Securities and Exchange Commission v. International Investment Group, LLC
| Securities and Exchange Commission |
| International Investment Group, LLC |
| LAM Enhanced Trade Finance Fund L.P. |
| Girobank, N.V., IIG Structured Trade Finance Fund, Ltd, Girobank International, N.V., TriLinc Global Impact Fund, LLC, IIG Trade Opportunities Fund, N.V., Christopher Kennedy, Bank Leumi USA, Alexander Lawson and TriLinc Global Impact Fund - Trade Finance, Ltd. |
| David Hu |
| Martin Silver, Employees and Employees #1 and #2 |
| 1:2019cv10796 |
| November 21, 2019 |
| US District Court for the Southern District of New York |
| Denise L Cote |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| None |
Docket Report
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This docket was last retrieved on December 30, 2020. A more recent docket listing may be available from PACER.
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Filing 145
NOTICE OF APPEARANCE by Jonathan Brian New on behalf of Employees #1 and #2..(New, Jonathan)
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Filing 144
NOTICE of Withdrawal of Appearance. Document filed by International Investment Group, LLC. (Attachments: #1 Declaration of Marc D. Powers in Support of Notice of Withdrawal).(Powers, Marc)
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| Filing 143 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated June 25, 2020 re: Status Report. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 142 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated June 8, 2020 re: Opinion and Order dated June 5, 2020. Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
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Filing 141
OPINION AND ORDER: The April 8, 2020 and April 16, 2020 Applications of STFF and GTFF, as well as the April 20, 2020 Application of TriLinc, are dismissed for lack of jurisdiction. (Signed by Judge Denise L. Cote on 6/5/2020) (jca)
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| Filing 140 LETTER RESPONSE to Motion addressed to Judge Denise L. Cote re: #139 LETTER MOTION for Leave to File Sur-Reply regarding the pending applications of IIG Global Trade Finance Fund, Ltd., IIG Structured Trade Finance Fund, Ltd. and TriLinc Global Impact Fund -Trade Finance, Ltd. addressed to Judge Denise L. Cot . Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 139 LETTER MOTION for Leave to File Sur-Reply regarding the pending applications of IIG Global Trade Finance Fund, Ltd., IIG Structured Trade Finance Fund, Ltd. and TriLinc Global Impact Fund -Trade Finance, Ltd. addressed to Judge Denise L. Cote from Constance M. Boland dated May 8, 2020. Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
| Filing 138 REPLY re: #113 Letter, #120 Response . Document filed by TriLinc Global Impact Fund - Trade Finance, Ltd.. (Attachments: #1 Joel C. Haims Declaration, #2 Ex. A - Nelund Affidavit Girobank N.V., et al., v. IIG, et al., #3 Mark Tipton Declaration, #4 Ex. A - TriLinc MPA, #5 Ex. B - IIG Stuckey Report, #6 Ex. C - CAGSA #15 PC, #7 Ex. D - IIG TOF BV Account Statement 11-03-2016, #8 Ex. E - CAGSA #16 PC, #9 Ex. F - IIG TOF BV Account Statement 02-03-2017, #10 Ex. G - Sancor Facility Agreement, #11 Ex. H - Sancor Draw 1 PC, #12 Ex. I - Sancor Draw 2 PC, #13 Ex. J - IIG Account Statement 05-04-2016, #14 Ex. K - Saldana PC #15).(Haims, Joel) |
| Filing 137 DECLARATION of Christopher Kennedy in Support re: #113 Letter. Document filed by IIG Structured Trade Finance Fund, Ltd. (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).(Selbst, Stephen) |
| Filing 136 MEMORANDUM OF LAW re: #113 Letter of GTFF and STFF in further support of the Application for this Court to distribute funds. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 135 STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
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Filing 134
ORDER granting #131 LETTER MOTION for Extension of Time as per April 27, 2020 Order #130 . Granted. (Signed by Judge Denise L. Cote on 4/30/2020) (jca)
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Filing 133
ORDER granting #132 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #130 Order. Granted. Replies due by 5/8/2020. (Signed by Judge Denise L. Cote on 4/30/2020) (jca)
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| Filing 132 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #130 Order addressed to Judge Denise L. Cote from Joel C. Haims dated April 29, 2020. Document filed by TriLinc Global Impact Fund - Trade Finance, Ltd...(Haims, Joel) |
| Filing 131 LETTER MOTION for Extension of Time as per April 27, 2020 Order #130 addressed to Judge Denise L. Cote. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
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Filing 130
ORDER: Accordingly, it is hereby ORDERED that any reply to the April 24 submissions of Girobank and Bank Leumi is due May 1, 2020. (Signed by Judge Denise L. Cote on 4/27/2020) (jca)
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| Filing 129 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated April 27, 2020 re: opposition filed on Friday, April 24, 2020. Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
| Filing 128 RESPONSE re: #120 Response, #113 Letter . Document filed by Bank Leumi USA. (Attachments: #1 Affidavit Declaration of Evan Kroll).(Weinreich, Jordan) |
| Filing 127 MEMORANDUM OF LAW in Opposition re: #120 Response, #113 Letter, #114 Declaration in Support,,, . Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
| Filing 126 AFFIRMATION of Nadine Doppia in Opposition re: #113 Letter, #120 Response, #114 Declaration in Support,,,. Document filed by Girobank International, N.V., Girobank, N.V.. (Attachments: #1 Exhibit 1 - Email dated 12-29-10, #2 Exhibit 2 - Ivorfield PC dated 1-31-11, #3 Exhibit 3 - Wire transfer receipt dated 3-3-11, #4 Exhibit 4 - Ivorfield PC dated 3-3-11, #5 Exhibit 5 - Email dated 3-31-11, #6 Exhibit 6 - Ivorfield PC dated 3-31-11, #7 Exhibit 7 - Email dated 8-6-12, #8 Exhibit 8 - Ivorfield PC dated 7-17-13, #9 Exhibit 9 - Ivorfield PIs dated 12-14-11, 7-27-12, 2-14-12, #10 Exhibit 10 - Email dated 6-28-11, #11 Exhibit 11 - wire transfer receipt dated 6-30-11, #12 Exhibit 12 - Email dated 4-2-12, #13 Exhibit 13 - Sancor PCs, #14 Exhibit 14 - wire transfer receipt dated 9-28-11, #15 Exhibit 15 - CAGS 11-10-11 PC, #16 Exhibit 16 - Email dated 12-28-11, #17 Exhibit 17 - CAGS 12-28-11 PCs, #18 Exhibit 18 - Email dated 4-2-12, #19 Exhibit 19 - 4-1-14 Presentation, #20 Exhibit 20 - Damages Spreadsheet, #21 Exhibit 21 - 2017 Audit-Approved Spreadsheet).(Boland, Constance) |
| Filing 125 DECLARATION of Constance M. Boland in Opposition re: #113 Letter, #120 Response, #114 Declaration in Support,,,. Document filed by Girobank International, N.V., Girobank, N.V.. (Attachments: #1 Exhibit A - Ivorfield Affidavit, #2 Exhibit B - Tolling Agreement, #3 Exhibit C - Letter dated June 3, 2010).(Boland, Constance) |
| Filing 124 DECLARATION of David Hu in Support re: #110 Letter. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 123 DECLARATION of Christopher Kennedy in Support re: #110 Letter. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 122 REPLY re: #110 Letter in further support of application. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 121 MEMO ENDORSEMENT on re: #120 Response filed by TriLinc Global Impact Fund - Trade Finance, Ltd. ENDORSEMENT: Any opposition to this application is due April 24, 2020. (Responses due by 4/24/2020) (Signed by Judge Denise L. Cote on 4/21/2020) (jca) |
| Filing 120 RESPONSE re: #113 Letter . Document filed by TriLinc Global Impact Fund - Trade Finance, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B).(Haims, Joel) |
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Filing 119
ORDER: On April 17, 2020, non-parties Girobank, N.V. and Girobank International, N.V. (together, "Girobank") opposed the April 8 application of non-parties IIG Structured Trade Finance, Ltd. ("STFF") and IIG Global Trade Finance Fund Ltd. ("GTFF") for an Order, under this Court's ancillary jurisdiction, directing certain distributions. Accordingly, it is hereby ORDERED that any reply is due April 24, 2020. ( Replies due by 4/24/2020.) (Signed by Judge Denise L. Cote on 4/20/2020) (mro)
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| Filing 118 DECLARATION of Constance M. Boland in Opposition re: #111 Declaration in Support, #110 Letter. Document filed by Girobank International, N.V., Girobank, N.V.. (Attachments: #1 Exhibit 1 - Verified Petition, #2 Exhibit 2 - Request for Arbitration, #3 Exhibit 3 - MPA, #4 Exhibit 4 - Wire transfer receipt, #5 Exhibit 5 - Participation Certificates, #6 Exhibit 6 - Email dated March 5, 2013, #7 Exhibit 7 - Letter dated March 25, 2013, #8 Exhibit 8 - Attachment Order, #9 Exhibit 9 - GTFF Bankruptcy Order).(Boland, Constance) |
| Filing 117 MEMORANDUM OF LAW in Opposition re: #111 Declaration in Support, #110 Letter . Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
| Filing 116 RESPONSE re: #110 Letter . Document filed by Bank Leumi USA. (Attachments: #1 Affidavit Declaration of Evan Kroll, #2 Letter to Court regarding electronic signature).(Weinreich, Jordan) |
| Filing 115 MEMO ENDORSEMENT on re: #113 Letter filed by IIG Structured Trade Finance Fund, Ltd. ENDORSEMENT: Any opposition to this application is due April 24, 2020. (Signed by Judge Denise L. Cote on 4/17/2020) (rro) |
| Filing 114 DECLARATION of Stephen B. Selbst in Support. Document filed by IIG Structured Trade Finance Fund, Ltd. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J, #11 Exhibit K, #12 Exhibit L, #13 Exhibit M, #14 Exhibit N, #15 Exhibit O, #16 Exhibit P, #17 Exhibit Q, #18 Exhibit R, #19 Exhibit S, #20 Exhibit T, #21 Exhibit U, #22 Exhibit V, #23 Exhibit W, #24 Exhibit X, #25 Exhibit Y, #26 Exhibit Z, #27 Exhibit AA, #28 Exhibit BB, #29 Exhibit CC, #30 Exhibit DD, #31 Exhibit EE, #32 Exhibit FF, #33 Exhibit GG-Part1, #34 Exhibit GG-Part2, #35 Exhibit GG-Part3, #36 Exhibit GG-Part4, #37 Exhibit GG-Part5, #38 Exhibit GG-Part6, #39 Exhibit GG-Part7, #40 Exhibit GG-Part8, #41 Exhibit HH, #42 Exhibit II).(Selbst, Stephen) |
| Filing 113 LETTER addressed to Judge Denise L. Cote re: request for order re. disbursements. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 112 MEMO ENDORSEMENT on re: #110 Letter filed by IIG Structured Trade Finance Fund, Ltd. ENDORSEMENT: Any opposition to this application is due April 17, 2020. (Responses due by 4/17/2020) (Signed by Judge Denise L. Cote on 4/9/2020) (jca) |
| Filing 111 DECLARATION of Stephen B. Selbst in Support re: #110 Letter. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 110 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst dated 4/8/20 re: partial relief from Judgment. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
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Filing 109
ORDER: Accordingly, it is hereby ORDERED that should a party bring a dispute to this Court's attention that is ancillary to the Final Judgment, all parties shall be given an opportunity to be heard on (1) whether this Court has jurisdiction over the particular dispute, and (2) the merits of the dispute should the Court have jurisdiction. (Signed by Judge Denise L. Cote on 4/3/2020) (jca)
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| Filing 108 LETTER addressed to Judge Denise L. Cote re: in response to letter from Constance M. Boland dated April 2, 2020. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
| Filing 107 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated April 2, 2020 re: response to the letter from counsel for IIG Structured Trade Finance Fund, Ltd.. Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
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Filing 106
ORDER: A request having been made, and no party objecting, it is hereby ORDERED that this Court shall retain jurisdiction over this case for matters that are ancillary to the final judgment entered against International Investment Group, LLC ("IIG") on March 30, 2020. (Signed by Judge Denise L. Cote on 4/2/2020) (jca)
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Filing 105
ORDER: IT IS HEREBY ORDERED that the telephonic conference scheduled for April 3, 2020 is cancelled. ***Hearings Terminated*** The following hearing(s) was terminated: Initial Conference. (Signed by Judge Denise L. Cote on 4/2/2020) (jca)
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| Filing 104 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst dated 4/1/20 re: retention of jurisdiction for ancillary matters. Document filed by IIG Structured Trade Finance Fund, Ltd..(Selbst, Stephen) |
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Filing 103
FINAL JUDGMENT AS TO DEFENDANT INTERNATIONAL INVESTMENT GROUP, LLC: The Securities and Exchange Commission having filed a Complaint and Defendant International Investment Group, LLC, having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $30,890,453.96, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $4,340,325.46, for a total of $35,230,779.42. Defendant shall satisfy this obligation by paying $35,230,779.42 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. Defendant may transmit payment electronically to the Commission, which will provide detailed ACH transfer/Fedwire instructions upon request. Payment may also be made directly from a bank account via Pay.gov through the SEC website at http://www.sec.gov/about/offices/ofm.htm. Defendant may also pay by certified check, bank cashier's check, or United States postal money order payable to the Securities and Exchange Commission. 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. International Investment Group, LLC terminated. (Signed by Judge Denise L. Cote on 3/30/2020) (jca)
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Filing 102
ORDER denying as moot #73 MOTION Relief from Freeze Order. Accordingly, it is hereby ORDERED that the parties shall file a status letter with the Court on May 1, 2020. IT IS FURTHER ORDERED that nonparty Bank Leumi USA's ("Bank Leumi") February 27, 2020 motion for partial relief from the Judgment and Preliminary Asset Freeze Order of November 26, 2019 is terminated as moot. (Signed by Judge Denise L. Cote on 3/30/2020) (jca)
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| Filing 101 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated March 27, 2020 re: Response to Proposed Final Judgment. Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
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Filing 100
ORDER: On March 23, 2020, the parties filed a proposed final consent judgment. Accordingly, it is hereby ORDERED that any opposition to the proposed final consent judgment is due Friday, March 27, 2020. If any opposition is filed, the parties' response is due Tuesday, March 31. (Responses due by 3/27/2020, Replies due by 3/31/2020.) (Signed by Judge Denise L. Cote on 3/24/2020) (jca)
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| Filing 99 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent of IIG).(Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 98 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated March 23, 2020 re: Proposed Final Judgment. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 97 FILING ERROR - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY - PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent of IIG).(Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 3/23/2020 (dt). |
| Filing 96 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated March 23, 2020 re: Proposed Final Judgment. Document filed by Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment, #2 Consent to Final Judgment).(Fortino, Philip) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED JUDGMENT. Notice to attorney Philip Fortino to RE-FILE Document No. #97 Proposed Judgment. The filing is deficient for the following reason(s): the PDF attached to the docket entry for the proposed order is not correct; First separately file the Letter using the event type Letter found under the event list Other Documents, separately Re-file the Proposed judgment with the Consent as an attachment, using the event type Proposed Judgment found under the event list Proposed Orders. - select the correct filer/filers. (dt) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #99 Proposed Judgment was reviewed and approved as to form. (dt) |
| Filing 95 LETTER addressed to Judge Denise L. Cote from Jordan D. Weinreich, Esq. dated 3/19/2020 re: Courtesy Copies of Motion Papers. Document filed by Bank Leumi USA..(Weinreich, Jordan) |
| Filing 94 REPLY MEMORANDUM OF LAW in Support re: #73 MOTION Relief from Freeze Order . . Document filed by Bank Leumi USA..(Weinreich, Jordan) |
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Filing 93
ORDER: IT IS HEREBY ORDERED that the in-person conference scheduled for April 3, 2020 at 11:30 am will be held telephonically. The parties shall use the following dial-in instructions for the telephone conference: Dial-in: 888-363-4749 Access code: 4324948 The attorneys who will serve as principal trial counsel must participate in this telephone conference. IT IS FURTHER ORDERED that the parties shall use a landline if one is available. (Signed by Judge Denise L. Cote on 3/19/2020) (jca)
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| Filing 92 RESPONSE in Opposition to Motion re: #73 MOTION Relief from Freeze Order . . Document filed by Christopher Kennedy, Alexander Lawson..(Pintarelli, John) |
| Filing 91 DECLARATION of Constance M. Boland in Opposition re: #73 MOTION Relief from Freeze Order .. Document filed by Girobank International, N.V., Girobank, N.V.. (Attachments: #1 Exhibit 1 - Girobank Attachment Order).(Boland, Constance) |
| Filing 90 MEMORANDUM OF LAW in Opposition re: #73 MOTION Relief from Freeze Order . . Document filed by Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
| Filing 89 NOTICE OF APPEARANCE by Brian Keahi Steinwascher on behalf of Girobank International, N.V., Girobank, N.V...(Steinwascher, Brian) |
| Filing 88 NOTICE OF APPEARANCE by Constance Mary Boland on behalf of Girobank International, N.V., Girobank, N.V...(Boland, Constance) |
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Filing 87
ORDER: On February 27, 2020, non-party Bank Leumi USA (Bank Leumi) filed a motion with this Court requesting certain relief from the Judgment and Preliminary Asset Freeze Order of November 26, 2019. An Order of February 28 directed the Securities and Exchange Commission (SEC) or any other interested party to file with the Court any notice of its intention to oppose Bank Leumis February 27 motion by March 6, which the SEC and certain interested parties did. Accordingly, it is hereby ORDERED that any opposition to Bank Leumis February 27 motion is due March 13, 2020. Any reply is due March 20. At the time any reply is served, Bank Leumi shall supply Chambers with two (2) courtesy copies of all motion papers by mailing or delivering them to the United States Courthouse, 500 Pearl Street, New York, New York. (Signed by Judge Denise L. Cote on 3/11/2020) (gr)
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| Filing 86 LETTER addressed to Judge Denise L. Cote from Jordan D. Weinreich, Esq. dated 3/10/2020 re: Clarification of Feb. 28, 2020 Order (Doc. No. 76). Document filed by Bank Leumi USA..(Weinreich, Jordan) |
| Filing 85 NOTICE OF APPEARANCE by Jordan Derek Weinreich on behalf of Bank Leumi USA..(Weinreich, Jordan) |
| Filing 84 LETTER RESPONSE in Opposition to Motion addressed to Judge Denise L. Cote from Constance M. Boland dated March 6, 2020 re: #73 MOTION Relief from Freeze Order . . Document filed by Girobank International, N.V., Girobank, N.V.. (Attachments: #1 Exhibit A - GTFF Bankruptcy Order dated February 19, 2020, #2 Exhibit B - TOF Bankruptcy Order dated March 5, 2020, #3 Exhibit C - Girobank Request for Arbitration, #4 Exhibit D - Girobank Attachment Petition).(Boland, Constance) |
| Filing 83 LETTER RESPONSE in Opposition to Motion addressed to Judge Denise L. Cote from Joel C. Haims dated March 6, 2020 re: #73 MOTION Relief from Freeze Order . . Document filed by TriLinc Global Impact Fund - Trade Finance, Ltd...(Haims, Joel) |
| Filing 82 LETTER addressed to Judge Denise L. Cote from Hon. Denise L. Cote dated March 6, 2020 re: Notice of Order in Bankruptcy Action. Document filed by IIG Trade Opportunities Fund, N.V...(Hoffman, Christopher) |
| Filing 81 NOTICE OF APPEARANCE by Benjamin Butterfield on behalf of Christopher Kennedy, Alexander Lawson..(Butterfield, Benjamin) |
| Filing 80 NOTICE of Intent to Oppose Non-Party Bank Leumi USA's Motion for Partial Relief from the Judgment and Preliminary Asset Freeze Order re: #73 MOTION Relief from Freeze Order .. Document filed by Christopher Kennedy, Alexander Lawson..(Pintarelli, John) |
| Filing 79 NOTICE OF APPEARANCE by John A Pintarelli on behalf of Christopher Kennedy, Alexander Lawson..(Pintarelli, John) |
| Filing 78 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated March 6, 2020 re: Motion of Bank Leumi for Relief from Preliminary Asset Freeze. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
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Filing 77
ORDER: IT IS on this 28th day of February, 2020 ORDERED that Bank Leumi shall transfer to STFF funds in the amount of $69,813.79 from the Tuper Account in accordance with written wire instructions to be provided by Herrick; and it is further ORDERED that Bank Leumi shall transfer to IIG Bank (Malta) Ltd. ("Malta") funds in the amount of $69,813.78 from the Tuper Account in accordance with written wire instructions to be provided by Malta or its counsel, Tannenbaum Helpern Syracuse & Hirschtritt LLP; and it is further ORDERED that, following the completion of the wire transfers to STFF and Malta as expressly authorized above, the remaining account funds held at Bank Leumi that are subject to the Freeze Order shall remain frozen pending further Order of this Court except as to distributions already permitted by Order of this Court through the negative notice procedure in Dkt. no. 62 that was so-ordered in Dkt. No. 71; and it is further ORDERED that Herrick shall serve a copy of any request filed with the Court pursuant to the negative notice procedure set forth in Dkt. No. 62 and so-ordered in Dkt. No. 71 on counsel for bank Leumi, Jordan D. Weinreich, Esq., Sherman Wells Sylvester & Stamelman LLP, by email to jweinreich@shermanwells.com; and it is further ORDERED that Herrick shall serve a copy of this Order on counsel for Bak Leumi, Jordan D. Weinreich, Esq., Sherman Wells Sylvester & Stamelman LLP, by email to jweinreich@shermanwells.com. (Signed by Judge Denise L. Cote on 2/28/2020) (va) Transmission to Finance Unit (Cashiers) for processing.
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Filing 76
ORDER: Accordingly, it is hereby ORDERED that the Securities and Exchange Commission ("SEC") or any other interest person shall file with the Court any notice of its intention to oppose Bank Leumi's February 27 motion by March 6, 2020. (As further set forth in this Order.) (Responses due by 3/6/2020) (Signed by Judge Denise L. Cote on 2/28/2020) (cf)
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| Filing 75 LETTER addressed to Judge Denise L. Cote from Jordan D. Weinreich dated 2/27/2020 re: Rule 3(F) Request for Oral Argument. Document filed by Bank Leumi USA..(Weinreich, Jordan) |
| Filing 74 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank Leumi Le-Israel B.M., Corporate Parent Bank Leumi Le-Israel Corp. for Bank Leumi USA. Document filed by Bank Leumi USA..(Weinreich, Jordan) |
| Filing 73 MOTION Relief from Freeze Order . Document filed by Bank Leumi USA. Return Date set for 3/20/2020 at 10:00 AM. (Attachments: #1 Memorandum of Law in Support of Bank Leumi's Motion, #2 Affidavit Declaration of Douglas J. Meyer, #3 Exhibit Ex. A to Declaration of Douglas J. Meyer, #4 Exhibit Ex. B to Declaration of Douglas J. Meyer, #5 Exhibit Ex. C to Declaration of Douglas J. Meyer, #6 Exhibit Ex. D to Declaration of Douglas J. Meyer, #7 Exhibit Ex. E to Declaration of Douglas J. Meyer, #8 Exhibit Ex. F to Declaration of Douglas J. Meyer, #9 Exhibit Ex. G to Declaration of Douglas J. Meyer, #10 Exhibit Ex. H to Declaration of Douglas J. Meyer, #11 Text of Proposed Order).(Weinreich, Jordan) |
| Filing 72 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst dated 2/27/20 re: supplemental relief order. Document filed by IIG Structured Trade Finance Fund, Ltd. (Attachments: #1 Text of Proposed Order).(Selbst, Stephen) |
| Filing 71 ENDORSED LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated February 4, 2020 re: Pending Request for Relief from Preliminary Asset Freeze. ENDORSEMENT: The payments to STFF and Malta are approved. (Signed by Judge Denise L. Cote on 2/5/2020) (gr) |
| Filing 70 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated February 4, 2020 re: Pending Request for Relief from Preliminary Asset Freeze. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
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Filing 69
ORDER: Accordingly, it is hereby ORDERED that Herrick's request for the immediate release of $1,402,976.89 to Tuper is granted. IT IS FURTHER ORDERED that Herrick's request to establish a "negative notice" procedure to govern Tuper's right to receive additional funds is granted with the following modification. If no party objects within ten days to a request filed with this Court, Tuper and/or IIG will present the Court with a proposed order granting the request. IT IS FURTHER ORDERED that the SEC shall respond to Herrick's request for the release and payment of funds to STFF and IIG Malta Bank by February 5, 2020. (Signed by Judge Denise L. Cote on 1/31/2020) (rro)
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| Filing 68 ENDORSED LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated January 28, 2020 re: In light of the settlement in principle, the parties respectfully request that the Court adjourn the deadline for proposing a joint discovery and motion schedule until March 27, 2020. No prior requests for extensions or adjournments have been made, and all parties consent to this adjournment. ENDORSEMENT: Granted. The conference is adjourned to 4/3/2020 at 11:30 AM (Courtroom 18B, 500 Pearl Street). (Signed by Judge Denise L. Cote on 1/28/2020) (gr) |
| Filing 67 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated January 28, 2020 re: Settlement in Principle. Document filed by Securities and Exchange Commission.(Fortino, Philip) |
| Filing 66 ENDORSED LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated January 27, 2020 re: Payment of Legal Fees. ENDORSEMENT: The request made in counsel's letter to the Court of 1/6/2020 is approved. (Signed by Judge Denise L. Cote on 1/28/2020) (gr) |
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Filing 65
ORDER: On January 24, 2020, Herrick, Feinstein LLP (Herrick), as liquidator of International Investment Group, LLPs (IIG) Structured Trade Finance Fund Ltd. (STFF), filed a letter with this Court requesting certain relief from the Judgment and Preliminary Asset Freeze Order of November 26, 2019. Accordingly, it is hereby ORDERED that, unless the Securities and Exchange Commission (SEC) or any other interested person files an opposition to this request by January 29, 2020, Herricks request for the immediate release of $1,402,976.89 to Tuper SA (Tuper) shall be granted. IT IS FURTHER ORDERED that Herricks additional requests -- for the release and payment of funds to STFF and IIG Malta Bank, Ltd., and to establish a negative notice procedure that would govern Tupers right to receive additional funds -- will be discussed at the initial pretrial conference scheduled for January 31, 2020 at 11:00 am. (Signed by Judge Denise L. Cote on 1/27/2020) (gr)
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| Filing 64 LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated January 27, 2020 re: Payment of Legal Fees. Document filed by Employees #1 and #2.(Powers, Marc) |
| Filing 63 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst dated 01/24/20 re: Declaration in support of letter [ECF # 62]. Document filed by IIG Structured Trade Finance Fund, Ltd.(Selbst, Stephen) |
| Filing 62 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst dated 01/24/20 re: the Court's 11/26/19 Order [ECF #9]. Document filed by IIG Structured Trade Finance Fund, Ltd.(Selbst, Stephen) |
| Filing 61 NOTICE OF APPEARANCE by Adam C. Ford on behalf of Employees. (Ford, Adam) |
| Filing 60 NOTICE OF APPEARANCE by Robert Seabrook Landy on behalf of Employees. (Landy, Robert) |
| Filing 59 ENDORSED LETTER addressed to Judge Denise L. Cote from Robert S. Landy dated January 16, 2020 re: By this letter, the Firm only seeks permission to accept the $100,797.91 received under the Associated Policy for fees and expenses incurred in the month of September 2019, even though we have also already provided the interested parties with advanced notice of the yet-to-be-covered claims for October and November. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/16/2020) (gr) |
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Filing 58
ENDORSED LETTER addressed to Judge Denise L. Cote from D. Farrington Yates dated January 15, 2020 re: Requesting Approval for Variation to Court's November 26, 2019 Judgment and Preliminary Asset Freeze Order. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/16/2020) (gr)
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| Filing 57 LETTER addressed to Judge Denise L. Cote from Robert S. Landy dated January 16, 2020 re: Deposit of Payment. Document filed by Employees.(Landy, Robert) |
| Filing 56 LETTER addressed to Judge Denise L. Cote from D. Farrington Yates dated January 15, 2020 re: Requesting Approval for Variation to Court's November 26, 2019 Judgment and Preliminary Asset Freeze Order. Document filed by LAM Enhanced Trade Finance Fund L.P.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Yates, David) |
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Filing 55
ENDORSED LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst, in opposition to the application filed by certain counsel for relief from this Court's Judgment and Preliminary Asset Freeze Order as to Defendant International Investment Group LLC ("IIG") (ECF #9) dated January 13, 2020. ENDORSEMENT: Confer with the SEC and convey its position on this request. (Signed by Judge Denise L. Cote on 1/14/2020) (gr)
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| Filing 54 LETTER addressed to Judge Denise L. Cote from Stephen B. Selbst, in opposition to the application filed by certain counsel for relief from this Court's Judgment and Preliminary Asset Freeze Order as to Defendant International Investment Group LLC ("IIG") (ECF #9) dated January 13, 2020 Document filed by IIG Structured Trade Finance Fund, Ltd.(Selbst, Stephen) |
| Filing 53 ENDORSED LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 1/7/2020 re: Girobank shared this letter with the Commission before filing and the Commission confirmed that it has no objection to Girobank's request to lift the litigation stay, as limited in this letter. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/7/2020) (gr) |
| Filing 52 ENDORSED LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated 1/6/2020 re: Deposit of Payment. ENDORSEMENT: The applicant shall confer with the SEC and present the SEC's position on this request. (Signed by Judge Denise L. Cote on 1/7/2020) (gr) |
| Filing 51 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated January 7, 2020 re: Response to Endorsed Letter. Document filed by Girobank International, N.V., Girobank, N.V..(Boland, Constance) |
| Filing 50 NOTICE OF APPEARANCE by Arthur Glenn Jakoby on behalf of IIG Structured Trade Finance Fund, Ltd. (Jakoby, Arthur) |
| Filing 49 NOTICE OF APPEARANCE by Stephen B Selbst on behalf of IIG Structured Trade Finance Fund, Ltd. (Selbst, Stephen) |
| Filing 48 LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated January 6, 2020 re: Deposit of Payment. Document filed by Employees #1 and #2.(Powers, Marc) |
| Filing 47 ENDORSED LETTER addressed to Judge Denise L. Cote from Seth T. Taube dated December 31, 2019 re: Deposit of Payment. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/2/2020) (gr) |
| Filing 46 LETTER addressed to Judge Denise L. Cote from Seth T. Taube dated December 31, 2019 re: Deposit of Payment. Document filed by Martin Silver.(Taube, Seth) |
| Filing 45 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated December 30, 2019 re: 12/18/19 Court Order. Document filed by Securities and Exchange Commission.(Fortino, Philip) |
| Filing 44 ENDORSED LETTER addressed to Judge Denise L. Cote from Barry A. Bohrer dated December 19, 2019 re: Deposit of Payments. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 12/19/2019) (gr) |
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Filing 43
ENDORSED LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/19/2019 re: 12/18/19 Court Order. ENDORSEMENT: The SEC shall respond by 12/30/19. (Signed by Judge Denise L. Cote on 12/19/2019) (gr)
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| Filing 42 LETTER addressed to Judge Denise L. Cote from Barry A. Bohrer dated December 19, 2019 re: Deposit of Payments. Document filed by David Hu. (Attachments: #1 Text of Proposed Order)(Bohrer, Barry) |
| Filing 41 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/19/2019 re: 12/18/19 Court Order. Document filed by Girobank International, N.V., Girobank, N.V..(Boland, Constance) |
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Filing 40
ENDORSED LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/18/2019 re: Pending Applications for Relief from Preliminary Asset Freeze Order. ENDORSEMENT: Girobank shall discuss this narrowed request with the SEC. (Signed by Judge Denise L. Cote on 12/18/2019) (gr)
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Filing 39
ORDER: On December 17, 2019, the Securities and Exchange Commission filed a letter with this Court regarding pending applications for relief from the preliminary asset freeze and litigation stay ordered pursuant to this Courts November 26, 2019 Judgment and Preliminary Asset Freeze Order (the November 26 Order). Accordingly, it is hereby ORDERED that Hughes Hubbard & Reed, LLPs December 9, 2019 application on behalf of International Investment Group, LLC (IIG) for approval of payments pursuant to a settlement agreement with certain of its insurers (the Settlement Payments) is granted. IT IS FURTHER ORDERED that Thompson Hine LLPs December 9, 2019 application on behalf of Girobank, N.V. and Girobank International, N.V. (Girobank) for relief from the litigation stay ordered pursuant to the November 26 Order is granted in part. The litigation stay is lifted for the limited purpose of allowing Girobank to apply to the New York Supreme Court to adjudicate whether the May 2, 2019 Stipulation and Order entered in In re Girobank, No. 652135/2019 (N.Y. Sup. Ct. May 2, 2019), bars the Settlement Payments. Girobank is not authorized to conduct discovery or seek any sanction for contempt against IIG. Girobank also is not authorized to take steps to acquire or perfect a security interest in any of IIGs property. IT IS FURTHER ORDERED that BakerHostetler LLPs (Baker) November 27, 2019 and Ford OBrien LLPs (Ford) December 4, 2019 applications for leave to seek advancement of legal fees from IIGs insurers is denied. For known claims, Baker and Ford must provide advance notice of claims, including the amounts being claimed, to other potentially interested persons and entities, including the insureds identified in the relevant policies, their insolvency liquidators, as applicable, and advisory clients of IIG. Recipients of such notice will be afforded an opportunity to object. Baker and Ford may then refile their applications with this Court. Baker and Ford may not seek permission to make future unspecified claims for expenses. (Signed by Judge Denise L. Cote on 12/18/2019) (gr)
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| Filing 38 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/18/2019 re: Pending Applications for Relief from Preliminary Asset Freeze Order. Document filed by Girobank International, N.V., Girobank, N.V..(Boland, Constance) |
| Filing 37 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated December 17, 2019 re: Pending Applications for Relief from Preliminary Asset Freeze Order. Document filed by Securities and Exchange Commission.(Fortino, Philip) |
| Filing 36 ENDORSED LETTER addressed to Judge Denise L. Cote from Joel C. Haims dated December 10, 2019 re: Requesting relief from the Court's November 26, 2019 Judgment and Preliminary Asset Freeze. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 12/12/2019) (gr) |
| Filing 35 ENDORSED LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/09/2019 re: Objections to Attorneys' Applications. ENDORSEMENT: The SEC shall respond by 12/17/19. (Signed by Judge Denise L. Cote on 12/12/2019) (gr) |
| Filing 34 ENDORSED LETTER addressed to Judge Denise L. Cote from Terence Healy dated 12/09/2019 re: Approval of disbursement of proceeds from certain IIG insurance policies. ENDORSEMENT: The SEC shall respond by 12/17/19. (Signed by Judge Denise L. Cote on 12/12/2019) (gr) |
| Filing 33 ENDORSED LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated December 9, 2019 re: Employees #1 and #2 Application for Relief from Asset Freeze. ENDORSEMENT: The SEC shall respond by 12/17/19. (Signed by Judge Denise L. Cote on 12/12/2019) (gr) |
| Filing 32 ENDORSED LETTER addressed to Judge Denise L. Cote from Barry A. Bohrer dated December 5, 2019 re: Permission to allow mye firm to deposit certain payments made to reimburse defense costs incurred by Mr. Hu as an Insured Person under certain insurance policies issued to IIG for the benefit of IIG, its executives, and employees. ENDORSEMENT: Approved. (Signed by Judge Denise L. Cote on 12/12/2019) (gr) |
| Filing 31 LETTER addressed to Judge Denise L. Cote from Philip M. Bowman dated December 12, 2019 re: in response to the December 9, 2019 letter from Constance M. Boland on behalf of Girobank, N.V. and Girobank International, N.V. (Girobank) (ECF No. 26). Document filed by IIG Trade Opportunities Fund, N.V.. (Attachments: #1 Exhibit A - Letter dated June 20, 2019, #2 Exhibit B - Letter dated October 17, 2019)(Bowman, Philip) |
| Filing 30 LETTER addressed to Judge Denise L. Cote from Terence M. Healy dated 12/12/2019 re: Approval of disbursement of proceeds from certain IIG insurance policies, and Girobank's opposition thereto. Document filed by International Investment Group, LLC.(Miller, Hannah) |
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Filing 29
ORDER granting #27 Motion for Terence M. Healy to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (gr)
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| Filing 28 LETTER addressed to Judge Denise L. Cote from Joel C. Haims dated December 10, 2019 re: the Court's November 26, 2019 Judgment and Preliminary Asset Freeze. Document filed by TriLinc Global Impact Fund, LLC.(Haims, Joel) |
| Filing 27 MOTION for Terence M. Healy to Appear Pro Hac Vice on behalf of Defendant International Investment Group, LLC. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by International Investment Group, LLC. (Attachments: #1 Affidavit of Terence M. Healy, #2 Certificate of Good Standing, #3 Proposed Order)(Miller, Hannah) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #24 MOTION for Terence M. Healy to Appear Pro Hac Vice on behalf of Defendant International Investment Group, LLC. Filing fee $ 200.00, receipt number ANYSDC-18247296. Motion and supporting papers to be reviewed by Clerk.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from DC Bar;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #27 MOTION for Terence M. Healy to Appear Pro Hac Vice on behalf of Defendant International Investment Group, LLC. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
| Filing 26 LETTER addressed to Judge Denise L. Cote from Constance M. Boland dated 12/09/2019 re: Objections to Attorneys' Applications. Document filed by Girobank, N.V., Girobank International, N.V.. (Attachments: #1 Stipulation and Order)(Boland, Constance) |
| Filing 25 LETTER addressed to Judge Denise L. Cote from Terence Healy dated 12/09/2019 re: Approval of disbursement of proceeds from certain IIG insurance policies. Document filed by International Investment Group, LLC. (Attachments: #1 Attachment A: Schedule)(Miller, Hannah) |
| Filing 24 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Terence M. Healy to Appear Pro Hac Vice on behalf of Defendant International Investment Group, LLC. Filing fee $ 200.00, receipt number ANYSDC-18247296. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by International Investment Group, LLC. (Attachments: #1 Affidavit Affidavit of Terence Healy, #2 Text of Proposed Order Proposed Order)(Miller, Hannah) Modified on 12/10/2019 (wb). |
| Filing 23 NOTICE OF APPEARANCE by Hannah Miller on behalf of International Investment Group, LLC. (Miller, Hannah) |
| Filing 22 DECLARATION of Adam C. Ford in Support re: #17 LETTER MOTION to Seal Document addressed to Judge Denise L. Cote from Adam C. Ford dated 12/04/19.. Document filed by Employees. (Attachments: #1 Text of Proposed Order Granting Relief from Asset Freeze in Support of Redacted Declaration)(Ford, Adam) |
| Filing 21 LETTER addressed to Judge Denise L. Cote from Marc D. Powers dated December 9, 2019 re: Employees #1 and #2 Application for Relief from Asset Freeze. Document filed by Employees #1 and #2.(Powers, Marc) |
| Filing 20 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated December 9, 2019 re: Pending Applications for Relief from Preliminary Asset Freeze Order. Document filed by Securities and Exchange Commission.(Fortino, Philip) |
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Filing 19
ENDORSED LETTER addressed to Judge Denise L. Cote from Adam C. Ford dated 12/04/19 re: requesting that the Court issue the proposed annexed Order, granting the sealing of our application to except the legal services of my law firm from the IIG asset freeze set forth in part V of the Judgment. ENDORSEMENT: Any opposition to this application is due 12/9/19. (Signed by Judge Denise L. Cote on 12/5/2019) (gr)
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| Filing 18 LETTER addressed to Judge Denise L. Cote from Barry A. Bohrer dated December 5, 2019 re: Deposit of Payments. Document filed by David Hu. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Text of Proposed Order)(Bohrer, Barry) |
| Filing 17 LETTER MOTION to Seal Document addressed to Judge Denise L. Cote from Adam C. Ford dated 12/04/19. Document filed by Employees. (Attachments: #1 Exhibit Proposed Order to Seal)(Ford, Adam) |
| Filing 16 SEALED DOCUMENT placed in vault.(rz) |
| Filing 15 DECLARATION of Marc D. Powers for Relief from Asset Freeze (Redacted). Document filed by Employees #1 and #2. (Attachments: #1 Text of Proposed Order Granting Relief from Asset Freeze)(Powers, Marc) |
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Filing 13
ORDER TO SEAL granting #11 Motion to Seal Document addressed to Judge Denise L. Cote from Marc D. Powers dated November 27, 2019. Having duly considered the letter from counsel Marc Powers requesting to redact portions of his submissions and the supporting Declaration of Marc D. Powers dated November 27, 2019; IT IS HEREBY ORDERED THAT the request to seal portions of the Declaration of Marc D. Powers is GRANTED. (Signed by Judge Denise L. Cote on 12/2/2019) (va)
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Filing 14
ORDER with respect to #11 Motion to Seal Document. Any opposition to this application to permit payment of the identified legal expenses is due 12/9/2019. (Signed by Judge Denise L. Cote on 12/2/2019) (mml)
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| Set/Reset Deadlines: Responses due by 12/9/2019. (mml) |
| Filing 12 CERTIFICATE OF SERVICE of (1) Notice of Initial Pretrial Conference (Docket Entry No. 10) and (2) Individual Practices served on International Investment Group, LLC on 12/02/2019. Service was made by mail. Document filed by Securities and Exchange Commission. (Fortino, Philip) |
| Filing 11 LETTER MOTION to Seal Document addressed to Judge Denise L. Cote from Marc D. Powers dated November 27, 2019. Document filed by Employees #1 and #2. (Attachments: #1 Proposed Order to Seal)(Powers, Marc) |
| Filing 10 NOTICE OF INITIAL PRETRIAL CONFERENCE (Notice) Initial Conference set for 1/31/2020 at 11:00 AM in Courtroom 18B, 500 Pearl Street, New York, NY 10007 before Judge Denise L. Cote. (Please follow the procedures set forth in the Notice.) (Signed by Judge Denise L. Cote on 11/26/2019) (gr) |
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Filing 9
JUDGMENT AND PRELIMINARY ASSET FREEZE ORDER AS TO DEFENDANT INTERNATIONAL INVESTMENT GROUP LLC: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section l0(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule l0b-5 promulgated thereunder [17 C.F.R. 240. l0b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendantshall comply with all of the undertakings and agreements set forth therein. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. (And as further set forth herein.) (Signed by Judge Denise L. Cote on 11/26/2019) (jca)
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| Filing 8 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent of Defendant International Investment Group, LLC) (Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 7 LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated 11/22/2019 re: Proposed Judgment and Preliminary Asset Freeze Order. Document filed by Securities and Exchange Commission.(Fortino, Philip) |
| Filing 6 FILING ERROR - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY - PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent of Defendant International Investment Group, LLC, #2 Proposed Judgment and Preliminary Asset Freeze Order) (Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 11/22/2019 (dt). |
| Filing 5 CIVIL COVER SHEET filed. (Michael, Daniel) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Denise L. Cote. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions. (jgo) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Daniel Michael. The following case opening statistical information was erroneously selected/entered: Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to wv (waived);. (jgo) |
| Magistrate Judge Robert W. Lehrburger is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (jgo) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Daniel Michael to RE-FILE Document No. #2 Civil Cover Sheet. The filing is deficient for the following reason(s): Jury Demand code - no selection;. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (jgo) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED JUDGMENT. Notice to attorney Philip Fortino to RE-FILE Document No. #6 Proposed Judgment. The filing is deficient for the following reason(s): the PDF attached to the docket entry for the proposed order is not correct; First file the Letter using the event type Letter found under the event List Other Documents, then, separately file the Judgment with the consent as an attachment, use the event type Proposed Judgment found under the event list Proposed Orders. - select the correct filer/filers. (dt) |
| Case Designated ECF. (jgo) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #8 Proposed Judgment, was reviewed and approved as to form. (dt) |
| Filing 4 NOTICE OF APPEARANCE by Lindsay Senechal Moilanen on behalf of Securities and Exchange Commission. (Moilanen, Lindsay) |
| Filing 3 NOTICE OF APPEARANCE by Philip Andrew Fortino on behalf of Securities and Exchange Commission. (Fortino, Philip) |
| Filing 2 FILING ERROR - PDF ERROR - CIVIL COVER SHEET filed. (Michael, Daniel) Modified on 11/22/2019 (jgo). |
| Filing 1 COMPLAINT against International Investment Group, LLC. Document filed by Securities and Exchange Commission.(Michael, Daniel) |
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