the Freeze Order or the November 18, 2014 Order as a result of On Demand continuing to pay, as it has in the past, its full time employees, all business and operating expenses, the salaries of the contract employees, and reasonable profit distributions to Edgar Lincoln only, for as long as the Freeze Order remains in effect or until further order by this Court. (Signed by Judge Shira A. Scheindlin on 12/23/2014) (tn) Modified on 12/24/2014 (tn).
December 23, 2014 Opinion or Order Filing 568 STIPULATION AND ORDER: Relief Defendant Evan Acton Wyly may execute the proposed Amended and Restated Agreement of Limited Partnership of LBJ Station, Ltd. on behalf of Marmalade, Ltd. in substantially the form annexed hereto as Exhibit A, and that he will not be deemed to be in violation of the Freeze Order by so doing. Relief Defendant Evan Acton Wyly will not be deemed to be in violation of the Freeze Order by reason of LBJ Station Ltd. applying for and becoming the borrower under the anticipated FHA Loan, or the use by LBJ Station, Ltd. of the proceeds of that loan to repay the outstanding balance of the Compass Loan and to finance the construction phase of the Project or any of the actions contemplated by the Amended and Restated Agreement of Limited Partnership of LBJ Station, Ltd. (Signed by Judge Shira A. Scheindlin on 12/23/2014) (tn)
December 23, 2014 Opinion or Order Filing 567 MEMORANDUM OF LAW in Support re: # 566 MOTION for Reconsideration re; # 563 Memorandum & Opinion,,,, . . Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Shepard, Steven)
December 23, 2014 Opinion or Order Filing 566 MOTION for Reconsideration re; # 563 Memorandum & Opinion,,,, . Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
December 19, 2014 Opinion or Order Filing 563 OPINION AND ORDER: For the foregoing reasons, the Wylys must disgorge their trading profits causally connected to their securities laws violations. Because I conclude that the SEC's measure is a reasonable approximation of these ill-gotten gains with the exception of the 38% related to the portion of securities that were never sold, the SEC must review the Wylys' holdings and submit a revised disgorgement amount for Sam Wyly and Charles Wyly, including prejudgment interest, calculated in accordance with this Opinion and Order by January 12, 2015. Any objections by the Wylys to the SEC's calculations are due within five days of receiving the SEC's submissions. As stated earlier, I am confident that the remedy already imposed by the September 25 Order is the best measure of the Wylys' ill-gotten gains. I reach this alternative calculation only in the event that a higher court disagrees with the measure of disgorgement calculated in the September 25 Order. In that case, I impose this alternative calculation now, rather than requiring the parties to continue this litigation, further delaying resolution of this already aged matter. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 12/19/2014) (ajs)
December 17, 2014 Opinion or Order Filing 562 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 12/1/2014 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 17, 2014 Opinion or Order Filing 561 TRANSCRIPT of Proceedings re: TRIAL held on 12/1/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Denise Richards, (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 1/12/2015. Redacted Transcript Deadline set for 1/23/2015. Release of Transcript Restriction set for 3/20/2015.(McGuirk, Kelly)
December 17, 2014 Opinion or Order Filing 560 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 11/17/2014 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 17, 2014 Opinion or Order Filing 559 TRANSCRIPT of Proceedings re: TRIAL held on 11/17/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Andrew Walker, (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 1/12/2015. Redacted Transcript Deadline set for 1/23/2015. Release of Transcript Restriction set for 3/20/2015.(McGuirk, Kelly)
December 17, 2014 Opinion or Order Filing 558 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 11/12/2014 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 17, 2014 Opinion or Order Filing 557 TRANSCRIPT of Proceedings re: TRIAL held on 11/12/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Patricia Nilsen, (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 1/12/2015. Redacted Transcript Deadline set for 1/23/2015. Release of Transcript Restriction set for 3/20/2015.(McGuirk, Kelly)
December 11, 2014 Opinion or Order Filing 556 NOTICE of of Joint Agreement Regarding Exhibits and Disagreement over Proper Measure of Prejudgment Interest. Document filed by Securities and Exchange Commission. (Zerwitz, Martin)
December 10, 2014 Opinion or Order Filing 555 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 8/29/2014 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 10, 2014 Opinion or Order Filing 554 TRANSCRIPT of Proceedings re: conference held on 8/29/2014 before Judge Shira A. Scheindlin. 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 1/5/2015. Redacted Transcript Deadline set for 1/15/2015. Release of Transcript Restriction set for 3/13/2015.(McGuirk, Kelly)
December 8, 2014 Opinion or Order Filing 553 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED that the Court's asset freeze order dated November 3, 2014, is further modified as follows: 1. Finbarrs Limited may continue to operate its restaurant business, including purchasing and selling food, beverages, and merchandise and funding its payroll and other ordinary and necessary operating expenses using cash it currently holds and future operating revenue until April 15, 2015, unless and until the Court orders otherwise; and 2. Wyly Works, Inc. may continue to operate the Elliott Yeary Gallery, including purchasing and selling art works and jewelry and funding its payroll and other ordinary and necessary operating expenses using cash it currently holds and future operating revenue, until April 15, 2015, unless and until the Court orders otherwise. (Signed by Judge Shira A. Scheindlin on 12/8/2014) (mro)
December 5, 2014 Opinion or Order Filing 552 NOTICE of Filing of Demonstrative Presentation. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Shepard, Steven)
December 5, 2014 Opinion or Order Filing 551 STIPULATION AND PROPOSED ORDER REGARDING CONFIDENTIALITY OF DISCOVERY MATERIALS...regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED, this 5th day of December, 2014. (Signed by Judge Shira A. Scheindlin on 12/5/2014) (tn)
December 3, 2014 Opinion or Order Filing 550 ORDER EXTENDING TIME: re: # 541 Amended Complaint, filed by Securities and Exchange Commission. Pursuant to Rule 6(b)(1)(A) of the Federal Rules of Civil Procedure, the time for the Relief Defendants to answer or otherwise respond to the SEC's Supplemental Amended Complaint, filed November 19, 2014 (Dkt. No. 541), is hereby extended to and including February 6, 2015. John Graham answer due 2/6/2015; James W Lincoln answer due 2/6/2015; Jennifer Wyly Lincoln answer due 2/6/2015; Emily Wyly Lindsey answer due 2/6/2015; David Matthews answer due 2/6/2015; Laurie Wyly Matthews answer due 2/6/2015; Martha Wyly Miller answer due 2/6/2015; Donald R. Miller, Jr. answer due 2/6/2015; Kelly Wyly O'Donovan answer due 2/6/2015; Andrew Wyly answer due 2/6/2015; Caroline D Wyly answer due 2/6/2015; Cheryl Wyly answer due 2/6/2015; Christiana Wyly answer due 2/6/2015; Christina Wyly answer due 2/6/2015; Emily Wyly answer due 2/6/2015; Evan Acton Wyly answer due 2/6/2015; Lisa Wyly answer due 2/6/2015; Charles J. Wyly III answer due 2/6/2015. (Signed by Judge Shira A. Scheindlin on 12/3/2014) (djc)
December 2, 2014 Opinion or Order Filing 549 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated December 2, 2014 re: Relief Defendants' First Request for An Extension of Time to Answer or Otherwise Respond to the Supplemental Amended Complaint. Document filed by John Graham, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Cheryl Wyly, Christiana Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Charles J Wyly III. (Attachments: # 1 Text of Proposed Order)(Kornblau, David)
December 2, 2014 Opinion or Order Filing 548 ORDER: On November 3, 2014 I ordered a temporary asset freeze of the Wylys' property and the property of the relief defendants that could be traced to property of the Isle of Man Trusts and Companies. The asset freeze did not apply to any assets of Samuel Wyly or Caroline Wyly that were listed on schedules filed in the United States Bankruptcy Court for the Northern District of Texas ("Bankruptcy Court") and thus under the Bankruptcy Court's supervision. Prior to this Order, the SEC named, inter alia, Mrs. Wyly as a relief defendant in this action, and as further set forth herein. For the above reasons, the SEC's request is denied. (Signed by Judge Shira A. Scheindlin on 12/2/2014) (djc)
December 1, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Bench Trial completed on 12/1/2014. (Bloomfield, Clifford)
November 26, 2014 Opinion or Order Filing 547 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED THAT: 1. Lindum may continue to pay the salary of its employee; 2. Lindum may pay its current outstanding legal expenses and outstanding and recurring operating expenses; 3. The Relief Defendants will not be deemed to have violated the Freeze Order as a result of Lindum continuing to pay its employee or pay its current outstanding legal expenses and outstanding and recurring operating expenses; 4. Lindum may proceed with the Bayview Sale closing and may pay all utility bills associated with the property until such closing occurs; 5. The Relief Defendants will not be deemed to have violated the Freeze Order by proceeding with the Bayview Sale and paying all utility bills associated with the property until such closing occurs; 6. Monies to be disbursed may be lawfully paid to all parties involved in the Bayview Sale, as set forth in EXHIBIT A, and the funds disbursed to Lindum will be maintained in Lindum's BBVA Compass bank account (ending 9634) and used only to pay Lindum's outstanding and recurring legal and operating expenses. SO ORDERED. (See Order.) (Signed by Judge Shira A. Scheindlin on 11/26/2014) (ajs)
November 24, 2014 Opinion or Order Filing 546 MEMO ENDORSEMENT on re: # 545 Letter filed by Securities and Exchange Commission. ENDORSEMENT: Approved. (Signed by Judge Shira A. Scheindlin on 11/24/2014) (lmb)
November 24, 2014 Opinion or Order Filing 545 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated November 24, 2014 re: Court room electronics. Document filed by Securities and Exchange Commission.(Miller, Gregory)
November 20, 2014 Opinion or Order Filing 544 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 11/20/2014 re: Response to Caroline Wyly's 11/19/2014 Letter. Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
November 20, 2014 Opinion or Order Filing 543 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Steven Shepard dated 11/19/2014 re: We request your permission for the Defendant's court room technician to set up the court room for the upcoming hearing scheduled to begin at 10:30AM on December 1, 2014. ENDORSEMENT: Request Granted. SO ORDERED., ( Status Conference set for 12/1/2014 at 10:30 AM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 11/20/2014) (ama)
November 20, 2014 Opinion or Order Filing 542 ORDER: The following Order is subject to the definitions, obligations and restrictions imposed pursuant to Standing Order M10-468, as Revised. Upon submission of written application to this Court, it is hereby ORDERED that the following individual(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, et al., No. 10-cv-05760 (SAS). The date(s)for which such authorization is provided is (are) December 1, 2014. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 11/19/2014) (ama)
November 19, 2014 Opinion or Order Filing 541 SUPPLEMENTAL AMENDED COMPLAINT amending # 1 Complaint against Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., John Graham, James W Lincoln, Jennifer Wyly Lincoln, Emily Wyly Lindsey, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Caroline D Wyly, Cheryl Wyly, Christiana Wyly, Christina Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Samuel E. Wyly, Charles J Wyly III.Document filed by Securities and Exchange Commission. Related document: # 1 Complaint filed by Securities and Exchange Commission. (Attachments: # 1 Appendix Appendix A, Part I, # 2 Appendix Appendix A, Part II)(Zerwitz, Martin)
November 18, 2014 Opinion or Order Filing 540 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED THAT: 1.On Demand may continue to pay the salaries of its full time employees, all business and operating expenses, the salaries of the contract employees, and reasonable profit distributions to Edgar Lincoln through December 31, 2014; 2. The Relief Defendants will not be deemed to have violated the Freeze Order as a result of On Demand continuing to pay its full time employees, all business and operating expenses, the salaries of the contract employees, and reasonable profit distributions to Edgar Lincoln through December 31, 2014; 3. James W. Lincoln agrees to provide the SEC with documents and information concerning the profitability of the business; and 4. James W. Lincoln agrees not to draw any salary or profits from On Demand until further Order of this Court. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 11/18/2014) (ama)
November 17, 2014 Opinion or Order Filing 539 LETTER addressed to Judge Shira A. Scheindlin from Bridget M. Fitzpatrick dated November 17, 2014 re: Assertion by Caroline Wyly that naming her as relief defendant violates auto stay. Document filed by Securities and Exchange Commission.(Miller, Gregory)
November 17, 2014 Opinion or Order Filing 538 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 11/3/2014 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)
November 17, 2014 Opinion or Order Filing 537 TRANSCRIPT of Proceedings re: conference held on 11/3/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Patricia Nilsen, (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 12/11/2014. Redacted Transcript Deadline set for 12/22/2014. Release of Transcript Restriction set for 2/20/2015.(McGuirk, Kelly)
November 17, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Evidentiary Hearing held on 11/17/2014. (Bloomfield, Clifford)
November 14, 2014 Opinion or Order Filing 536 MEMO ENDORSEMENT on re: # 535 Letter filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr. ENDORSEMENT: Defendants request is granted. SO ORDERED. (Status Conference set for 11/17/2014 at 10:00 AM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 11/14/2014) (ja)
November 14, 2014 Opinion or Order Filing 535 LETTER addressed to Judge Shira A. Scheindlin from Steven Shepard dated 11/14/2014 re: Request for permission re Courtroom Technology. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr..(Shepard, Steven)
November 13, 2014 Opinion or Order Filing 534 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED THAT the Court's asset freeze Order dated November 3, 2014, is hereby modified as follows: 1. Finbarr's Limited may continue to operate its restaurant business through December 31. 2014, including purchasing and selling food, beverages, and merchandise and funding its payroll and other ordinary and necessary operating expenses using cash it currently holds and future operating revenue; and 2. Wyly Works, Inc. may continue to operate the Elliott Yeary Gallery through December 31, 2014, including purchasing and selling art works and jewelry and funding its payroll and other ordinary and necessary operating expenses using cash it currently holds and future operating revenue. (Signed by Judge Shira A. Scheindlin on 11/13/2014) (kgo)
November 13, 2014 Opinion or Order Filing 533 NOTICE OF APPEARANCE by Eric Hellerman on behalf of John Graham, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Cheryl Wyly, Christiana Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Charles J Wyly III. (Hellerman, Eric)
November 12, 2014 Opinion or Order Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files (ONLY) for # 530 Notice of Interlocutory Appeal,, filed by Lisa Wyly, James W Lincoln, Emily Wyly, Cheryl Wyly, John Graham, Donald R. Miller, Jr., Evan Acton Wyly, Charles J Wyly III, Kelly Wyly O'Donovan, David Matthews, Christiana Wyly, Laurie Wyly Matthews, Jennifer Wyly Lincoln, Martha Wyly Miller, CHERYL WYLY, Andrew Wyly were transmitted to the U.S. Court of Appeals. (tp)
November 12, 2014 Opinion or Order Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: # 530 Notice of Interlocutory Appeal. (tp)
November 11, 2014 Opinion or Order Filing 532 ORDER: that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s)(collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, No. 10-cv-5760. The date(s) for which such authorization is provided are November 12 and November 17, 2014, as set forth herein. (Signed by Judge Shira A. Scheindlin on 11/11/2014) (ja)
November 11, 2014 Opinion or Order Filing 531 MEMO ENDORSEMENT on re: # 528 Letter filed by Securities and Exchange Commission. ENDORSEMENT: Request granted. So Ordered. (Signed by Judge Shira A. Scheindlin on 11/11/2014) (ja)
November 11, 2014 Opinion or Order Filing 530 NOTICE OF INTERLOCUTORY APPEAL from # 518 Order,,,,,,, # 517 Memorandum & Opinion,. Document filed by John Graham, James W Lincoln, Jennifer Wyly Lincoln, David Matthews, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Andrew Wyly, Cheryl Wyly, Christiana Wyly, Emily Wyly, Evan Acton Wyly, Lisa Wyly, Charles J Wyly III. Filing fee $ 505.00, receipt number 0208-10300780. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Katsiris, Kostas)
November 11, 2014 Opinion or Order Filing 529 NOTICE OF APPEARANCE by David Leon Kornblau on behalf of John Graham, David Matthews, Kelly Wyly O'Donovan, Andrew Wyly, Lisa Wyly, Charles J Wyly III, Cheryl Wyly, Evan Acton Wyly, Laurie Wyly Matthews, Martha Wyly Miller, Donald R. Miller, Jr., Emily Wyly, Christiana Wyly. (Kornblau, David)
November 10, 2014 Opinion or Order Filing 528 SECOND LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated November 10, 2014 re: Court room electronics. Document filed by Securities and Exchange Commission.(Miller, Gregory)
November 10, 2014 Opinion or Order Filing 527 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated November 10, 2014 re: Court Room Electronics. Document filed by Securities and Exchange Commission.(Miller, Gregory)
November 10, 2014 Opinion or Order Filing 524 NOTICE of Employment of Elisha Barron. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shepard, Steven)
November 7, 2014 Opinion or Order Filing 522 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED THAT: 1. The closing of the Transaction may proceed as scheduled on Monday, November 10, 2014; 2. The Relief Defendants will not be deemed to have violated the Freeze Order by proceeding with the Transaction; 3. Monies to be disbursed to all parties other than the Relief Defendants, as set forth in EXHIBIT A, may be lawfully paid; 4. Monies to be disbursed to the Relief Defendants, as set forth in EXHIBIT A, will be maintained by the undersigned counsel to the Relief Defendants in an escrow account until further Order of this Court. (Signed by Judge Shira A. Scheindlin on 11/7/2014) (kgo)
November 6, 2014 Opinion or Order Filing 521 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated November 6, 2014 re: correction to the amended complaint. Document filed by Securities and Exchange Commission.(Zerwitz, Martin)
November 4, 2014 Opinion or Order Filing 520 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 10/29/2014 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)
November 4, 2014 Opinion or Order Filing 519 TRANSCRIPT of Proceedings re: conference held on 10/29/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Sonya Ketter Huggins, (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 12/1/2014. Redacted Transcript Deadline set for 12/8/2014. Release of Transcript Restriction set for 2/5/2015.(McGuirk, Kelly)
November 3, 2014 Opinion or Order Filing 518 ORDER TEMPORARILY FREEZING ASSETS AND GRANTING OTHER RELIEF, re: # 517 Opinion and Order. This matter is before the Court on the Motion of the Plaintiff Securities and Exchange Commission ("Commission" or "SEC") for an Order: (1) freezing the assets of Defendant Samuel Wyly ("Samuel Wyly") and Donald R. Miller, Jr. in his capacity as the Executor of the Will and Estate of Charles J. Wyly Jr. ("Charles Wyly" and, together, the "Wylys"); (2) requiring an accounting of their assets; (3) preventing document alteration or destruction; and (4) expediting asset discovery in this action. The Court, having considered the evidence and the argument of the parties, finds based on the Wylys' claim of inability to pay the amount of disgorgement found to be appropriate in the Court's September 25, 2014 Order, and the concern regarding the possible dissipation of assets by the Wylys, family members, and other third parties while this litigation is pending, that a temporary injunction should, and hereby does, issue. Consequently, IT IS HEREBY ORDERED: This Order shall apply to the Wylys and to the following Relief Defendants: Cheryl Wyly, Evan Acton Wyly, Laurie Wyly Matthews, David Matthews, Lisa Wyly, John Graham, Kelly O'Donovan, Andrew Wyly, Christiana Wyly, Caroline D. Wyly (with the exceptions set forth herein), Martha Wyly Miller, Donald R. Miller, Jr., in his individual capacity, Charles J. Wyly III, Emily Wyly Lindsey, Jennifer Wyly Lincoln, and James W. Lincoln (hereinafter, the "Relief Defendants"). It shall apply to the Wylys' assets, including, but not limited to, assets held as set forth herein.... SO ORDERED. (See Order) (Signed by Judge Shira A. Scheindlin on 11/3/2014) (ja) Modified on 11/4/2014 (ja).
November 3, 2014 Opinion or Order Filing 517 OPINION AND ORDER: For the foregoing reasons, the SEC's requests are GRANTED. A separate Order imposing the temporary asset freeze and other relief is issued simultaneously with this Opinion and Order. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 11/3/2014) (ja)
November 3, 2014 Opinion or Order Filing 516 FIFTH LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 11/3/2014 re: Asset Freeze. Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
November 3, 2014 Opinion or Order Filing 515 LETTER addressed to Judge Shira A. Scheindlin from Josiah M. Daniel, III dated November 2, 2014 re: Response to SEC's Email to Ms. Schwartz dated October 31, 2014 re: SEC's Submission of the Revised Form of Freeze Order. Document filed by Samuel E. Wyly. (Attachments: # 1 Attachments)(Shepard, Steven)
November 3, 2014 Opinion or Order Filing 514 NOTICE of Fourth Revised Proposed Freeze Order. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Fitzpatrick, Bridget)
November 2, 2014 Opinion or Order Filing 513 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated 11/2/2014 re: Fourth Revised Proposed Freeze Order. Document filed by Emily Wyly Lindsey, MARTHA MILLER, David Matthews, Laurie Matthews, Kelly Wyly O'Donovan, CHERYL WYLY, EVAN WYLY, Andrew Wyly, Christina Wyly, Lisa Wyly. (Attachments: # 1 Exhibit Relief Defendants Proposed Order, # 2 Exhibit Relief Defendants Comments on SEC Proposed Order)(Kornblau, David)
October 31, 2014 Opinion or Order Filing 512 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 10/23/2014 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)
October 31, 2014 Opinion or Order Filing 511 TRANSCRIPT of Proceedings re: conference held on 10/23/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Sonya Ketter Huggins, (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 11/24/2014. Redacted Transcript Deadline set for 12/4/2014. Release of Transcript Restriction set for 2/1/2015.(McGuirk, Kelly)
October 31, 2014 Opinion or Order Filing 510 NOTICE OF APPEARANCE by Chaim Zev Kagedan on behalf of James W Lincoln, Jennifer Wyly Lincoln. (Kagedan, Chaim)
October 31, 2014 Opinion or Order Filing 509 NOTICE OF APPEARANCE by Kostas D. Katsiris on behalf of James W Lincoln, Jennifer Wyly Lincoln. (Katsiris, Kostas)
October 30, 2014 Opinion or Order Filing 508 FIRST AMENDED COMPLAINT amending # 505 Amended Complaint,,, # 1 Complaint against Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Michael C. French, John Graham, James W Lincoln, Jennifer Wyly Lincoln, Emily Wyly Lindsey, MARTHA MILLER, David Matthews, Laurie Matthews, Donald R. Miller, Jr., Kelly Wyly O'Donovan, Louis J. Schaufele, III, CHERYL WYLY, EVAN WYLY, Andrew Wyly, Caroline D Wyly, Christina Wyly, Lisa Wyly, Samuel E. Wyly, Charles J Wyly III with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: # 505 Amended Complaint,,, filed by Securities and Exchange Commission, # 1 Complaint filed by Securities and Exchange Commission. (Attachments: # 1 Appendix Part 1 of 2, # 2 Appendix Part 2 of 2, # 3 Exhibit Court Permission to File Amended Complaint)(Fitzpatrick, Bridget)
October 30, 2014 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT AMENDED COMPLAINT. Notice to Attorney Bridget Fitzpatrick RE: Document No. # 505 Amended Complaint,,,. The filing is deficient for the following reason(s): Filing Does Not Comply with FRCP Rule 15the wrong party was selected for FILED AGAINST File the Exhibit to Pleading event found under the event category Other Documents and attach either opposing party's written consent or Court's leave.Re-file the document and select the correct party you are filing against. (moh)
October 29, 2014 Opinion or Order Filing 507 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated October 29, 2014 re: the SEC's Amended Complaint. Document filed by MARTHA MILLER, CHERYL WYLY, EVAN WYLY.(Kornblau, David)
October 29, 2014 Opinion or Order Filing 506 LETTER addressed to Judge Shira A. Scheindlin from Josiah M. Daniel, III dated October 28, 2014 re: Response to SEC's Fourth Letter to the Court dated October 28, 2014. Document filed by Samuel E. Wyly.(Shepard, Steven)
October 29, 2014 Opinion or Order Filing 505 FILING ERROR - DEFICIENT PLEADING - FRCP RULE 15 NON-COMPLIANCE - FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR - FIRST AMENDED COMPLAINT amending # 501 Amended Complaint, # 1 Complaint against Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Michael C. French, Laurie Matthews, Donald R. Miller, Jr., Louis J. Schaufele, III, CHERYL WYLY, EVAN WYLY, Samuel E. Wyly, David Matthews, Lisa Wyly, John Graham, Kelly Wyly O'Donovan, Andrew Wyly, Christina Wyly, Caroline D Wyly, Charles J Wyly III, Emily Wyly Lindsey, Jennifer Wyly Lincoln, James W Lincoln with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: # 501 Amended Complaint, filed by Securities and Exchange Commission, # 1 Complaint filed by Securities and Exchange Commission. (Attachments: # 1 Appendix A (part 1 of 2), # 2 Appendix A (part 2 of 2))(Fitzpatrick, Bridget)
October 29, 2014 Opinion or Order Filing 504 FOURTH LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 10/28/2014 re: Asset Freeze. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Fitzpatrick, Bridget)
October 29, 2014 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney John David Worland to RE-FILE Document # 503 FOURTH LETTER MOTION for Conference re: # 496 Letter, # 488 Letter, # 498 Letter, # 495 Letter, # 499 Notice (Other), # 484 Letter, # 487 Letter, # 485 Letter, # 493 Letter, # 497 Letter, # 482 Letter, # 489 Letter, # 483 Letter, # 492 L. Use the event type Letter found under the event list Other Documents. (db)
October 28, 2014 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT AMENDED COMPLAINT. Notice to Attorney Gregory Miller RE: Document No. # 501 Amended Complaint,. The filing is deficient for the following reason(s): Filing Does Not Comply with FRCP Rule 15the wrong party was selected for FILED AGAINST File the Exhibit to Pleading event found under the event category Other Documents and attach either opposing party's written consent or Court's leave.Re-file the document and select the correct party you are filing against. The docket entry lists the wrong party being filed against. (jom)
October 28, 2014 Opinion or Order Filing 503 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - FOURTH LETTER MOTION for Conference re: # 496 Letter, # 488 Letter, # 498 Letter, # 495 Letter, # 499 Notice (Other), # 484 Letter, # 487 Letter, # 485 Letter, # 493 Letter, # 497 Letter, # 482 Letter, # 489 Letter, # 483 Letter, # 492 Letter, # 479 Letter Concerning Asset Freeze Proposed Order addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated October 28, 2014. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit)(Worland, John) Modified on 10/29/2014 (db).
October 28, 2014 Opinion or Order Filing 502 NOTICE of Filing Appendix A to Amended Complaint re: # 501 Amended Complaint,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Appendix Appendix A Part I, # 2 Appendix Appendix A Part II)(Miller, Gregory)
October 28, 2014 Opinion or Order Filing 501 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR - FILING ERROR - DEFICIENT PLEADING - FRCP RULE 15 NON-COMPLIANCE - FIRST AMENDED COMPLAINT amending # 1 Complaint against Securities and Exchange Commission with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: # 1 Complaint filed by Securities and Exchange Commission.(Miller, Gregory) Modified on 10/29/2014 (jom).
October 28, 2014 Opinion or Order Filing 500 THIRD LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated October 28, 2014 re: Asset Freeze Order. Document filed by Securities and Exchange Commission.(Miller, Gregory)
October 27, 2014 Opinion or Order Filing 499 NOTICE of Filing of Proposed Order Temporarily Freezing Assets re: # 496 Letter, # 488 Letter, # 498 Letter, Status Conference, # 495 Letter, # 484 Letter, # 487 Letter, # 485 Letter, # 493 Letter, # 497 Letter, # 489 Letter, # 483 Letter, # 492 Letter, # 479 Letter. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Proposed Order Temporarily Freezing Assets)(Miller, Gregory)
October 27, 2014 Opinion or Order Filing 498 LETTER addressed to Judge Shira A. Scheindlin from Stewart H. Thomas dated October 27, 2014 re: Letter Regarding Proposed Order. Document filed by Laurie Matthews.(Thomas, Stewart)
October 27, 2014 Opinion or Order Filing 497 LETTER addressed to Judge Shira A. Scheindlin from Josiah M. Daniel, III dated October 27, 2014 re: Response to Proposed Form of Order Submitted by SEC on October 24, 2014. Document filed by Samuel E. Wyly.(Shepard, Steven)
October 27, 2014 Opinion or Order Filing 496 LETTER addressed to Judge Shira A. Scheindlin from Kostas D. Katsiris dated October 27, 2014 re: the SEC's Second Revised Proposed Asset Freeze Order. Document filed by Jennifer Lincoln.(Katsiris, Kostas)
October 27, 2014 Opinion or Order Filing 495 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated October 27, 2014 re: the SEC's Second Revised Proposed Asset Freeze Order. Document filed by MARTHA MILLER, CHERYL WYLY, EVAN WYLY.(Kornblau, David)
October 27, 2014 Opinion or Order Filing 494 SUGGESTION OF BANKRUPTCY upon the record as to Samuel E. Wyly . Document filed by Samuel E. Wyly(Shepard, Steven)
October 24, 2014 Opinion or Order Filing 493 LETTER addressed to Judge Shira A. Scheindlin from Kostas D. Katsiris dated October 24, 2014 re: the SEC's Second Revised Proposed Asset Freeze Order. Document filed by Jennifer Lincoln.(Katsiris, Kostas)
October 24, 2014 Opinion or Order Filing 492 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated 10/24/2014 re: Second Revised Proposed Order For Freeze. Document filed by MARTHA MILLER, CHERYL WYLY, EVAN WYLY.(Kornblau, David)
October 23, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 10/23/2014. (Bloomfield, Clifford)
October 22, 2014 Opinion or Order Filing 491 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 10/22/2014 re: Sam Wyly Bankruptcy Filing. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Fitzpatrick, Bridget)
October 21, 2014 Opinion or Order Filing 490 LETTER addressed to Judge Shira A. Scheindlin from Josiah M. Daniel, III dated October 21, 2014 re: Court's Query Regarding Bankruptcy Filing. Document filed by Samuel E. Wyly.(Shepard, Steven)
October 20, 2014 Opinion or Order Filing 489 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated October 20, 2014 re: Response to SEC's Revised Proposed Order Submitted on October 15, 2014. Document filed by MARTHA MILLER, CHERYL WYLY, EVAN WYLY.(Kornblau, David)
October 17, 2014 Opinion or Order Filing 488 LETTER addressed to Judge Shira A. Scheindlin from Kostas D. Katsiris dated 10/17/2014 re: Request for Notice of any Proceedings or Briefing Ordered by the Court to Address the Proposed Asset Freeze. Document filed by Jennifer Lincoln.(Katsiris, Kostas)
October 16, 2014 Opinion or Order Filing 487 SECOND LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 10/16/2014 re: Request for Pre-Motion Conference Regarding Asset Freeze. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit)(Fitzpatrick, Bridget)
October 15, 2014 Opinion or Order Filing 486 NOTICE of SEC's Recalculations of Pre-Judgment Interest on Ill-Gotten Gains re: # 481 Memorandum & Opinion,,, # 476 Memorandum & Opinion,,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit Declaration of Eugene Canjels, Ph.D.)(Miller, Gregory)
October 14, 2014 Opinion or Order Filing 485 LETTER addressed to Judge Shira A. Scheindlin from Stewart H. Thomas dated October 14, 2014 re: Response to SEC Letter Dated October 8, 2014. Document filed by Laurie Matthews.(Thomas, Stewart)
October 14, 2014 Opinion or Order Filing 484 LETTER addressed to Judge Shira A. Scheindlin from David L. Kornblau dated October 14, 2014 re: Seek Leave to Oppose the SEC's Anticipated Motion for an Asset Freeze and Expedited Financial Discovery. Document filed by CHERYL WYLY, EVAN WYLY, MARTHA MILLER.(Kornblau, David)
October 14, 2014 Opinion or Order Filing 483 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated October 14, 2014 re: Response to SEC's October 8, 2014 Letter Requesting a Pre-Motion Conference re: Proposed Asset Freeze, Financial Discovery and an Accounting of Assets. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
October 10, 2014 Opinion or Order Filing 482 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 10/10/2014 re: in response to Defendant's 10/8/2014 letter. Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
October 8, 2014 Opinion or Order Filing 480 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated October 8, 2014 re: Request for Disproportionality Analysis. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
October 8, 2014 Opinion or Order Filing 479 FIRST LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated 10/8/2014 re: Pre-Motion Conference. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit)(Fitzpatrick, Bridget)
October 6, 2014 Opinion or Order Filing 478 ORDER FOR ADMISSION PRO HAC VICE: Attorney Marsha C. Massey for Securities and Exchange Commission admitted Pro Hac Vice. (See Order.) (Signed by Judge Shira A. Scheindlin on 10/6/2014) (ajs)
October 6, 2014 Opinion or Order Filing 477 ORDER FOR ADMISSION PRO HAC VICE: Attorney Michael James Roessner for Securities and Exchange Commission admitted Pro Hac Vice. (See Order.) (Signed by Judge Shira A. Scheindlin on 10/6/2014) (ajs)
September 25, 2014 Opinion or Order Filing 476 OPINION AND ORDER #104825. Defendants' deadline to submit a rebuttal report is October 29, 2014. In lieu of depositions, the Court will hold a one day hearing on November 17, 2014, where the SEC and defendants may each have up to four hours to cross-examine the experts. Because the record is left open for a limited purpose and time is a significant concern, no further briefing will be accepted. (Signed by Judge Shira A. Scheindlin on 9/24/2014) (lmb) Modified on 10/1/2014 (ca).
September 25, 2014 Opinion or Order Filing 475 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated September 25, 2014 re: Proposed Schedule for the Remaining Remedies Proceedings. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
September 23, 2014 Opinion or Order Filing 474 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated September 23, 2014 re: SEC's Request to Hold the Record Open. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
September 18, 2014 Opinion or Order Filing 473 SPECIAL VERDICT FORM. (ja) Modified on 9/19/2014 (ja).
September 18, 2014 Opinion or Order Filing 472 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/22/2014 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)
September 18, 2014 Opinion or Order Filing 471 TRANSCRIPT of Proceedings re: Trial held on 8/22/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 470 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/12/2014 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)
September 18, 2014 Opinion or Order Filing 469 TRANSCRIPT of Proceedings re: CORRECTED TRIAL held on 8/12/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 468 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/7/2014 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)
September 18, 2014 Opinion or Order Filing 467 TRANSCRIPT of Proceedings re: Trial held on 8/7/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: William Richards, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 466 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/6/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 465 TRANSCRIPT of Proceedings re: Trial held on 8/6/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 464 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/5/2014 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)
September 18, 2014 Opinion or Order Filing 463 TRANSCRIPT of Proceedings re: Trial held on 8/5/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: William Richards, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 18, 2014 Opinion or Order Filing 462 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Trial proceeding held on 8/4/2014 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)
September 18, 2014 Opinion or Order Filing 461 TRANSCRIPT of Proceedings re: Trial held on 8/4/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (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 10/14/2014. Redacted Transcript Deadline set for 10/23/2014. Release of Transcript Restriction set for 12/22/2014.(McGuirk, Kelly)
September 12, 2014 Opinion or Order Filing 460 NOTICE of Reply in Further Support of SEC's Request to Hold The Record open for Additional Expert Reports re: # 456 Notice (Other). Document filed by Securities and Exchange Commission. (Fitzpatrick, Bridget)
September 5, 2014 Opinion or Order Filing 459 NOTICE of Declaration of S. Shepard in Support of Defendants' Response to SEC's Request to Hold the Record Open for Additional Expert Reports and Proffer in Support Thereof re: # 458 Notice (Other). Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit A)(Shepard, Steven)
September 5, 2014 Opinion or Order Filing 458 NOTICE of Response to Plaintiff SEC's Request to Hold the Record Open for Additional Expert Reports and Proffer in Support Thereof re: # 456 Notice (Other). Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shepard, Steven)
September 2, 2014 Opinion or Order Filing 457 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated September 2, 2014 re: Remedies Closing Arguments. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit 1)(Hatch-Miller, Mark)
August 29, 2014 Opinion or Order Filing 456 NOTICE of SEC Request to Hold Open the Record for Additonal Expert Reports and Proffer in Support Thereof re: # 436 Memorandum & Opinion,,. Document filed by Securities and Exchange Commission. (Miller, Gregory)
August 27, 2014 Opinion or Order Filing 455 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated August 27, 2014 re: Remedies Closing Arguments. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2)(Zerwitz, Martin)
August 21, 2014 Opinion or Order Filing 454 RESPONSE re: # 448 Brief . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
August 20, 2014 Opinion or Order Filing 453 ORDER: I, Shira A. Scheindlin, hereby authorize the following individual(s) to bring the General Purpose Computing Device(s) ("GPCD") listed below into the Courthouse for use in a trial or proceeding in the action entitled SEC v. Wyly et al, No. 10-5760 (SAS), on August 22, 2014 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 8/19/2014) (lmb)
August 13, 2014 Opinion or Order Filing 452 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 8/1/2014 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 13, 2014 Opinion or Order Filing 451 TRANSCRIPT of Proceedings re: conference held on 8/1/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Sabrina D'Emidio, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/8/2014. Redacted Transcript Deadline set for 9/18/2014. Release of Transcript Restriction set for 11/17/2014.(McGuirk, Kelly)
August 11, 2014 Opinion or Order Filing 450 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated August 11, 2014 re: total trading profits. Document filed by Securities and Exchange Commission.(Miller, Gregory)
August 11, 2014 Opinion or Order Filing 449 ORDER: I, Shira A. Scheindlin, hereby authorize the following individual(s) to bring the General Purpose Computing Device(s) ("GPCD") listed below into the Courthouse for use in a trial or proceeding in the action entitled SEC v. Wyly et al, No. 10-5760 (SAS), on August 12, 2014 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 8/11/2014) (lmb)
August 9, 2014 Opinion or Order Filing 448 BRIEF Statement of Interest of the United States of America . Document filed by United States of America.(Cordaro, Joseph)
August 6, 2014 Opinion or Order Filing 447 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 7/30/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
August 6, 2014 Opinion or Order Filing 446 TRANSCRIPT of Proceedings re: conference held on 7/30/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Jennifer Thun, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/2/2014. Redacted Transcript Deadline set for 9/11/2014. Release of Transcript Restriction set for 11/7/2014.(McGuirk, Kelly)
August 3, 2014 Opinion or Order Filing 445 JOINT FINAL TRIAL REPORT. Document filed by United States of America. (Attachments: # 1 Exhibit JX-9901, # 2 Exhibit JX-9902, # 3 Exhibit JX-9903A, # 4 Exhibit JX-9903B, # 5 Exhibit JX-9904A, # 6 Exhibit JX-9904B)(Miller, Gregory)
August 1, 2014 Opinion or Order Filing 444 ORDER: The following Order is subject to the definitions, obligations and restrictions imposed pursuant to Standing Order M10-468, as Revised. Upon submission of written application to this Court, it is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action 10 Civ. 5760: Robert Danforth and John McConnell may bring in a laptop and iPad. The attorney(s) identified in this Order must present a copy of this Order when entering the Courthouse. Bringing any authorized Device(s) into the Courthouse or its Environs constitutes a certification by the attorney that he or she will comply in all respects with the restrictions and obligations set forth in Standing Order M10-468, as Revised. (Signed by Judge Shira A. Scheindlin on 8/1/2014) (kgo)
August 1, 2014 Opinion or Order Filing 443 ORDER: For reasons stated on the record at conferences held on July 30, 2014 and August 1, 2014, defendants' motion in limine pertaining to the SEC' s unpaid taxes disgorgement theory is DENIED, the SEC's motion in limine to exclude the testimony of Andrew Thorpe, including both his original opinion and his supplemental opinion, is GRANTED, the SEC's motion in limine to exclude the testimony of Robert Danforth and John McConnell is DENIED, except that the SEC's motion to strike McConnell's supplemental opinion is GRANTED. The Clerk of the Court is directed to close these motions (Dkt Nos. 407, 411, 415, and 431, 440). (Signed by Judge Shira A. Scheindlin on 8/1/2014) (cd)
August 1, 2014 Opinion or Order Filing 442 NOTICE OF APPEARANCE by Joseph Nicholas Cordaro on behalf of United States of America. (Cordaro, Joseph)
August 1, 2014 Opinion or Order Filing 441 ORDER: it is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action 10 Civ. 5760: Stephen Susman, Harry Susman, and Mark Hatch-Miller may all bring a laptop and cellphone. The attorney(s) identified in this Order must present a copy of this Order when entering the Courthouse. Bringing any authorized Device(s) into the Courthouse or its Environs constitutes a certification by the attorney that he or she will comply in all respects with the restrictions and obligations set forth in Standing Order M10-468, as Revised. (Signed by Judge Shira A. Scheindlin on 8/1/2014) (kgo)
July 30, 2014 Opinion or Order Filing 440 LETTER addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated July 30, 2014 re: Motion to Strike New Expert Reports. Document filed by Securities and Exchange Commission. (Attachments: # 1 New McConnell Expert Report, # 2 New Thorpe Expert Report)(Zerwitz, Martin)
July 30, 2014 Opinion or Order Filing 439 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from John D. Wordland, Jr. dated 7/29/2014 re: Counsel requests permission for Courtroom Connect to install two internet access cables in the Courtroom for the upcoming hearing from August 4-7, 2014. These cables will be used by Roy Campos of On the Record, Inc. and Martin Zerwitz of the SEC. ENDORSEMENT: Request granted. (Signed by Judge Shira A. Scheindlin on 7/29/2014) (tro)
July 30, 2014 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Martin Louis Zerwitz. Document No. # 438 Letter. This document is not filed via ECF. The Court permits the filing of letters including certain types of letter motions, a Motion to Strike must be formally filed. (db)
July 29, 2014 Opinion or Order Filing 438 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - LETTER MOTION for Conference re: Motion to Strike New Defense Expert Report addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated July 29, 2014. Document filed by Securities and Exchange Commission.(Zerwitz, Martin) Modified on 7/30/2014 (db).
July 29, 2014 Opinion or Order Filing 437 LETTER addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated July 29, 2014 re: Courtroom Electronic Access. Document filed by Securities and Exchange Commission.(Worland, John)
July 29, 2014 Opinion or Order Filing 436 OPINION AND ORDER re: # 403 MOTION to Preclude the SEC's "Total Profits" Disgorgement Theory filed by Samuel E. Wyly, Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr.: For the foregoing reasons, defendants' motion to preclude the SEC's disgorgement theory of total trading profits is GRANTED. The Clerk of the Court is directed to close this motion (Dkt. No. 403). (Signed by Judge Shira A. Scheindlin on 7/29/2014) (tn)
July 29, 2014 Opinion or Order Filing 435 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Steven Shepard dated 7/28/2014 re: Counsel requests permission for the Defendant's court room technician to set up the court room for the upcoming bench trial scheduled to begin on August 4. ENDORSEMENT: The request is granted. (Signed by Judge Shira A. Scheindlin on 7/29/2014) (tn)
July 28, 2014 Opinion or Order Filing 434 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
July 28, 2014 Opinion or Order Filing 433 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Securities and Exchange Commission. (Attachments: # 1 Conclusions of Law)(Zerwitz, Martin)
July 28, 2014 Opinion or Order Filing 432 ORDER: I, Shira A. Scheindlin, hereby authorize the following individual(s) to bring the General Purpose Computing Device(s) ("GPCD") into the Courthouse for use in a trial or proceeding in the action entitled SEC v. Wyly et al, No. 10-5760 (SAS), which is anticipated to begin on August 4, 2014 and run through August 7, 2014, as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 7/28/2014) (tn)
July 28, 2014 Opinion or Order Filing 431 LETTER MOTION for Conference re: Motion for Continuance addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated July 28, 2014. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
July 25, 2014 Opinion or Order Filing 430 PRETRIAL MEMORANDUM. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
July 25, 2014 Opinion or Order Filing 429 PRETRIAL MEMORANDUM. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Worland, John)
July 25, 2014 Opinion or Order Filing 428 JOINT FINAL TRIAL REPORT. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit)(Worland, John)
July 25, 2014 Opinion or Order Filing 427 DECLARATION of Steven M. Shepard in Opposition re: # 415 MOTION in Limine to Exclude Part of the Testimony of Defense Expert McConnell .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Shepard, Steven)
July 25, 2014 Opinion or Order Filing 426 MEMORANDUM OF LAW in Opposition re: # 415 MOTION in Limine to Exclude Part of the Testimony of Defense Expert McConnell . . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shepard, Steven)
July 24, 2014 Opinion or Order Filing 425 DECLARATION of Steven M. Shepard in Support re: # 403 MOTION to Preclude the SEC's "Total Profits" Disgorgement Theory .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit 1 (part 1), # 2 Exhibit 1 (part 2), # 3 Exhibit 2)(Shepard, Steven)
July 23, 2014 Opinion or Order Filing 424 DECLARATION of John D. Worland, Jr. in Opposition re: # 411 MOTION in Limine re Remedies Hearing .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Text of Proposed Order, # 12 Supplement, # 13 Exhibit)(Worland, John)
July 23, 2014 Opinion or Order Filing 423 MEMORANDUM OF LAW in Opposition re: # 411 MOTION in Limine re Remedies Hearing . . Document filed by Securities and Exchange Commission. (Worland, John)
July 22, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 7/22/2014. (Bloomfield, Clifford)
July 21, 2014 Opinion or Order Filing 422 DECLARATION of Mark H. Hatch-Miller in Opposition re: # 407 MOTION in Limine to Exclude TEstimony of Defense Putative Experts .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8)(Hatch-Miller, Mark)
July 21, 2014 Opinion or Order Filing 421 MEMORANDUM OF LAW in Opposition re: # 407 MOTION in Limine to Exclude TEstimony of Defense Putative Experts . . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
July 21, 2014 Opinion or Order Filing 420 MEMO ENDORSEMENT on re: # 410 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The SEC's request is granted. So Ordered. (Signed by Judge Shira A. Scheindlin on 7/21/2014) (ajs)
July 18, 2014 Opinion or Order Filing 419 REPLY MEMORANDUM OF LAW in Support re: # 403 MOTION to Preclude the SEC's "Total Profits" Disgorgement Theory . . Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shank, David)
July 18, 2014 Opinion or Order Filing 418 DECLARATION of Steven Shepard in Support re: # 403 MOTION to Preclude the SEC's "Total Profits" Disgorgement Theory .. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2)(Shank, David)
July 18, 2014 Opinion or Order Filing 417 DECLARATION of John D. Worland, Jr. in Support re: # 415 MOTION in Limine to Exclude Part of the Testimony of Defense Expert McConnell .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit McConnell Report)(Worland, John)
July 18, 2014 Opinion or Order Filing 416 MEMORANDUM OF LAW in Support re: # 415 MOTION in Limine to Exclude Part of the Testimony of Defense Expert McConnell . . Document filed by Securities and Exchange Commission. (Worland, John)
July 18, 2014 Opinion or Order Filing 415 MOTION in Limine to Exclude Part of the Testimony of Defense Expert McConnell . Document filed by Securities and Exchange Commission.(Worland, John)
July 18, 2014 Opinion or Order Filing 414 ORDER: Upon the parties' joint request, the deadline for submission of pretrial filings (joint pretrial order, briefs, and proposed findings of fact and conclusions of law) is extended to July 25, 2014. The SEC's deadline to respond to defendants' tax-related motion in limine (Dkt. No. 411) is extended to July 23, 2014., ( Brief due by 7/25/2014., Pretrial Order due by 7/25/2014., Responses due by 7/23/2014.) (Signed by Judge Shira A. Scheindlin on 7/18/2014) (lmb)
July 16, 2014 Opinion or Order Filing 409 AFFIDAVIT of Gregory N. Miller in Support re: # 407 MOTION in Limine to Exclude TEstimony of Defense Putative Experts .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit SEC MIL Ex. 1-Danforth Report Excerpts, # 2 Exhibit SEC MIL Ex. 2-Danforth Dep. Tr. Excerpts, # 3 Exhibit SEC MIL Ex. 3-Thorpe Report Excerpts, # 4 Exhibit SEC MIL Ex. 4-Thorpe Dep. Tr. Excerpts)(Miller, Gregory)
July 16, 2014 Opinion or Order Filing 408 MEMORANDUM OF LAW in Support re: # 407 MOTION in Limine to Exclude TEstimony of Defense Putative Experts . . Document filed by Securities and Exchange Commission. (Miller, Gregory)
July 16, 2014 Opinion or Order Filing 407 MOTION in Limine to Exclude TEstimony of Defense Putative Experts . Document filed by Securities and Exchange Commission. Return Date set for 7/21/2014 at 11:59 PM.(Miller, Gregory)
July 14, 2014 Opinion or Order Filing 406 MEMORANDUM OF LAW in Opposition re: # 403 MOTION to Preclude the SEC's "Total Profits" Disgorgement Theory . . Document filed by Securities and Exchange Commission. (Miller, Gregory)
July 10, 2014 Opinion or Order Filing 405 OPINION AND ORDER #104499. For the reasons in this Opinion and Order, the SEC's insider trading claim against Sam and Charles Wyly is dismissed with prejudice. The remedies trial as to the remaining nine claims will proceed as scheduled on August 4, 2014 at 10:00 am. (Signed by Judge Shira A. Scheindlin on 7/10/2014) (rjm) Modified on 7/11/2014 (ca).
July 10, 2014 Opinion or Order Set/Reset Hearings: Bench Trial set for 8/4/2014 at 10:00 AM before Judge Shira A. Scheindlin. (rjm)
July 2, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Bench Trial held on 7/2/2014. (Bloomfield, Clifford)
July 1, 2014 Opinion or Order Filing 402 NOTICE of Revised Joint Agreement That Additional Exhibits Are Admitted for Purposes of the Insider Trading Bench Trial. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit A)(Shank, David)
July 1, 2014 Opinion or Order Filing 401 ORDER: It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, No. 10cv5760. The date(s) for which such authorization is provided is (are) July 2, 2014 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 7/1/2014) (lmb)
July 1, 2014 Opinion or Order Filing 400 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TELEPHONE CONFERENCE proceeding held on 6/23/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
July 1, 2014 Opinion or Order Filing 399 TRANSCRIPT of Proceedings re: TELEPHONE CONFERENCE held on 6/23/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (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 7/25/2014. Redacted Transcript Deadline set for 8/4/2014. Release of Transcript Restriction set for 10/2/2014.(Rodriguez, Somari)
July 1, 2014 Opinion or Order Filing 398 NOTICE of Joint Agreement That Additional Exhibits Are Admitted for Purposes of the Insider Trading Bench Trial. Document filed by Securities and Exchange Commission. (Miller, Gregory)
June 24, 2014 Opinion or Order Filing 397 MEMO ENDORSEMENT on re: # 395 Letter filed by Samuel E. Wyly, Donald R. Miller, Jr. ENDORSEMENT: So ordered. (Signed by Judge Shira A. Scheindlin on 6/24/2014) (lmb)
June 24, 2014 Opinion or Order Filing 396 ORDER: It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, No. 10-cv-5760. The date(s) for which such authorization is provided is (are) 7/2/14 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 6/24/2014) (lmb)
June 24, 2014 Opinion or Order Filing 395 LETTER addressed to Judge Shira A. Scheindlin from David Shank dated June 24, 2014 re: Electronic equipment for July 2 bench trial. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
June 24, 2014 Opinion or Order Filing 394 MEMO ENDORSEMENT on re: # 393 Letter filed by Securities and Exchange Commission. ENDORSEMENT: So ordered. (Signed by Judge Shira A. Scheindlin on 6/24/2014) (lmb)
June 24, 2014 Opinion or Order Filing 393 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated June 24, 2014 re: Electronic equipment for July 2 bench trial. Document filed by Securities and Exchange Commission.(Miller, Gregory)
June 21, 2014 Opinion or Order Filing 392 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 06/21/2014 re: IRS Agent Randy Hooczko. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
June 20, 2014 Opinion or Order Filing 391 SUPPLEMENTAL LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated June 20, 2014 re: Defense June 18 letter to the Court. Document filed by Securities and Exchange Commission.(Miller, Gregory)
June 20, 2014 Opinion or Order Filing 390 LETTER addressed to Judge Shira A. Scheindlin from Bridget FFitzpatrick dated June 19, 2014 re: SEC response to defense June 18 letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
June 18, 2014 Opinion or Order Filing 389 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated June 18, 2014 re: Request for an Extension of Time to Submit an Expert Report. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
June 12, 2014 Opinion or Order Filing 388 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated June 12, 2014 re: Defense Request for Pre-Motion Conference. Document filed by Securities and Exchange Commission.(Miller, Gregory)
June 11, 2014 Opinion or Order Filing 387 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated June 11, 2014 re: Request for Pre-Motion Conference. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
June 3, 2014 Opinion or Order Filing 386 DECLARATION of Steven Shepard in Support re: # 384 Trial Memorandum, # 385 Proposed Findings of Fact. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Shank, David)
June 3, 2014 Opinion or Order Filing 385 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
June 3, 2014 Opinion or Order Filing 384 TRIAL MEMORANDUM. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
June 3, 2014 Opinion or Order Filing 383 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit Declaration of Professor Charles M. Jones, # 2 Exhibit Exhibit 1 to Jones Declaration)(Fitzpatrick, Bridget)
June 2, 2014 Opinion or Order Filing 382 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/12/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 381 TRANSCRIPT of Proceedings re: TRIAL held on 5/12/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 380 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/8/2014 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)
June 2, 2014 Opinion or Order Filing 379 TRANSCRIPT of Proceedings re: TRIAL held on 5/8/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 378 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/7/2014 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)
June 2, 2014 Opinion or Order Filing 377 TRANSCRIPT of Proceedings re: TRIAL held on 5/7/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 376 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/6/2014 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)
June 2, 2014 Opinion or Order Filing 375 TRANSCRIPT of Proceedings re: TRIAL held on 5/6/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 374 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/5/2014 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)
June 2, 2014 Opinion or Order Filing 373 TRANSCRIPT of Proceedings re: TRIAL held on 5/5/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 372 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/2/2014 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)
June 2, 2014 Opinion or Order Filing 371 TRANSCRIPT of Proceedings re: TRIAL held on 5/2/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 370 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 5/1/2014 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)
June 2, 2014 Opinion or Order Filing 369 TRANSCRIPT of Proceedings re: TRIAL held on 5/1/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 368 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/30/2014 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)
June 2, 2014 Opinion or Order Filing 367 TRANSCRIPT of Proceedings re: TRIAL held on 4/30/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 366 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/29/2014 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)
June 2, 2014 Opinion or Order Filing 365 TRANSCRIPT of Proceedings re: TRIAL held on 4/29/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 364 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/28/2014 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)
June 2, 2014 Opinion or Order Filing 363 TRANSCRIPT of Proceedings re: TRIAL held on 4/28/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 362 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/23/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 361 TRANSCRIPT of Proceedings re: TRIAL held on 4/23/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 360 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/22/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 359 TRANSCRIPT of Proceedings re: TRIAL held on 4/22/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 358 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/21/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 357 TRANSCRIPT of Proceedings re: TRIAL held on 4/21/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 356 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/18/2014 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)
June 2, 2014 Opinion or Order Filing 355 TRANSCRIPT of Proceedings re: TRIAL held on 4/18/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 354 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/17/2014 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)
June 2, 2014 Opinion or Order Filing 353 TRANSCRIPT of Proceedings re: TRIAL held on 4/17/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 352 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/16/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 351 TRANSCRIPT of Proceedings re: TRIAL held on 4/16/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 350 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/11/2014 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)
June 2, 2014 Opinion or Order Filing 349 TRANSCRIPT of Proceedings re: TRIAL held on 4/11/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 348 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/10/2014 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)
June 2, 2014 Opinion or Order Filing 347 TRANSCRIPT of Proceedings re: TRIAL held on 4/10/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 346 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/9/2014 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)
June 2, 2014 Opinion or Order Filing 345 TRANSCRIPT of Proceedings re: TRIAL held on 4/9/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 344 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/8/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 343 TRANSCRIPT of Proceedings re: TRIAL held on 4/8/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 342 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/7/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 341 TRANSCRIPT of Proceedings re: TRIAL held on 4/7/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 340 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/3/2014 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)
June 2, 2014 Opinion or Order Filing 339 TRANSCRIPT of Proceedings re: TRIAL held on 4/3/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 338 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TRIAL proceeding held on 4/1/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 2, 2014 Opinion or Order Filing 337 TRANSCRIPT of Proceedings re: TRIAL held on 4/1/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Rose Prater, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2014. Redacted Transcript Deadline set for 7/7/2014. Release of Transcript Restriction set for 9/5/2014.(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 336 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 3/25/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 335 TRANSCRIPT of Proceedings re: HEARING held on 3/25/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/23/2014. Redacted Transcript Deadline set for 7/3/2014. Release of Transcript Restriction set for 9/2/2014.(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 334 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 3/25/2014 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 333 TRANSCRIPT of Proceedings re: HEARING held on 3/26/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Jennifer Thun, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/23/2014. Redacted Transcript Deadline set for 7/3/2014. Release of Transcript Restriction set for 9/2/2014.(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 332 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 3/24/2014 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 30, 2014 Opinion or Order Filing 331 TRANSCRIPT of Proceedings re: HEARING held on 3/24/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Jennifer Thun, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/23/2014. Redacted Transcript Deadline set for 7/3/2014. Release of Transcript Restriction set for 9/2/2014.(McGuirk, Kelly)
May 28, 2014 Opinion or Order Filing 330 ORDER FOR ADMISSION PRO HAC VICE. The request of Donald P. Lan, Jr. for admission to practice pro hac vice in the above-captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Shira A. Scheindlin on 5/27/2014) (lmb)
May 14, 2014 Opinion or Order Filing 329 ORDER. Upon consideration of defendants' 5/13/14 letter, the scheduling orderfor the remedies trial is revised as follows. The SEC's expert reports are due on June 5, 2014. Defendants' expert reports are due on June 19, 2014. Depositions of experts are to be completed by July 7, 2014. The joint pretrial order and motions in limine are due on July 21, 2014. Trial will commence on August 4, 2014. (Deposition due by 7/7/2014. Motions due by 7/21/2014. Joint Pretrial Order due by 7/21/2014.) (Signed by Judge Shira A. Scheindlin on 5/14/2014) (rjm)
May 13, 2014 Opinion or Order Filing 328 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated May 13, 2014 re: Likely Need for Continuance from the Scheduling Order Entered May 12, 2014. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Susman, Stephen)
May 12, 2014 Opinion or Order Filing 327 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 5/12/2014 re: We are writing to request permission to have access to the Courtroom on the morning of Tuesday, May 13, 2014, if it is available, to remove the LCD monitors and related equipment from the court room. ENDORSEMENT: Request granted. (Signed by Judge Shira A. Scheindlin on 5/12/2014) (lmb)
May 12, 2014 Opinion or Order Filing 326 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 5/12/2014 re: We are writing to request permission to remove our boxes and trial supplies from the witness room and our conference room number 880 tomorrow, Tuesday May 13, 2014. ENDORSEMENT: Request granted. (Signed by Judge Shira A. Scheindlin on 5/12/2014) (lmb)
May 9, 2014 Opinion or Order Filing 325 MEMO ENDORSEMENT on re: # 324 Letter filed by Securities and Exchange Commission. ENDORSEMENT: Request granted. (Signed by Judge Shira A. Scheindlin on 5/9/2014) (lmb)
May 9, 2014 Opinion or Order Filing 324 LETTER addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated 05/09/2014 re: Courtroom Equipment. Document filed by Securities and Exchange Commission.(Worland, John)
May 7, 2014 Opinion or Order Filing 323 NOTICE of Filing Admitted Trial Exhibits List. Document filed by Securities and Exchange Commission. (Miller, Gregory)
May 7, 2014 Opinion or Order Filing 322 LETTER addressed to Judge Shira A. Scheindlin from David Shank dated 5/7/2014 re: SEC's Unpleaded Insider Trading Theory. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
May 6, 2014 Opinion or Order Filing 321 ORDER FOR ADMISSION PRO HAC VICE. IT IS HEREBY ORDERED that David J. Gottesman is admitted to practice pro hac vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Shira A. Scheindlin on 5/6/2014) (lmb)
May 6, 2014 Opinion or Order Filing 320 NOTICE of Joint Exhibit JX009 re: # 315 Notice (Other),. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit JX009 (Sanders))(Miller, Gregory)
May 5, 2014 Opinion or Order Filing 319 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated May 5, 2014 re: Viability of Insider Trading Claim. Document filed by Securities and Exchange Commission.(Miller, Gregory)
May 4, 2014 Opinion or Order Filing 318 TRIAL MEMORANDUM. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
May 3, 2014 Opinion or Order Filing 317 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated May 3, 2014 re: Response to DKT 316 Defendants' Letter to Court regarding the proposed reliance on counsel instruction. Document filed by Securities and Exchange Commission.(Zerwitz, Martin)
May 2, 2014 Opinion or Order Filing 316 LETTER addressed to Judge Shira A. Scheindlin from Mark Hatch-Miller dated 05/02/2014 re: Attorney Advice Instructions. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
May 2, 2014 Opinion or Order Filing 315 NOTICE of Filing Joint Exhibits. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit JX001, # 2 Exhibit JX002-SEC Designations I, # 3 Exhibit JX002-SEC Designatioins II, # 4 Exhibit JX002-Defense Designations, # 5 Exhibit JX003, # 6 Exhibit JX004, # 7 Exhibit JX005, # 8 Exhibit JX006, # 9 Exhibit JX007-SEC Designations, # 10 Exhibit JX007-Defense Designations, # 11 Exhibit JX008)(Miller, Gregory)
May 1, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Jury Trial held on 5/1/2014. (Bloomfield, Clifford)
April 30, 2014 Opinion or Order Filing 314 PROPOSED JURY INSTRUCTIONS. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly.(Shepard, Steven)
April 30, 2014 Opinion or Order Filing 313 NOTICE of of Filing Objections to SEC's Revised Proposed Jury Instructions re: # 307 Proposed Jury Instructions. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit A)(Shepard, Steven)
April 30, 2014 Opinion or Order Filing 312 NOTICE of Filing Objections to Defense Revised Requests for Charge re: # 308 Proposed Jury Instructions. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 29, 2014 Opinion or Order Filing 311 PROPOSED JURY INSTRUCTIONS. Document filed by Securities and Exchange Commission.(Miller, Gregory)
April 28, 2014 Opinion or Order Filing 310 ORDER FOR ADMISSION PRO HAC VICE. IT IS HEREBY ORDERED that Hope Hall Augustini and Daniel Staroselsky are admitted to practice pro hac vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. Attorney Hope Hall Augustini, Daniel Staroselsky for Securities and Exchange Commission admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 4/28/2014) (lmb)
April 28, 2014 Opinion or Order Filing 309 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated April 28, 2014 re: Pro Hac Order. Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Miller, Gregory)
April 28, 2014 Opinion or Order Filing 308 PROPOSED JURY INSTRUCTIONS. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit Attachment B)(Shank, David)
April 28, 2014 Opinion or Order Filing 307 PROPOSED JURY INSTRUCTIONS. Document filed by Securities and Exchange Commission.(Miller, Gregory)
April 8, 2014 Opinion or Order Filing 306 ORDER: that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v Wyly, No. 10 Civ. 5760. The date(s) for which such authorization is provided is (are) 4/8/2014 to 5/23/2014: Donald Miller - iPad. (Signed by Judge Shira A. Scheindlin on 4/8/2014) (tn)
April 7, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Jury Trial held on 4/7/2014. (Bloomfield, Clifford)
April 6, 2014 Opinion or Order Filing 305 LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 04/06/2014 re: Opening Statements. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
April 4, 2014 Opinion or Order Filing 304 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated April 4, 2014 re: admission of evidence to refute defendants' claim of good faith. Document filed by Securities and Exchange Commission.(Zerwitz, Martin)
April 4, 2014 Opinion or Order Filing 303 TRIAL MEMORANDUM. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
April 4, 2014 Opinion or Order Filing 302 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
April 4, 2014 Opinion or Order Filing 301 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Securities and Exchange Commission.(Zerwitz, Martin)
April 3, 2014 Opinion or Order Filing 300 ORDER: It is hereby ORDERED that Courtroom Connect may install four internet access cables in Room 880 for use by the following attorney(s) in a trial in the above-captioned action from April 3, 2014 to May 23, 2014. (Signed by Judge Shira A. Scheindlin on 4/3/2014) (lmb)
April 1, 2014 Opinion or Order Filing 299 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 4/1/2014 re: We are writing to request permission to have access to the Courtroom on the morning of Wednesday, April 2, 2014, if it is available, to deliver LCD monitors and related equipment for the Jury Box. ENDORSEMENT: Defendants' request is granted. (Signed by Judge Shira A. Scheindlin on 4/1/2014) (lmb)
March 31, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Jury Selection held on 3/31/2014. (Bloomfield, Clifford)
March 28, 2014 Opinion or Order Filing 298 LETTER addressed to Judge Shira A. Scheindlin from Steven Shepard dated 03-27-2014 re: Wyly Statement on Section 5. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 297 LETTER addressed to Judge Shira A. Scheindlin from Steve Susman dated 03-27-2014 re: Defense Reply re Section 5. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 296 LETTER addressed to Judge Shira A. Scheindlin from David Shank dated 03-26-2014 re: File Notes. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 295 LETTER addressed to Judge Shira A. Scheindlin from Steve Susman dated 03-25-2014 re: Section 4(1) exemption to Section 5. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 294 LETTER addressed to Judge Shira A. Scheindlin from Steve Susman dated 03-24-14 re: Response to SEC's 3/20/14 letter. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 293 LETTER addressed to Judge Shira A. Scheindlin from Steve Susman dated 03-20-2014 re: Evidentiary Objections. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
March 28, 2014 Opinion or Order Filing 292 ORDER: If the jury concludes that there was no distribution, then Schaufele was not an underwriter and Section 4(1) applies. If the jury determines that there was a distribution, it should proceed to the question of control. If the jury finds that the Wylys controlled the trusts, then the Wylys and the trusts are issuers, Schaufele is an underwriter and neither the Section 4(1) exception nor the Rule 144 safe harbor would apply. If the jury finds that the Wylys did not control the trusts, the SEC has conceded that it will not argue an alternate definition of underwriter and defendants would win on the Section 5 claim. I will reserve decision as to the wording of the jury instruction until the charge conference. If at the conclusion of evidence, any party believes that it has proven the question of distribution or control as a matter of law, it may reargue whether a jury instruction is warranted at the charge conference. (Signed by Judge Shira A. Scheindlin on 3/28/2014) (lmb)
March 27, 2014 Opinion or Order Filing 291 LETTER addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated March 26, 2014 re: Section 5 Issues. Document filed by Securities and Exchange Commission.(Miller, Gregory)
March 27, 2014 Opinion or Order Filing 290 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated March 25, 2014 re: Isle of Man trustee file notes. Document filed by Securities and Exchange Commission.(Miller, Gregory)
March 27, 2014 Opinion or Order Filing 289 LETTER addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated March 25, 2014 re: Section 5 Issues. Document filed by Securities and Exchange Commission.(Miller, Gregory)
March 27, 2014 Opinion or Order Filing 288 LETTER addressed to Judge Shira A. Scheindlin from Bridget Fitzpatrick dated March 20, 2014 re: Pretrial Conference Evidentiary and Legal Issues. Document filed by Securities and Exchange Commission.(Miller, Gregory)
March 27, 2014 Opinion or Order Filing 287 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 3/7/2014 re: We write to seek permission to have Courtroom Connect setup conference room 880 on March 31st at 9am. ENDORSEMENT: Defendants' request is granted. Courtroom Connect is authorized to set up Internet in Room 880 for the duration of the trial, which is expected to start on 3/31/14 and conclude on 5/23/14. (Signed by Judge Shira A. Scheindlin on 3/27/2014) (lmb)
March 27, 2014 Opinion or Order Filing 286 AMENDED ORDER: The Court Security Officers and U.S. Marshals are hereby directed to permit Admiral messenger service and Courtroom Connect to bring the following equipment into the Courthouse on March 28, 2014, at approximately 10:00 a.m. as further set forth in this order. The delivery will be made by Admiral messenger service and Courtroom Connect. They will need access to Pearl Street. The drivers will be Lassana Doucoure and Jorge Minchala. The vehicle Ms. Doucoure will be driving is a 2001 Burgandy Ford Econoline E250 with New York License Plate Number FHY9499. The vehicle Mr. Minchala will be driving is a 2004 White Ford with New York License Plate Number 31222ME. (Signed by Judge Shira A. Scheindlin on 3/26/2014) (lmb)
March 26, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 3/26/2014. (Bloomfield, Clifford)
March 25, 2014 Opinion or Order Filing 285 ORDER: It is hereby: ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly et al. No. 10 Civ 5760. The date(s) for which such authorization is provided are 3/24/2014- 5/23/2014 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 3/24/2014) (lmb)
March 25, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 3/25/2014. (Bloomfield, Clifford)
March 24, 2014 Opinion or Order Filing 284 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 3/24/2014 re: We write to identify and seek permission for the SEC's Courtroom technicians to setup the Courtroom for the upcoming trial. ENDORSEMENT: Request granted. (Signed by Judge Shira A. Scheindlin on 3/24/2014) (lmb)
March 24, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 3/24/2014. (Bloomfield, Clifford)
March 21, 2014 Opinion or Order Filing 283 NOTICE OF APPEARANCE by Harry P. Susman on behalf of Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Susman, Harry)
March 21, 2014 Opinion or Order Filing 282 ORDER: The Court Security Officers and U.S. Marshals are hereby directed to permit Admiral messenger service and Courtroom Connect to bring the following equipment into the Courthouse on March 28, 2014, at approximately 10:00 a.m. as further set forth in this order. The delivery will be made by Admiral messenger service and Courtroom Connect. They will need access to Pearl Street. The drivers will be Lassana Doucoure andJorge Minchala. The vehicle Ms. Doucoure will be driving is a 2001 Burgandy Ford Econoline E250 with New York License Plate Number FHY9499. The vehicle Mr. Minchala will be driving is a 2004 White Ford with New York License Plate Number 31222ME. (Signed by Judge Shira A. Scheindlin on 3/21/2014) (lmb)
March 21, 2014 Opinion or Order Filing 281 ORDER: It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, No. 10 Civ. 5760. The date(s) for which such authorization is provided is (are) 03/24/14. Attorney: Steven Susman, Device(s): Canon printer. (Signed by Judge Shira A. Scheindlin on 3/21/2014) (lmb)
March 21, 2014 Opinion or Order Filing 280 FINAL CONSENT JUDGMENT AS TO DEFENDANT MICHAEL C. FRENCH: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 thereunder [17 CFR 240.10b-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 as further set forth in this order. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $400,000, representing profits gained as a result of the conduct Defendant has admitted, together with prejudgment interest in the amount of $394,608.84 (from December 1998 to July 2009). Defendant shall satisfy the obligations set forth in this paragraph by paying $794,608.84 to the Commission within 14 days after entry of this Final Judgment as further set forth in this order.IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Shira A. Scheindlin on 3/20/2014) (lmb) (Additional attachment(s) added on 3/21/2014: # 1 right to appeal) (lmb).
March 20, 2014 Opinion or Order Filing 279 SETTLEMENT AGREEMENT of Michael C. French . Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Consent of Michael C. French)(Fitzpatrick, Bridget)
March 20, 2014 Opinion or Order Filing 278 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/10/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
March 20, 2014 Opinion or Order Filing 277 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/10/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Martha Drevis, (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 4/14/2014. Redacted Transcript Deadline set for 4/24/2014. Release of Transcript Restriction set for 6/23/2014.(Rodriguez, Somari)
March 19, 2014 Opinion or Order Filing 276 ORDER: It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, No. 10 Civ. 5760. The date(s) for which such authorization is provided is (are) 3/24/14-5/23/14 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 3/19/2014) (lmb)
March 11, 2014 Opinion or Order Filing 275 ORDER granting in part and denying in part # 253 Motion in Limine; granting in part and denying in part # 260 Motion for Reconsideration. For reasons stated on the record at today's conference, defendants' motion for partial reconsideration of my February 4, 2014 ruling is granted in part and defendants' expert-related motions in limine are granted in part and denied in part. The Clerk of the Court is directed to close these motions (Dkt Nos. 253 and 260). (Signed by Judge Shira A. Scheindlin on 3/10/2014) (lmb)
March 10, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 3/10/2014. (Bloomfield, Clifford)
March 10, 2014 Opinion or Order Filing 274 ORDER: It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Devices(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned SEC v. Wyly, et al, No. 10Civ5760. The date(s) for which such authorization is provided is (are) March 10, 2014 as further set forth in this order. (Signed by Judge Shira A. Scheindlin on 3/10/2014) (lmb)
March 10, 2014 Opinion or Order Filing 273 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated March 10, 2014 re: Final Pre-Trial Conference Issues. Document filed by Securities and Exchange Commission.(Miller, Gregory)
March 7, 2014 Opinion or Order Filing 272 TRIAL MEMORANDUM. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit D Juror Questionnaire, # 2 Exhibit E Voir Dire Questions, # 3 Exhibit F-1 SEC Proposed JIs, # 4 Exhibit F-2 Defendants' Proposed JIs, # 5 Exhibit F-3 Proposed JIs-Agreed, # 6 Exhibit G-1 SEC Dep Designations, # 7 Exhibit G-1a SEC Dep Designations, # 8 Exhibit G-2 SEC Dep Designations, # 9 Exhibit H-1 SEC Proposed Verdict Form, # 10 Exhibit H-2 Defense Proposed Verdict Form)(Miller, Gregory)
March 7, 2014 Opinion or Order Filing 271 TRIAL MEMORANDUM. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit C-1 SEC Ex List-Wyly Objs, # 2 Exhibit C-2 SEC Ex List-French Objs, # 3 Exhibit C-3 Wyly Ex List, # 4 Exhibit C-4 French Ex List)(Miller, Gregory)
March 7, 2014 Opinion or Order Filing 270 TRIAL MEMORANDUM. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A-Stip of Undisputed Facts, # 2 Exhibit B-1 SEC Witness List, # 3 Exhibit B-2 Wyly Witness List, # 4 Exhibit B-3 French's Witness List)(Miller, Gregory)
March 7, 2014 Opinion or Order Filing 269 REPLY to Response to Motion re: # 260 MOTION for Reconsideration re; # 249 Order on Motion in Limine,,,,,,,,,,,,,,,,,,,.. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shepard, Steven)
March 4, 2014 Opinion or Order Filing 268 MEMORANDUM OF LAW in Opposition re: # 260 MOTION for Reconsideration re; # 249 Order on Motion in Limine,,,,,,,,,,,,,,,,,,,.. Document filed by Securities and Exchange Commission. (Worland, John)
March 4, 2014 Opinion or Order Filing 267 REPLY MEMORANDUM OF LAW in Support re: # 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts .. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
February 28, 2014 Opinion or Order Minute Entry for proceedings held before Magistrate Judge Frank Maas: Settlement Conference held on 2/28/2014. (Chambers, Richalyn)
February 25, 2014 Opinion or Order Filing 266 ORDER FOR ADMISSION PRO HAC VICE: Harry P. Susman is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York for Samuel Wyly and Donald R. Miller, Jr. in his capacity as Independent Executor of the Will and Estates of Charles J. Wyly, Jr. (Signed by Judge Shira A. Scheindlin on 2/25/2014) (ajs)
February 21, 2014 Opinion or Order Filing 265 MEMORANDUM OF LAW in Opposition re: # 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts .. Document filed by Securities and Exchange Commission. (Worland, John)
February 21, 2014 Opinion or Order Filing 264 DECLARATION of John D. Worland, Jr. in Opposition re: # 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit)(Worland, John)
February 19, 2014 Opinion or Order Filing 263 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 2/13/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
February 19, 2014 Opinion or Order Filing 262 TRANSCRIPT of Proceedings re: CONFERENCE held on 2/13/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 3/17/2014. Redacted Transcript Deadline set for 3/27/2014. Release of Transcript Restriction set for 5/23/2014.(Rodriguez, Somari)
February 18, 2014 Opinion or Order Filing 261 MEMORANDUM OF LAW in Support re: # 260 MOTION for Reconsideration re; # 249 Order on Motion in Limine,,,,,,,,,,,,,,,,,,,.. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Shepard, Steven)
February 18, 2014 Opinion or Order Filing 260 MOTION for Reconsideration re; # 249 Order on Motion in Limine,,,,,,,,,,,,,,,,,,,. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Shepard, Steven)
February 13, 2014 Opinion or Order Filing 259 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a DECISION proceeding held on 2/4/14 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
February 13, 2014 Opinion or Order Filing 258 TRANSCRIPT of Proceedings re: DECISION held on 2/4/2014 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Karen Gorlaski, (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 3/10/2014. Redacted Transcript Deadline set for 3/20/2014. Release of Transcript Restriction set for 5/19/2014.(Rodriguez, Somari)
February 13, 2014 Opinion or Order Filing 257 LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated February 13, 2014 re: Response to Feb. 12 defense letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
February 13, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 2/13/2014. (Bloomfield, Clifford)
February 12, 2014 Opinion or Order Filing 256 LETTER addressed to Judge Shira A. Scheindlin from David Shank dated February 12, 2014 re: Pre-Motion Conference on Motion to Strike Jury Demand on Insider Trading. Document filed by Donald R. Miller, Jr., Samuel E. Wyly.(Shank, David)
February 7, 2014 Opinion or Order Filing 255 DECLARATION of Mark H. Hatch-Miller in Support re: # 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts .. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10)(Hatch-Miller, Mark)
February 7, 2014 Opinion or Order Filing 254 MEMORANDUM OF LAW in Support re: # 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts .. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
February 7, 2014 Opinion or Order Filing 253 MOTION in Limine : (Omnibus) to Exclude SEC Experts . Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly.(Hatch-Miller, Mark)
February 7, 2014 Opinion or Order Filing 252 NOTICE OF COURT CONFERENCE: Settlement Conference set for 2/28/2014 at 02:00 PM in Courtroom 20A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Frank Maas. (tro)
February 6, 2014 Opinion or Order Filing 251 NOTICE OF CHANGE OF ADDRESS by Jill Caroline Barnhart on behalf of Michael C. French. New Address: Petrillo Klein & Boxer LLP, 655 Third Avenue, Floor 22, New York, NY, United States 10017, 2123700337. (Barnhart, Jill)
February 6, 2014 Opinion or Order Filing 250 NOTICE OF CHANGE OF ADDRESS by Nelson Andrew Boxer on behalf of Michael C. French. New Address: Petrillo Klein & Boxer LLP, 655 Third Avenue, Floor 22, New York, NY, USA 10017, 212-370-0338. (Boxer, Nelson)
February 4, 2014 Opinion or Order Filing 249 ORDER granting in part and denying in part # 204 Motion in Limine; granting in part and denying in part # 207 Motion in Limine; granting in part and denying in part # 221 Motion in Limine; granting in part and denying in part # 223 Motion in Limine; granting in part and denying in part # 226 Motion in Limine: For reasons stated on the record at today's conference, the SEC's non-expert motions in limine are granted in part and denied in part; defendants' non-expert motions in limine are granted in part and denied in part; and the SEC's expert-related motions in limine are granted in part and denied in part. The Clerk of the Court is directed to close these motions (Dkt Nos. 204, 207, 221, 223 and 226). (Signed by Judge Shira A. Scheindlin on 2/4/2014) (tn)
February 4, 2014 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 2/4/2014. (Bloomfield, Clifford)
January 30, 2014 Opinion or Order Filing 248 REPLY MEMORANDUM OF LAW in Support re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Securities and Exchange Commission. (Worland, John)
January 30, 2014 Opinion or Order Filing 247 DECLARATION of Robert Comment, Ph.D. in Support re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Securities and Exchange Commission. (Worland, John)
January 30, 2014 Opinion or Order Filing 246 DECLARATION of John D. Worland, Jr. in Support re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit)(Worland, John)
January 30, 2014 Opinion or Order Filing 245 REPLY MEMORANDUM OF LAW in Support re: # 221 MOTION in Limine to exclude expert opinions of Ham and Rothschild .. Document filed by Securities and Exchange Commission. (Zerwitz, Martin)
January 27, 2014 Opinion or Order Filing 244 ORDER: 3/3/2014 Final Pretrial Conference reset for 3/10/2014 at 04:30 PM before Judge Shira A. Scheindlin. (Signed by Judge Shira A. Scheindlin on 1/27/2014) (cd)
January 23, 2014 Opinion or Order Filing 243 NOTICE of Withdrawal of Appearance of Alan M. Lieberman. Document filed by Securities and Exchange Commission. (Lieberman, Alan)
January 22, 2014 Opinion or Order Filing 242 NOTICE OF APPEARANCE by Stephen D. Susman on behalf of Samuel E. Wyly. (Susman, Stephen)
January 22, 2014 Opinion or Order Filing 241 NOTICE OF APPEARANCE by Mark Howard Hatch-Miller on behalf of Samuel E. Wyly. (Hatch-Miller, Mark)
January 21, 2014 Opinion or Order Filing 240 NOTICE OF APPEARANCE by Steven M. Shepard on behalf of Samuel E. Wyly. (Shepard, Steven)
January 21, 2014 Opinion or Order Filing 239 NOTICE OF APPEARANCE by David D. Shank on behalf of Samuel E. Wyly. (Shank, David)
January 21, 2014 Opinion or Order Filing 238 NOTICE OF APPEARANCE by Terrell Wallace Oxford on behalf of Samuel E. Wyly. (Oxford, Terrell)
January 20, 2014 Opinion or Order Filing 237 MEMORANDUM OF LAW in Opposition re: # 221 MOTION in Limine to exclude expert opinions of Ham and Rothschild .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shank, David)
January 20, 2014 Opinion or Order Filing 236 DECLARATION of Steven M. Shepard in Opposition re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Attachments: # 1 Exhibit Excerpts of Report of Charles Jones dated Aug. 27, 2013, # 2 Exhibit Excerpts from Crew et al., # 3 Exhibit Excerpts from Sirri Deposition, # 4 Exhibit Excerpts from Finnerty Pushner, # 5 Exhibit Robert Comment Errata, # 6 Exhibit Sirri Ten-Day Window Calculation, # 7 Exhibit Excerpts from Jones Deposition taken January 8, 2010, # 8 Exhibit Excerpts from Gujarati textbook)(Shepard, Steven)
January 20, 2014 Opinion or Order Filing 235 RESPONSE in Opposition to Motion re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shepard, Steven)
January 20, 2014 Opinion or Order Filing 234 RESPONSE to Motion re: # 223 FIRST MOTION in Limine to Exclude Expert Opinions of Macey .. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
January 9, 2014 Opinion or Order Filing 233 FINAL JUDGMENT AS TO DEFENDANT LOUIS J. SCHAUFELE III: in favor of Securities and Exchange Commission against Louis J. Schaufele, III in the amount of $ 498,693.10. (Signed by Judge Shira A. Scheindlin on 1/9/2014) (Attachments: # 1 Notice of Right to Appeal)(dt)
January 8, 2014 Opinion or Order Filing 232 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 1/8/2014 re: Defendants Sam Wyly and Donald R. Miller, in his capacity as the executor of the Estate of Charles Wyly, respectfully request a short extension of the deadline for their responses to the SEC's expert-related motions in limine. ENDORSEMENT: Defendants' request is hereby granted. The time for Defendants to respond to the SEC's expert-related motions in limine is extended to January 20, 2014. The SEC's replies are due on January 30, 2014. No further extensions will be granted. (Signed by Judge Shira A. Scheindlin on 1/8/2014) (djc) Modified on 1/8/2014 (djc).
January 8, 2014 Opinion or Order Filing 231 SETTLEMENT AGREEMENT Consent of Louis J. Schaufele III . Document filed by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Final Judgment)(Miller, Gregory)
January 8, 2014 Opinion or Order Set/Reset Deadlines: Responses due by 1/20/2014. Replies due by 1/30/2014. (djc) Modified on 1/8/2014 (djc). Modified on 1/8/2014 (djc).
January 2, 2014 Opinion or Order Filing 230 FIRST MEMORANDUM OF LAW in Support re: # 221 MOTION in Limine to exclude expert opinions of Ham and Rothschild .. Document filed by Securities and Exchange Commission. (Miller, Gregory)
January 2, 2014 Opinion or Order Filing 229 DECLARATION of Martin Zerwitz in Support re: # 221 MOTION in Limine to exclude expert opinions of Ham and Rothschild .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Zerwitz Decl. Ex. 1, # 2 Exhibit Zerwitz Decl. Ex. 2, # 3 Exhibit Zerwitz Decl. Ex. 3, # 4 Exhibit Zerwitz Decl. Ex. 4, # 5 Exhibit Zerwitz Decl. Ex. 5)(Miller, Gregory)
December 31, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 222 MOTION in Limine to Exclude Expert Opinions of Ham and Rothschild . Use the event type Memorandum of Law in Support of Motion found under the event list Replies, Opposition and Supporting Documents. NOTE: You must file the attached Declaration in Support separately. (ldi)
December 31, 2013 Opinion or Order Filing 228 MEMORANDUM OF LAW in Support re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Securities and Exchange Commission. (Worland, John)
December 31, 2013 Opinion or Order Filing 227 DECLARATION of John D. Worland, Jr. in Support re: # 226 MOTION in Limine to Exclude Testimony of Erik Sirri .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit)(Worland, John)
December 31, 2013 Opinion or Order Filing 226 MOTION in Limine to Exclude Testimony of Erik Sirri . Document filed by Securities and Exchange Commission.(Worland, John)
December 31, 2013 Opinion or Order Filing 225 DECLARATION of Bridget Fitzpatrick in Support re: # 223 FIRST MOTION in Limine to Exclude Expert Opinions of Macey .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit 4)(Fitzpatrick, Bridget)
December 31, 2013 Opinion or Order Filing 224 FIRST MEMORANDUM OF LAW in Support re: # 223 FIRST MOTION in Limine to Exclude Expert Opinions of Macey .. Document filed by Securities and Exchange Commission. (Fitzpatrick, Bridget)
December 31, 2013 Opinion or Order Filing 223 FIRST MOTION in Limine to Exclude Expert Opinions of Macey . Document filed by Securities and Exchange Commission.(Fitzpatrick, Bridget)
December 31, 2013 Opinion or Order Filing 222 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION in Limine to Exclude Expert Opinions of Ham and Rothschild . Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit, # 2 Exhibit Exhibit 1, # 3 Exhibit Exhibit 2, # 4 Exhibit Exhibit 3, # 5 Exhibit Exhibit 4, # 6 Exhibit Exhibit 5)(Miller, Gregory) Modified on 1/2/2014 (ldi).
December 31, 2013 Opinion or Order Filing 221 MOTION in Limine to exclude expert opinions of Ham and Rothschild . Document filed by Securities and Exchange Commission.(Miller, Gregory)
December 11, 2013 Opinion or Order Pro Hac Vice Fee Payment: Filing fee $ 200.00, receipt number 0208-9166528.(Shepard, Steven)
November 25, 2013 Opinion or Order Filing 220 ORDER FOR ADMISSION PRO HAC VICE. Attorney Steven M. Shepard for Donald R. Miller, Jr. admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 11/25/2013) (cd)
November 22, 2013 Opinion or Order Filing 219 ORDER FOR ADMISSION PRO HAC VICE. Attorney Bridget M. Fitzpatrick for Securities and Exchange Commission admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 11/22/2013) (cd)
November 13, 2013 Opinion or Order Filing 218 NOTICE of Intent to Offer Evidence Pursuant to Fed.R.Evid. 902(12). Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit IFG I, # 2 Affidavit IFG II, # 3 Affidavit IFG III, # 4 Affidavit Inter-Continental I, # 5 Affidavit Inter-Continental II, # 6 Affidavit Inter-Continental III, # 7 Affidavit Kleinwort-Benson I, # 8 Affidavit Kleinwort-Benson II, # 9 Affidavit Kleinwort-Benson III, # 10 Affidavit Lorne House, # 11 Affidavit Trident Trust I, # 12 Affidavit Trident Trust II, # 13 Affidavit Trident Trust III, # 14 Affidavit Irish Trust, # 15 Affidavit Queensgate Trust)(Miller, Gregory)
November 12, 2013 Opinion or Order Filing 217 MEMO ENDORSED granting # 194 Motion to Withdraw. ENDORSEMENT: Motion granted. The Clerk of the Court is directed to close this motion (docket entry no. 194). (Signed by Judge Shira A. Scheindlin on 11/12/2013) (cd)
November 7, 2013 Opinion or Order Filing 216 JOINT REPLY MEMORANDUM OF LAW in Support re: # 204 JOINT MOTION in Limine on Non-Expert Matters .. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Samuel E. Wyly. (Hatch-Miller, Mark)
November 7, 2013 Opinion or Order Filing 215 REPLY to Response to Motion re: # 207 MOTION in Limine.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit In Support of Reply)(Miller, Gregory)
November 4, 2013 Opinion or Order Filing 214 ORDER: Docketing Services is directed to place Exhibits 1 and 2 to the Securities and Exchange Commission's Memorandum of Law in Opposition to Defendants' Joint Motion in Limine (Dkt. No. 212) under permanent seal. (Signed by Judge Shira A. Scheindlin on 11/4/2013) (cd)
November 4, 2013 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: # 214 Order, to the Sealed Records Clerk for the sealing or unsealing of document or case. (cd)
October 28, 2013 Opinion or Order Filing 213 MEMORANDUM OF LAW in Opposition re: # 207 MOTION in Limine.. Document filed by Donald R. Miller, Jr., Samuel E. Wyly. (Shank, David)
October 28, 2013 Opinion or Order Filing 212 MEMORANDUM OF LAW in Opposition re: # 204 JOINT MOTION in Limine on Non-Expert Matters .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit SEC Ex. 1-Webb Dep Tr, # 2 Exhibit SEC Ex. 2-Wyly Family Fin Statement)(Miller, Gregory)
October 25, 2013 Opinion or Order Filing 211 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 10/7/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
October 25, 2013 Opinion or Order Filing 210 TRANSCRIPT of Proceedings re: ARGUMENT held on 10/7/2013 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Khristine Sellin, (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 11/18/2013. Redacted Transcript Deadline set for 12/2/2013. Release of Transcript Restriction set for 1/26/2014.(Rodriguez, Somari)
October 16, 2013 Opinion or Order Filing 209 MEMORANDUM OF LAW in Support re: # 207 MOTION in Limine. Non-Expert . Document filed by Securities and Exchange Commission. (Miller, Gregory)
October 16, 2013 Opinion or Order Filing 208 DECLARATION of Gregory N. Miller in Support re: # 207 MOTION in Limine.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit SEC MIL Ex. 1, # 2 Exhibit SEC MIL Ex. 2, # 3 Exhibit SEC MIL Ex. 3, # 4 Exhibit SEC MIL Ex. 4, # 5 Exhibit SEC MIL Ex. 5, # 6 Exhibit SEC MIL Ex. 6, # 7 Exhibit SEC MIL Ex. 7)(Miller, Gregory)
October 16, 2013 Opinion or Order Filing 207 MOTION in Limine. Document filed by Securities and Exchange Commission. Return Date set for 10/28/2013 at 11:55 PM.(Miller, Gregory)
October 16, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 206 MOTION in Limine Non-Expert . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
October 15, 2013 Opinion or Order Filing 206 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION in Limine Non-Expert . Document filed by Securities and Exchange Commission. Return Date set for 10/28/2013 at 11:55 PM. (Attachments: # 1 Affidavit Declaration of Gregory N. Miller, # 2 Exhibit SEC MIL Ex. 1, # 3 Exhibit SEC MIL Ex. 2, # 4 Exhibit SEC MIL Ex. 3, # 5 Exhibit SEC MIL Ex. 4, # 6 Exhibit SEC MIL Ex. 5, # 7 Exhibit SEC MIL Ex. 6, # 8 Exhibit SEC MIL Ex. 7, # 9 Text of Proposed Order SEC Prop Order)(Miller, Gregory) Modified on 10/16/2013 (db).
October 15, 2013 Opinion or Order Filing 205 MEMORANDUM OF LAW in Support re: # 204 JOINT MOTION in Limine on Non-Expert Matters .. Document filed by Donald R. Miller, Jr.. (Shank, David)
October 15, 2013 Opinion or Order Filing 204 JOINT MOTION in Limine on Non-Expert Matters . Document filed by Donald R. Miller, Jr..(Shank, David)
October 7, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 10/7/2013. (Reily, James)
October 1, 2013 Opinion or Order Filing 203 LETTER addressed to Judge Shira A. Scheindlin from Laura E. Neish dated October 1, 2013 re: Non-expert motion in limine. Document filed by Louis J. Schaufele, III.(Neish, Laura)
October 1, 2013 Opinion or Order Filing 202 LETTER addressed to Judge Shira A. Scheindlin from Joshua Klein dated October 1, 2013 re: Non-Expert Motions In Limine. Document filed by Michael C. French.(Klein, Joshua)
October 1, 2013 Opinion or Order Filing 201 LETTER addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated October 1, 2013 re: SEC Non-Expert Motions In Limine. Document filed by Securities and Exchange Commission.(Miller, Gregory)
October 1, 2013 Opinion or Order Filing 200 LETTER addressed to Judge Shira A. Scheindlin from Mark Hatch-Miller dated 10/01/2013 re: Non-Expert Motions in Limine. Document filed by Donald R. Miller, Jr..(Hatch-Miller, Mark)
October 1, 2013 Opinion or Order Filing 199 LETTER addressed to Judge Shira A. Scheindlin from William A. Brewer III dated October 1, 2013 re: Non-expert motion in limine. Document filed by Samuel E. Wyly.(Smith, Michael)
October 1, 2013 Opinion or Order ***DELETED DOCUMENT. Deleted document number # 199 STANDING ORDER M10-468: Stay of Certain Civil Cases Pending the Restoration of Department of Justice Funding.. The document was incorrectly filed in this case. (ad)
September 4, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 9/4/2013. (Reily, James)
August 28, 2013 Opinion or Order Filing 198 RULE 26 DISCLOSURE.Document filed by Securities and Exchange Commission.(Miller, Gregory)
July 29, 2013 Opinion or Order Filing 197 ENDORSED LETTER addressed to Judge Shira A. Scheindlin, from Stephen D. Susman, dated 7/25/2013, re: request that the pretrial hearing be rescheduled to Monday, October 7, or any other day during that week, and that the schedule for briefing motions in limine be adjusted accordingly. ENDORSEMENT: The pretrial hearing is rescheduled to Monday, October 7. Non-expert motions in limine are now due Tuesday, October 15. Responses are due Monday, October 28. Replies are due Monday, November 7. All other deadlines set forth in the July 23, 2013 scheduling order remain the same. (Motions due by 10/15/2013, Responses due by 10/28/2013, Replies due by 11/7/2013.) (Signed by Judge Shira A. Scheindlin on 7/26/2013) (ja)
July 23, 2013 Opinion or Order Filing 196 POST-FACT DISCOVERY SCHEDULING ORDER: The current Scheduling Order is amended as follows: Motions due by 2/7/2014. Responses due by 2/21/2014. Replies due by 3/4/2014. Discovery due by 10/23/2013. Expert Discovery due by 1/24/2014. Pre-Motion Conference set for 10/4/2013 at 04:30 PM before Judge Shira A. Scheindlin. Pretrial Conference set for 2/4/2014 at 04:30 PM before Judge Shira A. Scheindlin. Final Pretrial Conference set for 3/3/2013 at 04:30 PM before Judge Shira A. Scheindlin. Joint Pretrial Order due by 3/7/2014. Start of trial - March 31, 2014 (Monday). (Signed by Judge Shira A. Scheindlin on 7/23/2013) (ft) Modified on 7/24/2013 (ft).
July 16, 2013 Opinion or Order Set/Reset Hearings: Final Pretrial Conference set for 10/4/2013 at 04:30 PM before Judge Shira A. Scheindlin. Final Pretrial Conference set for 2/4/2014 at 04:30 PM before Judge Shira A. Scheindlin. (ja)
July 16, 2013 Opinion or Order Filing 195 POST-FACT DISCOVERY SCHEDULING ORDER: The parties agree to and submit the following revised, post-fact discovery event deadlines consistent with the Court's Instructions: Production of SEC Expert Reports, August 28, 2013; Defense Disclosure of Experts and Summaries of Experts' Opinions Not Used Exclusively for Rebuttal, September 11, 2013; Commencement of Discovery of Plaintiff Experts, September 4, 2013; Production of Defense Expert Reports, October 23, 2013; Commencement of Discovery of Defense Experts, October 23, 2013; Production of SEC Rebuttal Expert Report(s), December 17, 2013; Completion of Expert Discovery, January 24, 2014; SEC Draft of Pretrial Order to Defendants, February 14, 2014; Submission of Joint Pre-Trial Order, Trial Briefs, Proposed Voir Dire Questions, and Proposed Jury Instructions, March 7, 2014. Trial date, 3/31/2014. (See Order). Expert Discovery due by 1/24/2014. Discovery due by 10/23/2013. Final Pretrial Conference set for 10/4/2013 at 04:30 PM before Judge Shira A. Scheindlin. Final Pretrial Conference set for 2/4/2014 at 04:30 PM before Judge Shira A. Scheindlin. Pretrial Order due by 3/7/2014. (Signed by Judge Shira A. Scheindlin on 7/15/2013) (ja) Modified on 7/19/2013 (ja).
July 15, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 7/15/2013. (Reily, James)
July 2, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 7/2/2013. (Reily, James)
June 27, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 6/27/2013. (Reily, James)
June 25, 2013 Opinion or Order Filing 194 CONSENT MOTION to Withdraw of Kendyl T Hanks as Counsel of Record . Document filed by Donald R. Miller, Jr..(Hanks, Kendyl)
June 13, 2013 Opinion or Order Filing 193 OPINION AND ORDER re: #103303 # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants , filed by Samuel E. Wyly. For the foregoing reasons, if the Wylys are found liable for the fraud claims, the SEC will have the opportunity to make its case for disgorgement at that time. A conference is scheduled for July 15, 2013 at 4:30 p.m. The Clerk of Court is directed to close this motion (Docket No. 169).( Status Conference set for 7/15/2013 at 04:30 PM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 6/13/2013) (ja) Modified on 6/18/2013 (jab).
June 13, 2013 Opinion or Order Filing 192 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 6/5/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
June 13, 2013 Opinion or Order Filing 191 TRANSCRIPT of Proceedings re: ARGUMENT held on 6/5/2013 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Samuel Mauro, (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 7/11/2013. Redacted Transcript Deadline set for 7/18/2013. Release of Transcript Restriction set for 9/16/2013.(Rodriguez, Somari)
June 6, 2013 Opinion or Order Filing 190 OPINION AND ORDER: #103276 For the foregoing reasons, my rulings are as follows: (1) the SEC's penalty claims for conduct occurring more than five years prior to the execution of each defendant's respective tolling agreement are time-barred as to that defendant; (2) summary judgment on the claim for injunctive relief against Schaufele is denied; (3) summary judgment on the insider trading claims against the Wylys and Schaufele is denied; (4) summary judgment on the aiding and abetting Section 13(d) violations is denied; and (5) summary judgment on the fraud claims against the Wylys and French, and aiding abetting fraud against Schaufele are denied. (Signed by Judge Shira A. Scheindlin on 6/6/2013) (ja) Modified on 6/12/2013 (jab).
June 5, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 6/5/2013. (Reily, James)
May 20, 2013 Opinion or Order Filing 189 SEALED DOCUMENT placed in vault.(nm)
May 20, 2013 Opinion or Order Filing 188 SEALED DOCUMENT placed in vault.(mps)
May 20, 2013 Opinion or Order Filing 187 DECLARATION of John D. Worland in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14)(Miller, Gregory)
May 17, 2013 Opinion or Order Filing 186 DECLARATION of Laura E. Neish in Support re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8)(Neish, Laura)
May 17, 2013 Opinion or Order Filing 185 THIRD REPLY MEMORANDUM OF LAW in Support re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Miletic, Paul)
May 10, 2013 Opinion or Order Filing 184 FILING ERROR - DUPLICATE DOCKET ENTRY - AFFIDAVIT of Worland in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 8, # 2 Exhibit 9, # 3 Exhibit 10, # 4 Exhibit 11, # 5 Exhibit 12, # 6 Exhibit 13, # 7 Exhibit 14)(Worland, John) Modified on 5/13/2013 (db).
May 10, 2013 Opinion or Order Filing 183 DECLARATION of John D. Worland, Jr. in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit)(Worland, John)
May 10, 2013 Opinion or Order Filing 182 DECLARATION of Martin L. Zerwitz in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 28, # 2 Exhibit 29, # 3 Exhibit 30, # 4 Exhibit 31, # 5 Exhibit 32, # 6 Exhibit 33, # 7 Exhibit 34)(Miller, Gregory)
May 10, 2013 Opinion or Order Filing 181 DECLARATION of Alan M. Lieberman in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 21, # 2 Exhibit 22, # 3 Exhibit 23, # 4 Exhibit 24, # 5 Exhibit 25, # 6 Exhibit 26, # 7 Exhibit 27)(Miller, Gregory)
May 10, 2013 Opinion or Order Filing 180 DECLARATION of Gregory N. Miller in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 15, # 2 Exhibit 16, # 3 Exhibit 17, # 4 Exhibit 18, # 5 Exhibit 19, # 6 Exhibit 20)(Miller, Gregory)
May 10, 2013 Opinion or Order Filing 179 RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Miller, Gregory)
May 10, 2013 Opinion or Order Filing 178 COUNTER STATEMENT TO # 173 Rule 56.1 Statement, # 171 Rule 56.1 Statement. Document filed by Securities and Exchange Commission. (Miller, Gregory)
May 10, 2013 Opinion or Order Filing 177 MEMORANDUM OF LAW in Opposition re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Miller, Gregory)
May 6, 2013 Opinion or Order Filing 176 SEALED DOCUMENT placed in vault.(nm)
May 6, 2013 Opinion or Order Filing 175 SEALED DOCUMENT placed in vault.(nm)
May 3, 2013 Opinion or Order Filing 174 DECLARATION of Laura E. Neish in Support re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8)(Neish, Laura)
May 3, 2013 Opinion or Order Filing 173 RULE 56.1 STATEMENT. Document filed by Louis J. Schaufele, III. (Neish, Laura)
May 3, 2013 Opinion or Order Filing 172 DECLARATION of Michael L. Smith in Support re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit 4, # 5 Exhibit Exhibit 5, # 6 Exhibit Exhibit 6, # 7 Exhibit Exhibit 7, # 8 Exhibit Exhibit 8, # 9 Exhibit Exhibit 9, # 10 Exhibit Exhibit 10, # 11 Exhibit Exhibit 11, # 12 Exhibit Exhibit 12, # 13 Exhibit Exhibit 13, # 14 Exhibit Exhibit 14, # 15 Exhibit Exhibit 15, # 16 Exhibit Exhibit 16, # 17 Exhibit Exhibit 17, # 18 Exhibit Exhibit 18, # 19 Exhibit Exhibit 19, # 20 Exhibit Exhibit 20, # 21 Exhibit Exhibit 21, # 22 Exhibit Exhibit 22, # 23 Exhibit Exhibit 23, # 24 Exhibit Exhibit 24, # 25 Exhibit Exhibit 25, # 26 Exhibit Exhibit 26, # 27 Exhibit Exhibit 27, # 28 Exhibit Exhibit 28)(Smith, Michael)
May 3, 2013 Opinion or Order Filing 171 RULE 56.1 STATEMENT. Document filed by Samuel E. Wyly. (Smith, Michael)
May 3, 2013 Opinion or Order Filing 170 MEMORANDUM OF LAW in Support re: # 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Smith, Michael)
May 3, 2013 Opinion or Order Filing 169 AMENDED MOTION for Partial Summary Judgment On Behalf of All Defendants . Document filed by Samuel E. Wyly. Responses due by 5/10/2013(Smith, Michael)
May 2, 2013 Opinion or Order Filing 168 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/4/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
May 2, 2013 Opinion or Order Filing 167 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/4/2012 before Judge Shira A. Scheindlin. 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 5/28/2013. Redacted Transcript Deadline set for 6/6/2013. Release of Transcript Restriction set for 8/5/2013.(Rodriguez, Somari)
May 2, 2013 Opinion or Order Filing 166 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TELEPHONE CONFERENCE proceeding held on 2/7/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
May 2, 2013 Opinion or Order Filing 165 TRANSCRIPT of Proceedings re: TELEPHONE CONFERENCE held on 2/7/2013 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: William Richards, (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 5/28/2013. Redacted Transcript Deadline set for 6/6/2013. Release of Transcript Restriction set for 8/5/2013.(Rodriguez, Somari)
April 26, 2013 Opinion or Order Filing 164 NOTICE OF CHANGE OF ADDRESS by Joshua Klein on behalf of Michael C. French. New Address: Petrillo Klein & Boxer LLP, 655 3rd Avenue, 22nd Fl., New York, NY, United States 10017-9106, (212) 370-0330. (Klein, Joshua)
April 25, 2013 Opinion or Order Filing 163 SEALED DOCUMENT placed in vault.(mps)
April 25, 2013 Opinion or Order Filing 162 SEALED DOCUMENT placed in vault.(nm)
April 24, 2013 Opinion or Order Filing 161 DECLARATION of Laura E. Neish in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11)(Neish, Laura)
April 24, 2013 Opinion or Order Filing 160 REPLY MEMORANDUM OF LAW in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Widell, Alexander)
April 19, 2013 Opinion or Order Filing 159 DECLARATION of Martin L. Zerwitz in Opposition. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 19, 2013 Opinion or Order Filing 158 DECLARATION of Gregory N. Miller in Opposition. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 18, 2013 Opinion or Order Filing 157 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Gregory N. Miller in Opposition re: # 136 MOTION for Summary Judgment Corrected Copy .. Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/18/2013 (db).
April 18, 2013 Opinion or Order Filing 156 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Martin L. Zerwitz in Opposition re: # 136 MOTION for Summary Judgment Corrected Copy .. Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/18/2013 (db).
April 18, 2013 Opinion or Order Filing 155 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Martin L. Zerwitz in Opposition re: # 136 MOTION for Summary Judgment Corrected Copy .. Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/18/2013 (db).
April 18, 2013 Opinion or Order Filing 154 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Gregory N. Miller in Opposition re: # 136 MOTION for Summary Judgment Corrected Copy .. Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/18/2013 (db).
April 18, 2013 Opinion or Order Filing 153 COUNTER STATEMENT TO # 133 Rule 56.1 Statement, # 132 Rule 56.1 Statement. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 18, 2013 Opinion or Order Filing 152 RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 18, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 155 Declaration in Opposition to Motion, # 154 Declaration in Opposition to Motion. ERROR(S): Documents linked to filing error. (db)
April 18, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 156 Declaration in Opposition to Motion, # 157 Declaration in Opposition to Motion. ERROR(S): Documents linked to filing error. (db)
April 15, 2013 Opinion or Order Filing 151 SEALED DOCUMENT placed in vault.(nm)
April 12, 2013 Opinion or Order Filing 150 ORDER terminating # 140 Motion for Extension of Time to File Response/Reply. Plaintiff moves pursuant to Fed. R. Civ. P. 52(d) and the Protective Order governing this case (Dkt. No. 56) to file the unredacted versions of its opposition to motions for summary judgment and supporting papers under seal and out of time. Plaintiff's motion is GRANTED. Plaintiff must file original, unredacted versions of its motion and supporting papers pursuant to the Clerk of Court's Sealed Records Filing Instructions by April 15, 2013, with courtesy copies of the unredacted papers delivered to this Court. The Clerk of the Court is directed to close this motion (Dkt. No. 140).(Signed by Judge Shira A. Scheindlin on 4/12/2013) (ja)
April 12, 2013 Opinion or Order Set/Reset Deadlines: Motions due by 4/15/2013. (ja)
April 4, 2013 Opinion or Order Filing 149 RULE 56.1 STATEMENT. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 4, 2013 Opinion or Order Filing 148 COUNTER STATEMENT TO # 133 Rule 56.1 Statement, # 132 Rule 56.1 Statement. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 4, 2013 Opinion or Order Filing 147 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE to Motion re: # 126 MOTION for Summary Judgment On Behalf of All Defendants . Statement of Additional Material Facts . Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/4/2013 (db).
April 4, 2013 Opinion or Order Filing 146 DECLARATION of Alan Lieberman in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Worland, John)
April 4, 2013 Opinion or Order Filing 145 DECLARATION of Gregory Miller in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Worland, John)
April 4, 2013 Opinion or Order Filing 144 DECLARATION of Martin Zerwitz in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Worland, John)
April 4, 2013 Opinion or Order Filing 143 DECLARATION of John Worland Jr. in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Worland, John)
April 4, 2013 Opinion or Order Filing 142 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants . LR 56.1 Response . Document filed by Securities and Exchange Commission. (Miller, Gregory) Modified on 4/4/2013 (db).
April 4, 2013 Opinion or Order Filing 141 MEMORANDUM OF LAW in Opposition re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. (Miller, Gregory)
April 4, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 142 Response in Opposition to Motion. Use the event type Counter Statement to Rule 56.1 found under the event list Other Answers. (db)
April 4, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 147 Response to Motion. Use the event type Rule 56.1 Statement found under the event list Other Answers. (db)
April 3, 2013 Opinion or Order Filing 140 FIRST MOTION for Extension of Time to File Response/Reply as to # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Securities and Exchange Commission. Return Date set for 4/4/2013 at 04:00 PM.(Miller, Gregory)
March 12, 2013 Opinion or Order Filing 139 SEALED DOCUMENT placed in vault.(mps)
March 12, 2013 Opinion or Order Filing 138 MEMORANDUM OF LAW in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Louis J. Schaufele, III. (Auerbach, Martin)
March 12, 2013 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Martin Joel Auerbach to RE-FILE Document # 136 MOTION for Summary Judgment Corrected Copy . Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. (db)
March 11, 2013 Opinion or Order Filing 137 CERTIFICATE OF SERVICE of Corrected Motion for Summary Judgment served on SEC on 3-11-13. Service was made by EMAIL. Document filed by Louis J. Schaufele, III. (Auerbach, Martin)
March 11, 2013 Opinion or Order Filing 136 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Summary Judgment Corrected Copy . Document filed by Louis J. Schaufele, III.(Auerbach, Martin) Modified on 3/12/2013 (db). Modified on 4/18/2013 (db).
March 6, 2013 Opinion or Order Filing 135 SEALED DOCUMENT placed in vault.(nm)
March 6, 2013 Opinion or Order Filing 134 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #138) - MEMORANDUM OF LAW in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Widell, Alexander) Modified on 3/22/2013 (lb).
March 6, 2013 Opinion or Order Filing 133 RULE 56.1 STATEMENT. Document filed by Louis J. Schaufele, III. (Neish, Laura)
March 6, 2013 Opinion or Order Filing 132 RULE 56.1 STATEMENT. Document filed by Samuel E. Wyly. (Widell, Alexander)
March 5, 2013 Opinion or Order Filing 131 DECLARATION of Laura E. Neish in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Neish, Laura)
March 5, 2013 Opinion or Order Filing 130 DECLARATION of Keeley Hennington in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Widell, Alexander)
March 5, 2013 Opinion or Order Filing 129 DECLARATION of Joshua Klein in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Attachments: # 1 Exhibit 31, # 2 Exhibit 32, # 3 Exhibit 33, # 4 Exhibit 34, # 5 Exhibit 35, # 6 Exhibit 36, # 7 Exhibit 37, # 8 Exhibit 38, # 9 Exhibit 39, # 10 Exhibit 40, # 11 Exhibit 41, # 12 Exhibit 42, # 13 Exhibit 43, # 14 Exhibit 44, # 15 Exhibit 45)(Widell, Alexander)
March 5, 2013 Opinion or Order Filing 128 DECLARATION of Mark Hatch-Miller in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Attachments: # 1 Exhibit 16, # 2 Exhibit 17, # 3 Exhibit 18, # 4 Exhibit 19, # 5 Exhibit 20, # 6 Exhibit 21, # 7 Exhibit 22, # 8 Exhibit 23, # 9 Exhibit 24, # 10 Exhibit 25, # 11 Exhibit 26, # 12 Exhibit 27, # 13 Exhibit 28, # 14 Exhibit 29, # 15 Exhibit 30)(Widell, Alexander)
March 5, 2013 Opinion or Order Filing 127 DECLARATION of Michael L. Smith in Support re: # 126 MOTION for Summary Judgment On Behalf of All Defendants .. Document filed by Samuel E. Wyly. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Errata 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Widell, Alexander)
March 5, 2013 Opinion or Order Filing 126 MOTION for Summary Judgment On Behalf of All Defendants . Document filed by Samuel E. Wyly. Responses due by 4/3/2013(Widell, Alexander)
February 28, 2013 Opinion or Order Filing 125 ORDER: granting # 124 Motion to Approve. Defendants' unopposed motion is GRANTED. Defendants must file redacted versions of these motions and supporting papers via ECF, and to electronically serve unredacted copies of these motions and supporting papers on the government, on February 28,2013. Defendants must file original, unredacted versions of these motions and supporting papers pursuant to the Clerk of Court's Sealed Records Filing Instructions by March 1, 2013, with courtesy copies of the unredacted papers delivered to this Court. The Clerk of the Court is directed to close this motion (Dkt. No. 124). SO ORDERED.(Signed by Judge Shira A. Scheindlin on 2/27/2013) (ama)
February 27, 2013 Opinion or Order Filing 124 JOINT MOTION to Approve File Unredacted Summary Judgment Papers Out of Time and Under Seal. Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr., Donald R. Miller, Jr..(Hatch-Miller, Mark)
February 7, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Pre-Motion Conference held on 2/7/2013. (cd)
January 23, 2013 Opinion or Order Filing 123 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/9/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari)
January 23, 2013 Opinion or Order Filing 122 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/9/2013 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Tara Jones, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/19/2013. Redacted Transcript Deadline set for 2/28/2013. Release of Transcript Restriction set for 4/26/2013.(Rodriguez, Somari)
January 22, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Initial Pretrial Conference held on 1/18/2013. (pl)
January 17, 2013 Opinion or Order Filing 121 NOTICE of Filing Deemster Certifications re: # 97 Notice (Other). Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit Moyle Certification, # 2 Affidavit Williamson Certification)(Miller, Gregory)
January 9, 2013 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Pre-Motion Conference held on 1/9/2013. (mro)
December 13, 2012 Opinion or Order Filing 120 RETURN OF LETTERS ROGATORY as to Michelle Boucher, Irish Trust Company (Cayman) Ltd Witness, Queensgate Bank Ltd. and Queensgate Trust Company Ltd. (Deposition Transcript of Michelle Boucher attached) from Cayman Islands.(ml)
December 4, 2012 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 12/4/2012. (djc)
October 25, 2012 Opinion or Order Filing 119 ENDORSED LETTER addressed to Judge Shira A. Scheindlin dated 10/19/2012 re: Enclosed are the proposed notice and claim forms. ENDORSEMENT: The Notice to Class Members and the Claim Form attached to this letter are hereby approved and shall be disseminated as set forth in this letter. The Clerk is directed to docket this letter and the attachments. (Signed by Judge Shira A. Scheindlin on 10/24/2012) (cd)
October 25, 2012 Opinion or Order Filing 118 REVISED SCHEDULING ORDER:Dispositive Motions due by 6/17/2013. Fact Discovery due by 11/30/2012. Expert Discovery due by 5/17/2013. Joaint Pretrial Order due by 8/23/2013, see document for other deadlines. (Signed by Judge Shira A. Scheindlin on 10/24/2012) (cd)
October 25, 2012 Opinion or Order Filing 117 NOTICE OF APPEARANCE by Mark Howard Hatch-Miller on behalf of Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr. (Hatch-Miller, Mark)
October 22, 2012 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 10/22/2012. (djc)
October 9, 2012 Opinion or Order Filing 116 NOTICE OF CHANGE OF ADDRESS by Luke Madole on behalf of Louis J. Schaufele, III. New Address: Brice, Vander Linden & Wernick, P.C., 9441 LBJ Freeway, Suite 250, Dallas, TX, USA 75243, 214-550-4053. (Madole, Luke)
September 14, 2012 Opinion or Order Filing 115 ENDORSED LETTER addressed to Judge Shira A. Scheindlin, from Alan M. Lieberman, dated 9/12/2012, re: Pursuant to Your Honor's February 27, 2012 (dkt 95) Scheduling Order, fact discovery closes on October 26, 2012. Due to scheduling conflicts, the deposition of defendant Sam Wyly has been scheduled October 30, 31 and November 1, contingent upon Your Honor's approval. Consequently, the SEC with the consent and agreement of defendants requests that Your Honor approve the taking of Mr. Wyly's deposition beyond the October 26 cut-off date. ENDORSEMENT: The parties request to take the deposition of Sam Wyly on October 30, 31 and November 1 is granted. No further extensions will be granted. ( Deposition due by 11/1/2012.) (Signed by Judge Shira A. Scheindlin on 9/14/2012) (ja)
September 11, 2012 Opinion or Order Filing 114 NOTICE OF APPEARANCE by Jill Caroline Barnhart on behalf of Michael C. French (Barnhart, Jill)
September 5, 2012 Opinion or Order Filing 113 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel and pursuant to Local Civil Rule 1.4, that the law firm Petrillo Klein & Boxer LLP hereby is substituted in place and in the stead of the law firm K&L Gates LLP as counsel of record for defendant Michael C. French in the above-captioned action., Attorney Joshua Klein for Michael C. French added. Attorney Robert E. Davis; Barrett R. Howell; Casey P. Kaplan; Danny S. Ashby and Laura A Brevetti terminated. (Signed by Judge Shira A. Scheindlin on 9/5/2012) (lmb)
September 4, 2012 Opinion or Order Filing 112 NOTICE of Substitution of Attorney. Old Attorney: Danny S. Ashby, Robert E. Davis, Barrett R. Howell, New Attorney: Joshua Klein, Nelson Boxer, Address: Petrillo Klein & Boxer LLP, 655 Third Avenue, 22nd Floor, New York, NY, US 10017, 212-370-0330. Document filed by Michael C. French. (Ashby, Danny)
August 27, 2012 Opinion or Order CASHIERS OFFICE REMARK on # 111 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 08/23/2012, Receipt Number 1047067. (jd)
August 9, 2012 Opinion or Order Filing 111 ORDER FOR ADMISSION PRO HAC VICE: Attorney Paul V. Miletic for Samuel E. Wyly admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 8/1/2012) (jfe)
August 7, 2012 Opinion or Order Filing 110 ORDER: The scheduling order entered on 2/27/2012 is amended as follows: The May 6, 2012 deadline for "disposition motions" is stricken. A Pre-Motion Conference is set for 11/14/2012 at 04:30 PM in Courtroom 15C, 500 Pearl Street, New York, NY 10007 before Judge Shira A. Scheindlin. (Signed by Judge Shira A. Scheindlin on 8/6/2012) (jar)
June 6, 2012 Opinion or Order Filing 109 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Gregory N. Miller dated 6/4/2012 re: I respectfully request that you instruct the Clerk of Cour t to remove Cheryl J. Scarboro as counsel of record for the Securities and Exchange Commission (SEC) in the above-referenced action. Ms. Scarboro is currently in private practice, having recently left the SEC. ENDORSEMENT: The Clerk of Court is directed to remove Cheryl Scarboro as counsel of record for the SEC., Attorney Cheryl J. Scarboro terminated. (Signed by Judge Shira A. Scheindlin on 6/5/2012) (lmb)
May 30, 2012 Opinion or Order Filing 108 NOTICE of Filing Correct Copy of Attachment 7 to Letter of Request. Document filed by Securities and Exchange Commission. (Attachments: # 1 Errata 07-FRCP 30)(Miller, Gregory)
May 30, 2012 Opinion or Order Filing 107 NOTICE of Filing Copy of Letter of Request to Chief Justice of Grand Court of the Cayman Islands. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Letter of Request, # 2 Exhibit 01-Wyly Complaint, # 3 Exhibit 02-FRE 803, # 4 Exhibit 03-FRE 902, # 5 Exhibit 04.1-Privilege Log Part 1, # 6 Exhibit 04.2-Privilege Log Part 2, # 7 Exhibit 05-April 1, 2011 Order, # 8 Exhibit 06-Documents to Certify, # 9 Exhibit 07-FRCP 30)(Miller, Gregory)
May 23, 2012 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 5/23/2012. (js)
May 8, 2012 Opinion or Order CASHIERS OFFICE REMARK on # 102 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 05/02/2012, Receipt Number 1037037. (jd)
May 8, 2012 Opinion or Order CASHIERS OFFICE REMARK on # 101 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 05/02/2012, Receipt Number 1037038. (jd)
May 4, 2012 Opinion or Order Filing 106 ORDER STRIKING MOTIONS FOR ADMISSION PRO HAC VICE: IT IS HEREBY ORDERED that the Motions for Admission Pro Hac Vice, ECF Nos. 101 and 102, be and hereby are stricken from the docket. (Signed by Judge Shira A. Scheindlin on 5/4/2012) (djc)
May 4, 2012 Opinion or Order Filing 105 ORDER FOR ADMISSION PRO HAC VICE granting # 101 Motion to Appear Pro Hac Vice; granting # 102 Motion to Appear Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 5/4/2012) (djc)
May 3, 2012 Opinion or Order Filing 104 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERNCE proceeding held on 3/22/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 3, 2012 Opinion or Order Filing 103 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/22/2012 before Judge Shira A. Scheindlin. 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 5/29/2012. Redacted Transcript Deadline set for 6/7/2012. Release of Transcript Restriction set for 8/6/2012.(McGuirk, Kelly)
May 2, 2012 Opinion or Order Filing 102 MOTION for David D. Shank to Appear Pro Hac Vice. Document filed by Donald R. Miller, Jr.(arc) (arc).
May 2, 2012 Opinion or Order Filing 101 MOTION for Terrell W. Oxford to Appear Pro Hac Vice. Document filed by Donald R. Miller, Jr.(arc) (arc).
May 1, 2012 Opinion or Order Filing 100 NOTICE OF APPEARANCE by Kendyl Taylor Hanks on behalf of Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr. (Hanks, Kendyl)
May 1, 2012 Opinion or Order Filing 99 NOTICE OF APPEARANCE by Stephen D. Susman on behalf of Donald R. Miller, Jr. (Susman, Stephen)
March 28, 2012 Opinion or Order Filing 98 NOTICE of Filing of Copy of Letter of Request re: # 97 Notice (Other). Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit LoR Attach 01-Complaint, # 2 Exhibit LoR Attach 02-FRE 803, # 3 Exhibit LoR Attach 03-FRE 902, # 4 Exhibit LoR Attach 04-Combined Doc Index, # 5 Exhibit Attach 05-FRCP 30)(Miller, Gregory)
March 28, 2012 Opinion or Order Filing 97 NOTICE of Filing Copy of Letter of Request. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Letter of Request to Isle of Man)(Miller, Gregory)
March 22, 2012 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 3/22/2012. (jfe)
February 29, 2012 Opinion or Order Filing 96 NOTICE OF CHANGE OF ADDRESS by Martin Joel Auerbach on behalf of Louis J. Schaufele, III. New Address: Law Firm of Martin J. Auerbach, Esq., 1185 Avenue of the Americas, 31st Floor, New York, New York, USA 10036, 212-704-4347. (Auerbach, Martin)
February 27, 2012 Opinion or Order Filing 95 SCHEDULING ORDER: Motions due by 5/6/2013. Fact Discovery due by 10/26/2012. Expert Discovery due by 4/5/2013. Pretrial Order due by 7/12/2013. (Signed by Judge Shira A. Scheindlin on 2/27/2012) (js)
February 27, 2012 Opinion or Order ***DELETED DOCUMENT. Deleted document number # 95 Revised Scheduling Order. The document was incorrectly filed in this case. (js)
February 15, 2012 Opinion or Order Filing 94 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Argument proceeding held on 1/23/2012 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
February 15, 2012 Opinion or Order Filing 93 TRANSCRIPT of Proceedings re: argument held on 1/23/2012 before Judge Shira A. Scheindlin. 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 3/12/2012. Redacted Transcript Deadline set for 3/22/2012. Release of Transcript Restriction set for 5/18/2012.(McGuirk, Kelly)
February 3, 2012 Opinion or Order Filing 92 NOTICE OF CHANGE OF ADDRESS by Laura Elizabeth Neish on behalf of Louis J. Schaufele, III. New Address: ZUCKERMAN SPAEDER LLP, 1185 Avenue of the Americas, 31st Floor, New York, New York, USA 10036, 212-704-9600. (Neish, Laura)
January 30, 2012 Opinion or Order Filing 90 MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY THE WYLYS TO BE PRIVILEGED ON THE BASIS OF PRIOR OPINIONS OF THE SPECIAL MASTER: #1010362 The Wylys must promptly produce those logged documents found in each of the rulings in this memorandum opinion and order to be unprotected - either because not privileged in the first instance or because any protections are waived. All documents found protected may remain in the privilege log, and as further set forth. (Signed by Special Master Daniel J. Capra on 1/28/2012). ENDORSEMENT: The Clerk of the Court is directed to docket this Memorandum Opinion and Order of the Special Master. So ordered. (Signed by Judge Shira A. Scheindlin on 1/30/2012). (rjm) Modified on 2/1/2012 (jab).
January 27, 2012 Opinion or Order Filing 91 OPINION AND ORDER. For the reasons in this opinion and Order, the SEC's Motion to Substitute the Executor as a Party Defendant is granted. The Clerk of the Court is directed to modify the docket by replacing defendant Charles J. Wyly, Jr. with Donald R. Miller, Jr., in his capacity as the Independent Executor of the Will and Estate of Charles J. Wyly, Jr., and close this motion [Docket No. 75]. The deadline for the close of fact discovery is extended to October 26, 2012. No further extensions will be granted. (Fact Discovery due by 10/26/2012.) (Signed by Judge Shira A. Scheindlin on 1/27/2012) (rjm)
January 27, 2012 Opinion or Order Filing 89 OPINION AND ORDER re:#101361 # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate . filed by Securities and Exchange Commission For the aforementioned reasons, the SECs Motion to Substitute theExecutor as a Party Defendant is granted. The Clerk of the Court is directed tomodify the docket by replacing defendant Charles J. Wyly, Jr. with Donald R.Miller, Jr., in his capacity as the Independent Executor of the Will and Estate of Charles J. Wyly, Jr., and close this motion [Docket No. 75]. The deadline for the close of fact discovery is extended to October 26, 2012. No further extensions will be granted. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 1/27/2012) (ama) Modified on 2/1/2012 (jab).
January 27, 2012 Opinion or Order Set/Reset Deadlines: Fact Discovery due by 10/26/2012. (ama)
January 23, 2012 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Oral Argument held on 1/23/2012 re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate . filed by Securities and Exchange Commission. (djc)
January 23, 2012 Opinion or Order Filing 88 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Alan Lieberman dated 1/18/2012 re: Counsel requires Your Honor to endorse the parties' written requests to the foreign authorities enabling depositions under oath. ENDORSEMENT: This case involves events that occurred many years ago. A lengthy delay is a bad idea and will not be permitted. The Court expects to issue a written decision on the substitution motion no later than January 27. The parties should propose the briefest possible revised discovery schedule based upon this information. The Court will then consider that proposal at the January 23 conference. (Signed by Judge Shira A. Scheindlin on 1/23/2012) (jfe)
December 19, 2011 Opinion or Order Filing 87 RESPONSE in Opposition re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate . Sur-Reply of the Estate of Charles Wyly in Opposition to the Motion to Substitute the Estate as a Defendant . Document filed by Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr.. (Susman, Stephen)
December 12, 2011 Opinion or Order Filing 86 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Martin Zerwitz dated 12/9/2011 re: Counsel for the Plaintiff writes to request that the Executor's request for leave to file sur-reply be denied. ENDORSEMENT: Request denied. Any further response can be made at the oral argument. (Signed by Judge Shira A. Scheindlin on 12/9/2011) (ab)
December 12, 2011 Opinion or Order Filing 85 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 12/9/2011 re: Counsel writes to request an oral argument and leave to file a sur-reply regarding the SEC's Motion to Substitute. ENDORSEMENT: The Estate of Charles Wyly may file a sur-reply, not to exceed five pages, by 12/19/2011. Oral Argument on the SEC's substitution motion is scheduled for 1/23/2012 at 5:00 PM. (Oral Argument set for 1/23/2012 at 05:00 PM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 12/9/2011) (ab)
December 7, 2011 Opinion or Order Filing 84 REPLY MEMORANDUM OF LAW in Support re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1-SEC v. Kohler (E.D. Pa.) R 25 Order, # 2 Exhibit 2-SEC v. Anixter (N.D.Ill.) R 25 Order, # 3 Exhibit 3-SEC v. Kramer (D.N.J.) R 25 Order)(Miller, Gregory)
November 29, 2011 Opinion or Order Filing 83 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Martin L. Zerwitz dated 11/22/11 re: Counsel for the SEC requests that the Court order Special Master Daniel Capra to review additional documents that were recently included on Sam Wyly's Second Privilege Log date 10/28/11. ENDORSEMENT: Request granted. The Special Master will review the documents included in Sam Wyly's Second Privile Log in accordance with the Court's instructions at the November 22 teleconference. The cost will be allocated 75% to the defense and 25% to the SEC. So ordered. (Signed by Judge Shira A. Scheindlin on 11/28/2011) (mro) Modified on 12/2/2011 (mro).
November 23, 2011 Opinion or Order Filing 82 RESPONSE in Opposition re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate . Estate of Charles Wyly Opposition to Motion to Substitute Estate as a Defendant . Document filed by Charles J. Wyly, Jr. (Susman, Stephen)
November 22, 2011 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 11/22/2011. (js)
November 17, 2011 Opinion or Order Filing 81 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 10/21/11 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)
November 17, 2011 Opinion or Order Filing 80 TRANSCRIPT of Proceedings re: Conference held on 10/21/2011 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Carol Ganley, (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 12/12/2011. Redacted Transcript Deadline set for 12/22/2011. Release of Transcript Restriction set for 2/18/2012.(McGuirk, Kelly)
November 17, 2011 Opinion or Order Filing 79 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/4/11 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)
November 17, 2011 Opinion or Order Filing 78 TRANSCRIPT of Proceedings re: Conference held on 11/4/2011 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Vincent Bologna, (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 12/12/2011. Redacted Transcript Deadline set for 12/22/2011. Release of Transcript Restriction set for 2/18/2012.(McGuirk, Kelly)
November 3, 2011 Opinion or Order Minute Order Proceedings held before Judge Shira A. Scheindlin: Status Conference held on 11/3/2011. (cd)
October 26, 2011 Opinion or Order Filing 77 MEMORANDUM OF LAW in Support re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate .. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1-Application for Probate of Will, # 2 Exhibit 2-Order Appointing Executor)(Miller, Gregory)
October 26, 2011 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Gregory Nelson Miller to RE-FILE Document # 76 Brief. Use the event type Memorandum of Law in Support of Motion found under the event list Replies, Opposition and Supporting Documents. (ka)
October 25, 2011 Opinion or Order Filing 76 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - BRIEF re: # 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1-Application for Probate of Will, # 2 Exhibit 2-Order Appointing Executor)(Miller, Gregory) Modified on 10/26/2011 (ka).
October 25, 2011 Opinion or Order Filing 75 MOTION to Substitute Party. Old Party: Charles J. Wyly Jr., New Party: Donald R. Miller Jr. As Executor of Charles Wyly's Estate . Document filed by Securities and Exchange Commission.(Miller, Gregory)
October 24, 2011 Opinion or Order Filing 74 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Alan M. Lieberman dated 10/21/2011 re: Counsel for the plaintiff requests that by Friday, 10/28/2011, Bickel & Brewer agrees to produce all documents responsive to the SEC's discovery requests currently known to it, as ordered by the Court during our October 14 teleconference. Also on October 28, Bickel & Brewer will produce privilege logs detailing any documents withheld from production on the basis of any claim of privilege. ENDORSEMENT: SO ORDERED. (Signed by Judge Shira A. Scheindlin on 10/24/2011) (ft)
October 21, 2011 Opinion or Order Filing 73 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Michael L. Smith dated 10/19/2011 re: We are writing to request that a conference be scheduled to address matters regarding the Securities and Exchange Commission's (the "SEC") production of documents. ENDORSEMENT: Request for a conference is granted and scheduled for November 4, 2011 at 4:00 pm. SO ORDERED. ( Status Conference set for 11/4/2011 at 04:00 PM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 10/21/2011) (lmb)
October 19, 2011 Opinion or Order Filing 72 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Stephen D. Susman dated 10/18/2011 re: Counsel request a reasonable opportunity to oppose any motion for substitution filed by the SEC, and that the production of documents relating only to Charles Wyly be stayed until after the motion for substitution is decided. ENDORSEMENT: Request granted. If and when the SEC moves to substitute the estate of Charles Wyly the Estate will have a reasonable opportunity to oppose the motion. Any documents relating both to the Estate must be obtained pursuant to rule 45. (Signed by Judge Shira A. Scheindlin on 10/18/2011) (jfe)
October 14, 2011 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 10/14/2011. (ab)
September 22, 2011 Opinion or Order Filing 71 SUGGESTION OF DEATH upon the record Statement Noting Death of Charles Wyly Jr. . Document filed by Charles J. Wyly, Jr(Susman, Stephen)
August 19, 2011 Opinion or Order Filing 70 MEMO ENDORSEMENT on MEMORANDUM OPINION AND ORDER ON THE SEC'S REQUEST TO RECONSIDER CERTAIN PRIVILEGE RULINGS, #100682 signed by Daniel J. Capra, Special Master on 8/19/2011 re: The Special Master's Order dated July 26, 2011 is modified to provide that the Wylys must produce Documents 61, 213 and 328. ENDORSEMENT: The clerk of the court is directed to docket this Memorandum Opinion and Order of the Special Master. (Signed by Judge Shira A. Scheindlin on 8/19/2011) (ab) Modified on 8/23/2011 (ajc).
August 18, 2011 Opinion or Order Filing 69 MEMORANDUM OPINION AND ORDER ON THE WYLYS REQUEST TO RECONSIDER CERTAIN PRIVILEGE RULINGS #100683 by Special Master Daniel J. Capra: The Special Master's Order dated July 26, 2011 is modified to provide that the following documents in the Wyly log are protected by the privilege and need not be produced: Documents 72, 129, 132, 191, 202, 211, and 329. The Special Master's Order dated July 26, 2011 is modified to provide that Documents 149 and 149.1 are not protected as they are within the advice of counsel waiver. Accordingly the Wylys must produce those documents. ENDORSEMENT: The Clerk of the Court is directed to docket this Memorandum Opinion and Order of the Special Master. So Ordered. (Signed by Judge Shira A. Scheindlin on 8/17/2011) (mro) Modified on 8/19/2011 (mro). Modified on 8/23/2011 (ajc).
July 28, 2011 Opinion or Order Filing 68 MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY THE WYLYS TO BE PROTECTED UNDER THE COMMON INTEREST DOCTRINE-WILMER HALF COMMUNICATIONS-MICHELLE BOUCHER AND IRISH TRUST COMPANY OR THE TRUSTEES, #100602 the Wylys must promptly produce any of the logged documents found in the rulings above to be unprotected and the Wylys must produce, in accordance with the rulings above, the drafts of public documents, though the Wylys may redact from those drafts any information deleted form the final on advice of counsel. All documents found protected may remain in the privilege log. ENDORSEMENT: The Clerk of the Court is directed to docket this Memorandum Opinion and Order of the Special Master. So Ordered, Shira A. Scheindlin, USDJ. (Signed by Daniel, J. Capra, Special Master on 7/28/11) (cd) Modified on 7/29/2011 (ajc). Modified on 8/4/2011 (ajc).
July 27, 2011 Opinion or Order Filing 67 MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY THE WYLYS TO BE PRIVILEGED-QUESTIONS OF AGENCY AND ADVICE OF COUNSEL WAIVER #100584 re documents in the privilege log submitted to the Special Master for in camera review on 4/28/11. ENDORSEMENT: The Clerk of the court is directed to docket this memorandum opinion and order of the Special Master. So Ordered. Shira A. Schedinlin, USDJ. (Signed by Daniel J. Capra, Special Master on 7/26/11) (cd) (Main Document 67 replaced on 7/28/2011) (ae). Modified on 8/4/2011 (ajc). Modified on 8/4/2011 (ajc).
July 19, 2011 Opinion or Order Filing 66 MEMO ENDORSEMENT #100553 on re: MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY THE WYLYS TO BE PROTECTED BY THE COMMON INTEREST PRIVILEGE-MICHELLE BOUCHER AND IRISH TRUST COMPANY. ENDORSEMENT: The Clerk of the Court us directed to docket this memorandum opinion and order of the Special Master. So Ordered. (Signed by Judge Shira A. Scheindlin on 7/19/2011) (jfe) Modified on 7/20/2011 (ajc).
July 5, 2011 Opinion or Order Filing 65 MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY THE WYLYS TO BE PROTECTED BY THE COMMON INTEREST PRIVILEGE- CLOSE TRUSTEES AND KEELEY HENNINGTON: #100492 1. The Wylys must promptly produce the following logged documents to the SEC: All documents logged from 1-9 (including multiple documents logged within those numbers). Document 26. Documents 39 and 39.1. Document 41.Documents 43 and 43.1 Document 44. Document 48. Document 51.1 Document 53.1. Document 58.1. Documents 62.1 and 62.2. 2. The following documents are apparently duplicates of documents that have been ordered to be produced: 42 and 42.1; 49 and 49.1; 50 and 50.1; 52; 70 and 70.1; 71 and 71.1; and 72 and 72.1. To the extent these documents differ from the stated duplicate in any respect, they are subject to the same analysis as the apparent duplicate and so are unprotected and must be produced. (Signed by Judge Shira A. Scheindlin on 7/5/11) (js) Modified on 7/11/2011 (jab).
June 29, 2011 Opinion or Order Filing 64 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 6/7/2011 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 29, 2011 Opinion or Order Filing 63 TRANSCRIPT of Proceedings re: Conference held on 6/7/2011 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Joseph Quinones, (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 7/25/2011. Redacted Transcript Deadline set for 8/4/2011. Release of Transcript Restriction set for 9/30/2011.(McGuirk, Kelly)
June 17, 2011 Opinion or Order Filing 62 ORDER FOR ADMISSION PRO HAC VICE: Attorney Corbet Franklin Bryant, Jr. is admitted to practice pro hac vice as counsel for Defendant Louis J. Schaufele III in this action. (Signed by Judge Shira A. Scheindlin on 6/17/2011) (tro)
June 17, 2011 Opinion or Order Filing 61 MEMORANDUM OPINION AND ORDER ON DOCUMENTS ASSERTED BY DEFENDANT MICHAEL C. FRENCH TO BE PROTECTED BY THE COMMON INTEREST PRIVILEGE: #100434 Defendant French must promptly produce the following logged documents to the SEC: Documents 1-7. Document 9. Document 11. Document 12. Document 14. Document 16. Documents 17 and 18 - However, French is entitled to redact from the emails the descriptions ofthe topic for the proposed conversation among the lawyers. Document 19 - However, French is entitled to redact the statement in the first email describing the reason for the proposed conversation among lawyers, and the statement in the second email describing the receipt of a document. Document 21 - However, French is entitled to redact the first email in the string. A ruling on Document 22 is deferred. (Signed by Special Master Daniel J. Capra on 6/17/2011) ENDORSEMENT: The Clerk of the Court is directed to docket this memorandum opinion and order of Special Master Capra. So Ordered. (Signed by Judge Shira A. Scheindlin on 6/17/2011) (jar) Modified on 6/21/2011 (ajc)
June 14, 2011 Opinion or Order Filing 60 ORDER: It is now HEREBY ORDERED that any questions pertaining to whether allegedly privileged documents fall within or outside the scope of the Wylys' subject matter waiver, as delineated in the April 1, 2011 Order of this Court quoted above, are hereby referred to the Special Master and fall within the scope of his appointment. (Signed by Judge Shira A. Scheindlin on 6/11/2011) (js)
June 7, 2011 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 6/7/2011. (ft)
May 24, 2011 Opinion or Order Minute Entry for proceedings held before Judge Shira A. Scheindlin: Status Conference held on 5/24/2011. (mbe)
April 28, 2011 Opinion or Order Filing 59 ANSWER to Complaint with JURY DEMAND. Document filed by Charles J. Wyly, Jr.(Smith, Michael)
April 28, 2011 Opinion or Order Filing 58 ANSWER to Complaint with JURY DEMAND. Document filed by Samuel E. Wyly.(Smith, Michael)
April 28, 2011 Opinion or Order Filing 57 ANSWER to Complaint with JURY DEMAND. Document filed by Louis J. Schaufele, III.(Auerbach, Martin)
April 27, 2011 Opinion or Order Filing 56 STIPULATION AND PROTECTIVE ORDER REGARDING CONFIDENTIALITY OF DISCOVERY MATERIALS...regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED (Signed by Judge Shira A. Scheindlin on 4/27/2011) (jmi)
April 27, 2011 Opinion or Order Filing 55 ORDER that: The Wylys produce to the SEC all documents in the Wylys' possession, custody or control that were produced in response to any grand jury subpoena relating to their Offshore System, including all documents previously ordered produced pursuant to the crime-fraud production. SO ORDERED (Signed by Judge Shira A. Scheindlin on 4/27/2011) (jmi)
April 26, 2011 Opinion or Order Filing 54 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 3/21/11 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...(Moya, Goretti)
April 26, 2011 Opinion or Order Filing 53 TRANSCRIPT of Proceedings re: conference held on 3/21/11 before Judge Shira A. Scheindlin. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/20/2011. Redacted Transcript Deadline set for 5/31/2011. Release of Transcript Restriction set for 7/28/2011.(Moya, Goretti)
April 13, 2011 Opinion or Order Filing 52 ANSWER to Complaint with JURY DEMAND. Document filed by Michael C. French.(Ashby, Danny)
April 1, 2011 Opinion or Order Filing 51 ORDER: All remaining discovery disputes pertaining to the Wylys' and French'sassertion of privilege under the common interest doctrine or under an agencytheory are referred to Special Master Daniel Capra per the parties' agreement and according to the terms of this Court's March 29, 2011 Order. The Clerk of Court is directed to close this motion (Docket No. 38). So Ordered. (Signed by Judge Shira A. Scheindlin on 4/1/2011) (js)
March 31, 2011 Opinion or Order Filing 50 OPINION AND ORDER. #100171 For the aforementioned reasons, and for reasons that will be explained at a conference scheduled for April 14, 2011, at 5:00 p.m., defendants' motions to dismiss the SEC's claims are denied in their entirety. The Clerk of Court is directed to close these motions (Docket Nos. 25, 28, and 29). (re: # 29 MOTION to Dismiss. filed by Samuel E. Wyly, Charles J. Wyly, Jr., # 25 MOTION to Dismiss. filed by Michael C. French, # 28 MOTION to Dismiss. filed by Louis J. Schaufele, III) (Signed by Judge Shira A. Scheindlin on 3/31/11) (djc) Modified on 4/6/2011 (ajc). (Main Document 50 replaced on 8/10/2011) (ft).
March 31, 2011 Opinion or Order Set Deadlines/Hearings: Status Conference set for 4/14/2011 at 05:00 PM before Judge Shira A. Scheindlin. (djc)
March 29, 2011 Opinion or Order Filing 49 ORDER: I HEREBY APPOINT, pursuant to Federal Rule of Civil Procedure 53(a)(l)(A) and (a)(l)(C), Daniel Capra, Esq. to serve as a Special Master in the above-captioned action to conduct a review of allegedly privileged documents. (See ORDER as set forth) (Signed by Judge Shira A. Scheindlin on 3/29/2011) (lnl)
March 24, 2011 Opinion or Order Filing 48 TRANSCRIPT of proceedings held on March 21, 2011 12:35 p.m. before Judge Shira A. Scheindlin. (ajc)
February 28, 2011 Opinion or Order Filing 47 REPLY MEMORANDUM OF LAW in Support re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Lieberman, Alan)
February 22, 2011 Opinion or Order Filing 46 MEMORANDUM OF LAW in Opposition re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents. Appendix in Support of Memorandum of Law in Opposition Part 1 of 3 . Document filed by Charles J. Wyly, Jr, Samuel E. Wyly. (Attachments: # 1 Appendix Part 2 of 3, # 2 Appendix Part 3 of 3)(Smith, Michael)
February 21, 2011 Opinion or Order Filing 45 MEMORANDUM OF LAW in Opposition re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents.. Document filed by Charles J. Wyly, Jr, Samuel E. Wyly. (Smith, Michael)
February 18, 2011 Opinion or Order Filing 44 RESPONSE in Opposition re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents. Appendix in Support . Document filed by Michael C. French. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Ashby, Danny)
February 18, 2011 Opinion or Order Filing 43 RESPONSE in Opposition re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents. Document filed by Michael C. French. (Ashby, Danny)
February 18, 2011 Opinion or Order Filing 42 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Michael L. Smith, dated 2/17/2011, re: Counsel writes to request that the current briefing schedule be modified such that Defendants' response to Plaintiff's motion to compel will now be due on Monday, February 21, 2011, and the deadline for Plaintiff's reply to Defendants' response will be Monday, February 28, 2011. ENDORSEMENT: The briefing schedule circled above is hereby approved. No further extensions will be granted. SO ORDERED. Set Deadlines as to # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents: Responses due by 2/21/2011. Replies due by 2/28/2011. (Signed by Judge Shira A. Scheindlin on 2/17/2011) (lnl)
February 17, 2011 Opinion or Order Filing 41 TRANSCRIPT of proceedings held on February 3, 2011 at 4:15 p.m. before Judge Shira A. Scheindlin. (js)
February 15, 2011 Opinion or Order Filing 40 ORDER FOR ADMISSION PRO HAC VICE, that Gregory N. Miller is admitted to practice pro hac vice as counsel for the Securities and Exchange Commission in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. The pro hac vice fee is hereby waived. (Signed by Judge Shira A. Scheindlin on 2/14/11) (pl)
February 11, 2011 Opinion or Order Filing 39 MEMORANDUM OF LAW in Support re: # 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Lieberman, Alan)
February 11, 2011 Opinion or Order Filing 38 MOTION to Compel Samuel Wyly, Charles Wyly, Jr., Michael French to produce documents. Document filed by Securities and Exchange Commission.(Lieberman, Alan)
February 9, 2011 Opinion or Order Filing 37 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from John D. Worland, Jr. dated 2/8/11 re: Following up on my February 7 letter and Mr. Brewer's letter earlier today, counsel for all the parties in the above captioned matter have again conferred regarding the page limits for the forthcoming motion to compel. The parties have agreed that the SEC's memorandum of law in support of its motion to compel shall not exceed twenty five (25) pages. The Wyleys' (combined) memorandum of law in response to the SEC's motion to compel shall not exceed twenty five (25) pages, and French's and Schaufele's memoranda of law in response to the SEC's motion to compel (if necessary) each shall not exceed five (5) pages. The SEC's reply brief shall not exceed ten (10) pages. ENDORSEMENT: The parties' proposed page limits for the SEC's motion to compel are hereby approved. The following briefing schedule is set: 2/11/11: SEC Motion (25 pages); 2/18/11: Wyleys; opp. (25 pages), French opp. (5 pages), Schaufele opp. (5 pages); 2/24/11: SEC reply (10 pages). (Signed by Judge Shira A. Scheindlin on 2/9/11; (djc)
January 11, 2011 Opinion or Order Filing 36 NOTICE OF APPEARANCE by Gregory Nelson Miller on behalf of Securities and Exchange Commission (Miller, Gregory)
December 23, 2010 Opinion or Order Filing 35 REPLY MEMORANDUM OF LAW in Support re: # 29 MOTION to Dismiss.. Document filed by Charles J. Wyly, Jr, Samuel E. Wyly. (Smith, Michael)
December 23, 2010 Opinion or Order Filing 34 REPLY MEMORANDUM OF LAW in Support re: # 28 MOTION to Dismiss.. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Certificate of Service)(Auerbach, Martin)
December 23, 2010 Opinion or Order Filing 33 REPLY MEMORANDUM OF LAW in Support re: # 25 MOTION to Dismiss.. Document filed by Michael C. French. (Howell, Barrett)
December 13, 2010 Opinion or Order Filing 32 MEMORANDUM OF LAW in Opposition re: # 29 MOTION to Dismiss., # 25 MOTION to Dismiss., # 28 MOTION to Dismiss.. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit)(Lieberman, Alan)
October 29, 2010 Opinion or Order Filing 31 MEMORANDUM OF LAW in Support re: # 29 MOTION to Dismiss.. Document filed by Charles J. Wyly, Jr, Samuel E. Wyly. (Attachments: # 1 Affidavit Declaration in Support of Motion To Dismiss, # 2 Appendix Appendix in Support Of Defendants' Motion to Dismiss)(Smith, Michael)
October 29, 2010 Opinion or Order Filing 30 MEMORANDUM OF LAW in Support re: # 28 MOTION to Dismiss.. Document filed by Louis J. Schaufele, III. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Auerbach, Martin)
October 28, 2010 Opinion or Order Filing 29 MOTION to Dismiss. Document filed by Charles J. Wyly, Jr, Samuel E. Wyly.(Smith, Michael)
October 28, 2010 Opinion or Order Filing 28 MOTION to Dismiss. Document filed by Louis J. Schaufele, III. Responses due by 12/13/2010(Auerbach, Martin)
October 28, 2010 Opinion or Order Filing 27 AFFIDAVIT of Danny S. Ashby in Support re: # 25 MOTION to Dismiss.. Document filed by Michael C. French. (Attachments: # 1 Appendix of Exhibits, # 2 Exhibit Exhibits 1-3, # 3 Exhibit Exhibits 4-7)(Howell, Barrett)
October 28, 2010 Opinion or Order Filing 26 MEMORANDUM OF LAW in Support re: # 25 MOTION to Dismiss.. Document filed by Michael C. French. (Howell, Barrett)
October 28, 2010 Opinion or Order Filing 25 MOTION to Dismiss. Document filed by Michael C. French. Responses due by 12/13/2010(Howell, Barrett)
October 21, 2010 Opinion or Order CASHIERS OFFICE REMARK on # 23 Order Admitting Attorney Pro Hac Vice, # 22 Order Admitting Attorney Pro Hac Vice, in the amount of $50.00, paid on 10/14/2010, Receipt Number 917349. (jd)
October 14, 2010 Opinion or Order CASHIERS OFFICE REMARK on # 16 Order Admitting Attorney Pro Hac Vice, # 18 Order Admitting Attorney Pro Hac Vice, # 17 Order Admitting Attorney Pro Hac Vice, in the amount of $75.00, paid on 10/1/2010, Receipt Number 916525. (jd)
October 8, 2010 Opinion or Order Filing 23 ORDER FOR ADMISSION PRO HAC VICE. Todd Murray is admitted to practice pro hac vice as counsel for Defendant Louis J. Schaufele, III in the above-captioned case in the United States District Court for the Southern District of New York. Counsel shall forward the pro hac vice fee to the Clerk of the Court. (Signed by Judge Shira A. Scheindlin on 10/8/10) (djc) Modified on 10/14/2010 (djc).
October 8, 2010 Opinion or Order Filing 22 ORDER FOR ADMISSION PRO HAC VICE. Luke Madole is admitted to practice pro hac vice as counsel for Defendant Louis J. Schaufele, III in the above-captioned case in the United States District Court for the southern District of New York. Counsel shall forward the pro hac vice fee to the Clerk of the Court. (Signed by Judge Shira A. Scheindlin on 10/8/10) (djc)
October 6, 2010 Opinion or Order Filing 24 SCHEDULING ORDER: Interim Status Conference set for 5/11/2011 at 04:30 PM before Judge Shira A. Scheindlin. Dispositive Motions due by 10/8/2012. Fact Discovery due 3/30/12. Expert Discovery due by 9/7/2012. Rule 26 Initial Disclosure due by 9/22/2010. All defendants to answer or move to the complaint by 10/28/10; consolidated response due 12/13/10; replies due 12/23/10. Joint Pretrial Order due by 12/21/2012. The parties anticipate a six to eight week trial before a jury to the extent the issues are triable to a jury. (Signed by Judge Shira A. Scheindlin on 10/5/10) (db)
October 5, 2010 Opinion or Order Filing 21 NOTICE OF APPEARANCE by Laura Elizabeth Neish on behalf of Louis J. Schaufele, III (Neish, Laura)
October 5, 2010 Opinion or Order Filing 20 NOTICE OF APPEARANCE by Martin Joel Auerbach on behalf of Louis J. Schaufele, III (Auerbach, Martin)
October 4, 2010 Opinion or Order Filing 19 NOTICE OF APPEARANCE by Martin Robert Pollner on behalf of Charles J. Wyly, Jr, Samuel E. Wyly (Pollner, Martin)
September 30, 2010 Opinion or Order Filing 18 ORDER FOR ADMISSION PRO HAC VICE, that James S. Renard is admitted to practice pro hac vice as counsel for Samuel E. Wyly and Charles J. Wyly, Jr. in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Shira A. Scheindlin on 9/29/10) (pl)
September 30, 2010 Opinion or Order Filing 17 ORDER FOR ADMISSION PRO HAC VICE, that Michael J. Collins is admitted to practice pro hac vice as counsel for Samuel E. Wyly and Charles J. Wyly, Jr. in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Shira A. Scheindlin on 9/29/10) (pl)
September 30, 2010 Opinion or Order Filing 16 ORDER FOR ADMISSION PRO HAC VICE, that Michael L. Smith is admitted to practice pro hac vice as counsel for Samuel E. Wyly and Charles J. Wyly, Jr. in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Shira A. Scheindlin on 9/29/10) (pl)
September 30, 2010 Opinion or Order CASHIERS OFFICE REMARK on # 11 Order Admitting Attorney Pro Hac Vice, # 9 Order Admitting Attorney Pro Hac Vice, # 12 Order Admitting Attorney Pro Hac Vice, 10 Order Admitting Attorney Pro Hac Vice in the amount of $100.00, paid on 09/21/2010, Receipt Number 915612. (jd)
September 28, 2010 Opinion or Order Filing 15 NOTICE OF APPEARANCE by John Anthony Piskora on behalf of Charles J. Wyly, Jr, Samuel E. Wyly (Piskora, John)
September 28, 2010 Opinion or Order Filing 14 NOTICE OF APPEARANCE by William Andrew Brewer, III on behalf of Charles J. Wyly, Jr, Samuel E. Wyly (Brewer, William)
September 24, 2010 Opinion or Order Filing 13 STIPULATION TO RESPOND TO COMPLAINT AND SUBSEQUENT BRIEFING SCHEDULE: Defendants shall each answer or otherwise respond to the Complaint on or before October 28, 2010. Plaintiff shall file a consolidated response in opposition to all responsive motions by defendants on or before December 13, 2010. replies to the response shall be filed on or before December 23, 2010. Memoranda of law accompanying any motion by a defendant in response to the complaint shall be limited to 25 double spaced pages. The memorandum of law accompanying Plaintiff's consolidated response shall be limited to 25 double spaced pages multiplied by the number of memoranda of law accompanying motions by defendants. The memoranda of law accompanying any replies by Defendants shall be limited to 10 double spaced pages. So Ordered (Signed by Judge Shira A. Scheindlin on 9/24/2010) (js)
September 16, 2010 Opinion or Order Filing 12 ORDER FOR ADMISSION PRO HAC VICE: It is hereby ordered that Casey P. Kaplan is admitted to practice pro hac vice for Defendant Michael C. French in this action. (Signed by Judge Shira A. Scheindlin on 9/16/2010) (jpo)
September 16, 2010 Opinion or Order Filing 11 ORDER FOR ADMISSION PRO HAC VICE: It is hereby ordered that Barrett R. Holwell is admitted to practice pro hac vice as counsel for Defendant Michael C. French in this action. (Signed by Judge Shira A. Scheindlin on 9/16/2010) (jpo)
September 16, 2010 Opinion or Order Filing 9 ORDER FOR ADMISSION PRO HAC VICE: It is hereby ordered that Robert E. Davis is admitted to practice pro hac vice as counsel for Defendant Michael C. French. (Signed by Judge Shira A. Scheindlin on 9/16/2010) (jpo)
September 15, 2010 Opinion or Order Filing 8 NOTICE OF APPEARANCE by Laura A Brevetti on behalf of Michael C. French (Brevetti, Laura)
August 30, 2010 Opinion or Order Filing 7 WAIVER OF SERVICE RETURNED EXECUTED. Charles J. Wyly, Jr waiver sent on 7/30/2010, answer due 9/28/2010. Document filed by Securities and Exchange Commission. (Lieberman, Alan)
August 30, 2010 Opinion or Order Filing 6 WAIVER OF SERVICE RETURNED EXECUTED. Samuel E. Wyly waiver sent on 7/30/2010, answer due 9/28/2010. Document filed by Securities and Exchange Commission. (Lieberman, Alan)
August 24, 2010 Opinion or Order Filing 5 NOTICE OF APPEARANCE by John David Worland, Jr on behalf of Securities and Exchange Commission (Worland, John)
August 20, 2010 Opinion or Order Filing 4 ORDER FOR INITIAL PRETRIAL CONFERENCE. Initial Conference set for 10/5/2010 at 04:30 PM in Courtroom 15C, 500 Pearl Street, New York, NY 10007 before Judge Shira A. Scheindlin. (Signed by Judge Shira A. Scheindlin on 8/19/10) (rjm)
August 11, 2010 Opinion or Order Filing 3 WAIVER OF SERVICE RETURNED EXECUTED. Louis J. Schaufele, III waiver sent on 7/30/2010, answer due 9/28/2010. Document filed by Securities and Exchange Commission. (Lieberman, Alan)
August 11, 2010 Opinion or Order Filing 2 WAIVER OF SERVICE RETURNED EXECUTED. Michael C. French waiver sent on 7/30/2010, answer due 9/28/2010. Document filed by Securities and Exchange Commission. (Lieberman, Alan)
July 29, 2010 Opinion or Order Filing 1 COMPLAINT against Louis J. Schaufele, III, Charles J. Wyly, Jr, Samuel E. Wyly. Document filed by Securities and Exchange Commission. (Attachments: # 1 part 2)(mro)
July 29, 2010 Opinion or Order SUMMONS ISSUED as to Louis J. Schaufele, III, Charles J. Wyly, Jr, Samuel E. Wyly. (mro)
July 29, 2010 Opinion or Order Case Designated ECF. (mro)
July 29, 2010 Opinion or Order Magistrate Judge Theodore H. Katz is so designated. (mro)

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Plaintiff: Securities and Exchange Commission
Represented By: Cheryl J. Scarboro
Represented By: Daniel Staroselsky
Represented By: David J. Gottesman
Represented By: Hope Hall Augustini
Represented By: Marsha Catherine Massey
Represented By: Michael James Roessner
Represented By: Alan M Lieberman
Represented By: Bridget M. Fitzpatrick
Represented By: Gregory Nelson Miller
Represented By: John David Worland, Jr.
Represented By: Martin Louis Zerwitz
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Defendant: Donald R. Miller, Jr.
Represented By: Donald P. Lan, Jr.
Represented By: Martin Robert Pollner
Represented By: Stephen D. Susman
Represented By: William Andrew Brewer, III
Represented By: David D. Shank
Represented By: James Stephen Renard
Represented By: John Anthony Piskora
Represented By: Kendyl Taylor Hanks
Represented By: Mark Howard Hatch-Miller
Represented By: Michael J. Collins
Represented By: Michael Lee Smith
Represented By: Steven M. Shepard
Represented By: Terrell Wallace Oxford
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Defendant: Samuel E. Wyly
Represented By: Michael L Smith
Represented By: Donald P. Lan, Jr.
Represented By: Martin Robert Pollner
Represented By: Stephen D. Susman
Represented By: William Andrew Brewer, III
Represented By: Alexander David Widell
Represented By: David D. Shank
Represented By: Harry P. Susman
Represented By: James Stephen Renard
Represented By: John Anthony Piskora
Represented By: Mark Howard Hatch-Miller
Represented By: Michael J. Collins
Represented By: Michael Lee Smith
Represented By: Paul Vincent Miletic
Represented By: Steven M. Shepard
Represented By: Terrell Wallace Oxford
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Defendant: Michael C. French
Represented By: Barrett R. Howell
Represented By: Casey P. Kaplan
Represented By: Danny S. Ashby
Represented By: Jill Caroline Barnhart
Represented By: Joshua Klein
Represented By: Laura A Brevetti
Represented By: Nelson Andrew Boxer
Represented By: Robert E. Davis
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Defendant: Louis J. Schaufele, III
Represented By: Martin Joel Auerbach
Represented By: Laura Elizabeth Neish
Represented By: Martin Auerbach
Represented By: Corbet Franklin Bryant, Jr
Represented By: Luke Madole
Represented By: Todd Murray
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Defendant: John Graham
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: James W Lincoln
Represented By: Kostas D. Katsiris
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Chaim Zev Kagedan
Represented By: Eric Hellerman
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Defendant: Jennifer Wyly Lincoln
Represented By: Kostas D. Katsiris
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Chaim Zev Kagedan
Represented By: Eric Hellerman
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Defendant: Emily Wyly Lindsey
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Defendant: David Matthews
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Kelly Wyly O'Donovan
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Andrew Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Caroline D Wyly
Represented By: David Leon Kornblau
Represented By: Eric Hellerman
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Defendant: Christina Wyly
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Defendant: Lisa Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Charles J Wyly III
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Defendant: Laurie Wyly Matthews
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Martha Wyly Miller
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Defendant: Cheryl Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Christiana Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Emily Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Evan Acton Wyly
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Tom Moore Dees
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Defendant: Charles J. Wyly, Jr.
Represented By: Donald P. Lan, Jr.
Represented By: Martin Robert Pollner
Represented By: Stephen D. Susman
Represented By: William Andrew Brewer, III
Represented By: David D. Shank
Represented By: James Stephen Renard
Represented By: John Anthony Piskora
Represented By: Kendyl Taylor Hanks
Represented By: Mark Howard Hatch-Miller
Represented By: Michael J. Collins
Represented By: Michael Lee Smith
Represented By: Steven M. Shepard
Represented By: Terrell Wallace Oxford
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Defendant: Keeley L. Hennington
Represented By: David Leon Kornblau
Represented By: Stewart Hyer Thomas
Represented By: Eric Hellerman
Represented By: Judd Robert Spray
Represented By: Tom Moore Dees
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Not classified by court: Donald R. Miller, Jr. Executor of Estate of Charles J. Wyly Jr.
Represented By: Stephen D. Susman
Represented By: Harry P. Susman
Represented By: Kendyl Taylor Hanks
Represented By: Kevin Samuel Reed
Represented By: Mark Howard Hatch-Miller
Represented By: Steven M. Shepard
Represented By: William Anthony Burck
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Not classified by court: United States of America
Represented By: Joseph Nicholas Cordaro
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Interested party: Laurie Matthews
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Interested party: Jennifer Lincoln
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Intervenor: EVAN WYLY
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Intervenor: MARTHA MILLER
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