United States Securities and Exchange Commission v. Gupta et al
| United States Securities and Exchange Commission |
| Rajat K. Gupta and Raj Rajaratnam |
| 1:2011cv07566 |
| October 26, 2011 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| Jed S. Rakoff |
| Securities/Commodities/Exchanges |
| 15 U.S.C. § 77 |
| None |
Docket Report
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| Filing 49 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/10/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) |
| Filing 48 TRANSCRIPT of Proceedings re: CONFERNCE held on 7/10/2012 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Linda Fisher, (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 8/30/2012. Redacted Transcript Deadline set for 9/10/2012. Release of Transcript Restriction set for 11/8/2012.(McGuirk, Kelly) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Status Conference held on 7/10/2012. MOTION FOR SUMMARY JUDGMENT DUE 12-5-2012, RESPONSE 12-19-2012, REPLIES 12-31-2012. Argument set for 1-7-2013 at 4:00pm. Jury trial date set 2-11-2013. (Kotowski, Linda) Modified on 7/12/2012 (jar). |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 7/3/2012. (js) |
Filing 47
MEMORANDUM ORDER: Accordingly, for the foregoing reasons, the motion to compel is denied. (Signed by Judge Jed S. Rakoff on 4/30/2012) (mro)
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| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 4/11/2012. (ft) |
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Filing 46
MEMORANDUM ORDER: The Court hereby grants defendants' motion to compel Blankfein to answer any and all questions concerning his pre-deposition meetings with attorneys from the SEC and USAO. Because the February 24, 2012 deposition used all seven hours of the allotted deposition time, defendants will have permission to promptly depose Blankfein for an additional two hours, limited to questions about Blankfein's meetings with the SEC and USAO in preparation for his first deposition. See Fed. R. Civ. P. 30(d)(1). (Signed by Judge Jed S. Rakoff on 3/26/2012) (ab)
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| Filing 45 Letter addressed to Judge Jed S. Rakoff from Gary P. Naftalis dated 3/1/2012 re: Counsel for the Defendant writes to request that the Court issue an order permitting Mr. Gupta to resume the deposition of Mr. Blankfein on the subject of his preparation for deposition in two recent sessions with the presecutors and the SEC. (ab) |
| Filing 44 Letter addressed to Judge Jed S. Rakoff from Kevin P. McGrath dated 3/1/2012 re: Counsel for the Plaintiff writes even if Gupta's failure to contact the Court promptly is not deemed a technical waiver, his failure to set aside time to cover any follow-up questions should preclude him from re-calling Mr. Blankfein to testify beyond the time allotted. (ab) |
| Filing 43 Letter addressed to Judge Jed S. Rakoff from David S. Frankel dated 3/1/2012 re: Counsel for the Defendant writes to submit that the Government should review the SEC's notes and memos of the 44 joint interviews and produce to the defense any BRADY material contained within them. (ab) |
| Filing 42 Letter addressed to Judge Jed S. Rakoff from John P. Henderson dated 3/1/2012 re: Counsel for the Plaintiff writes to request that the Court deny Guptas request for production of information contained in the SEC's attorney work product notes and memoranda. (ab) |
| Filing 41 Letter "Brief" addressed to Judge Jed S. Rakoff from Kevin P. McGrath dated 2/23/2012 re: Accordingly, the SEC respectfully requests that the Court otherwise deny Gupta's request for production of information contained in the SEC's attorney work product notes and memoranda Document filed by United States Securities and Exchange Commission.(djc) |
| Filing 40 Letter addressed to Judge Jed S. Rakoff from David S. Frankel dated 2/23/2012 re: For the reasons stated, we respectfully submit that any Brady material contained within the SEC's interview notes or memos should be produced to the defense. Document filed by Rajat K. Gupta.(djc) |
| Filing 39 Letter addressed to Judge Jed S. Rakoff from Kevin P. McGrath dated 2/7/2012 re: We submit this letter pursuant to the Court's request that the Commission and Defendant Gupta brief the question whether certain internal memoranda and notes prepared by Commission attorneys in anticipation of litigation are protected from discovery in the above-referenced action pursuant to the work product privilege. It is the Commission's position that all such memoranda are protected by the work product privilege. Document filed by United States Securities and Exchange Commission.(lmb) |
| Filing 38 Letter addressed to Judge Jed S. Rakoff from Kevin P. McGrath dated 2/10/2012 re: On behalf of Plaintiff Securities and Exchange Commission ("Commission"), we respectfully submit this letter in response to the letter of defendant Gupta dated February 9, 2012, concerning his application to compel the Commission to produce attorney work product relating to its interviews of various witnesses. Gupta's application should be denied in its entirety. Document filed by United States Securities and Exchange Commission.(lmb) |
| Filing 37 Letter addressed to Judge Jed S. Rakoff from David S. Frankel dated 2/9/2012 re: I am writing in support of Mr. Gupta's application to compel production of the SEC's witness interview memoranda and notes. For the reasons stated, the Court should require the SEC to produce its witness notes and memoranda. Document filed by Rajat K. Gupta.(lmb) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/23/2012. (jfe) |
| Filing 36 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/8/11 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) |
| Filing 35 TRANSCRIPT of Proceedings re: Conference held on 11/8/2011 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Toni Stanley, (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 3/19/2012. Redacted Transcript Deadline set for 3/29/2012. Release of Transcript Restriction set for 5/29/2012.(McGuirk, Kelly) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/3/2012. (djc) |
| Filing 34 DEMAND for Trial by Jury. Document filed by Rajat K. Gupta(Oberman, Michael) |
| Filing 33 ANSWER to 1 Complaint. Document filed by Rajat K. Gupta.(Oberman, Michael) |
| Filing 32 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/18/11 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) |
| Filing 31 TRANSCRIPT of Proceedings re: Conference held on 11/18/2011 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Toni Stanley, (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 2/6/2012. Redacted Transcript Deadline set for 2/17/2012. Release of Transcript Restriction set for 4/16/2012.(McGuirk, Kelly) |
| Filing 30 ANSWER to 1 Complaint. Document filed by Raj Rajaratnam.(White, William) |
| Filing 29 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/8/11 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) |
| Filing 28 TRANSCRIPT of Proceedings re: Conference held on 11/8/2011 before Judge Jed S. Rakoff. 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 1/23/2012. Redacted Transcript Deadline set for 2/2/2012. Release of Transcript Restriction set for 4/2/2012.(McGuirk, Kelly) |
| Filing 27 ANSWER to 1 Complaint. Document filed by Rajat K. Gupta.(Oberman, Michael) |
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Filing 26
ORDER: ORDERED that any person subject to this Order -including without limitation the parties to this action) their representatives, agents, experts and consultants, all third parties providing discovery in this action, and all other interested persons with actual or constructive notice of this Order -- shall adhere to the following terms, upon pain of contempt: Any person subject to this Order who receives from any other person any "Discovery Material" (i.e., information of any kind provided in the course of discovery in this action) that is designated as "Confidential" pursuant to the terms of this Order shall not disclose such Confidential Discovery Material to anyone else except as expressly permitted hereunder. (Signed by Judge Jed S. Rakoff on 12/15/2011) (djc)
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| Filing 25 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/18/11 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) |
| Filing 24 TRANSCRIPT of Proceedings re: Conference held on 11/18/2011 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Toni Stanley, (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 12/29/2011. Redacted Transcript Deadline set for 1/8/2012. Release of Transcript Restriction set for 3/7/2012.(McGuirk, Kelly) |
| Filing 23 Letter addressed to Judge Jed S. Rakoff from Kevin P. McGrath dated 11/23/2011 re: Plaintiff Securities and Exchange Commission joins in the arguments made in the November 23, 2011 letter of Assistant U.S. Attorney Reed Brodsky filed in response to the letter of Gary Naftalis dated November 23, 2011. (rjm) |
| Filing 22 Letter addressed to Judge Jed S. Rakoff from Reed Brodsky dated 11/23/2011 re: The United States Attorney's Office ("USAO") respectfully submits this response. The notion that Gupta's discovery rights in the civil case would be hindered, much less "completely scuttle[d]" (Gupta Ltr. at 1), if the Court were to stay some or all of its proposed depositions until after the criminal trial is simply untrue. (rjm) |
| Filing 21 Letter addressed to Judge Jed S. Rakoff from Gary P. Naftalis dated 11/23/2011 re: We write briefly to respond to the Government's letter to Your Honor, dated November 22, 2011. (rjm) |
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Filing 20
ORDER: For the reasons set forth on this Order, all depositions in this case are hereby adjourned until after the conclusion of the criminal trial in united States v. Gupta, except for the seven listed within, which can go forward prior to that criminal trial. (Signed by Judge Jed S. Rakoff on 11/29/2011) (ab)
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| Filing 19 WAIVER OF SERVICE RETURNED EXECUTED. Raj Rajaratnam waiver sent on 10/27/2011, answer due 12/26/2011. Document filed by United States Securities and Exchange Commission. (Henderson, John) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/23/2011. (jfe) |
| ***DELETED DOCUMENT. Deleted document number 20 Notice of filing of Transcript. The document was incorrectly filed in this case. (tro) |
| ***DELETED DOCUMENT. Deleted document number 19 Transcript. The document was incorrectly filed in this case. (tro) |
| Filing 18 Letter addressed to Judge Jed S. Rakoff from Gary P. Naftalis dated 11/15/2011 re: Counsel for the defendant writes to submit a list of the ten persons whom they would most want to depose on behalf on Mr. Gupta based on the information currently known to them. Document filed by Rajat K. Gupta.(ft) |
| Filing 17 Letter addressed to Judge Jed S. Rakoff from William E. White dated 11/15/2011 re: Counsel for the defendant writes to submit a list of the first ten witnesses that they would seek to depose in this case. Document filed by Raj Rajaratnam.(ft) |
| Filing 16 Letter addressed to Judge Jed S. Rakoff from Kevin P. McGrath and Valerie A. Szczepanik dated 11/15/2011 re: Plaintiff hereby respectfully makes this submission regarding deposition discovery in this action. Document filed by United States Securities and Exchange Commission.(ae) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Oral Argument on Motion to Stay Depositions held on 11/18/2011. (ft) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/17/2011. (mro) |
| CASHIERS OFFICE REMARK on 8 Motion to Appear Pro Hac Vice, 7 Motion to Appear Pro Hac Vice in the amount of $400.00, paid on 11/08/2011, Receipt Number 1021389,1021390. (jd) |
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Filing 15
ORDER granting 8 Motion for William E. White to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 11/11/2011) (rjm)
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Filing 14
ORDER granting 7 Motion for Terence J. Lynam to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 11/11/2011) (lmb)
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| Filing 13 NOTICE OF APPEARANCE by David Stanley Frankel on behalf of Rajat K. Gupta (Frankel, David) |
| Filing 12 NOTICE OF APPEARANCE by Robin Marie Wilcox on behalf of Rajat K. Gupta (Wilcox, Robin) |
| Filing 11 NOTICE OF APPEARANCE by Alan Roy Friedman on behalf of Rajat K. Gupta (Friedman, Alan) |
| Filing 10 NOTICE OF APPEARANCE by Michael Stewart Oberman on behalf of Rajat K. Gupta (Oberman, Michael) |
| Filing 9 WAIVER OF SERVICE RETURNED EXECUTED. Rajat K. Gupta waiver sent on 10/27/2011, answer due 12/26/2011. Document filed by United States Securities and Exchange Commission. (Henderson, John) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Initial Pretrial Conference held on 11/8/2011. (Final Pretrial Conference set for 9/7/2012 at 11:00 AM before Judge Jed S. Rakoff. TDS 10-1-2012.) (ft) |
| Filing 8 MOTION for William E. White to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(bwa) (pgu). |
| Filing 7 MOTION for Terence J. Lynam to Appear Pro Hac Vice. Document filed by Raj Rajaratnam.(bwa) (pgu). |
| Filing 6 NOTICE OF APPEARANCE by Valerie Ann Szczepanik on behalf of United States Securities and Exchange Commission (Szczepanik, Valerie) |
| Filing 5 NOTICE OF COURT CONFERENCE: Initial Conference set for 11/8/2011 at 11:00 AM in Courtroom 14B, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff, and as further set forth. (Signed by Judge Jed S. Rakoff on 11/1/2011) (rjm) |
| Filing 4 NOTICE OF CASE ASSIGNMENT to Judge Jed S. Rakoff. Judge Unassigned is no longer assigned to the case. (pgu) |
| Magistrate Judge Henry B. Pitman is so designated. (pgu) |
| CASE ACCEPTED AS RELATED. Create association to 1:09-cv-08811-JSR. Notice of Assignment to follow. (pgu) |
| Filing 3 NOTICE OF APPEARANCE by John Patrick Henderson on behalf of United States Securities and Exchange Commission (Henderson, John) |
| Filing 2 NOTICE OF APPEARANCE by Kevin Patrick McGrath on behalf of United States Securities and Exchange Commission (McGrath, Kevin) |
| Filing 1 COMPLAINT against Rajat K. Gupta, Raj Rajaratnam. (Filing Fee $ 350.00.) Document filed by United States Securities and Exchange Commission.(ft) |
| CASE REFERRED TO Judge Jed S. Rakoff as possibly related to 09 Civ. 8811. (ft) |
| SUMMONS ISSUED as to Rajat K. Gupta, Raj Rajaratnam. (ft) |
| Case Designated ECF. (ft) |
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