Securities and Exchange Commission v. Straightpath Venture Partners, LLC et al
| Securities and Exchange Commission |
| Straightpath Venture Partners, LLC, Straightpath Management, LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia and Eric D. Lachow |
| Receiver, Court-Appointed Receiver, Proposed Counsel for Melanie L. Cyganowski, as Court-Appointed Receiver, Otterbourg P.C., Stout Risius Ross,LLC, Stretto, Inc. and Receiver's counsel |
| Melanie L. Cyganowski |
| UNITED STATES OF AMERICA |
| 1:2022cv03897 |
| May 13, 2022 |
| U.S. District Court for the Southern District of New York |
| Lewis A Kaplan |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Both |
Docket Report
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| Filing 238 PROPOSED ORDER. Document filed by Court-Appointed Receiver. Related Document Number: #235 ..(Cyganowski, Melanie) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 237 DECLARATION of Annemarie Tierney in Support re: #235 MOTION to Approve the Retention of Liquid Advisors, Inc. as the Receiver's Investment Advisor Effective as of the Engagement Date .. Document filed by Court-Appointed Receiver. (Attachments: #1 Exhibit 1-Consulting Services Agreement).(Cyganowski, Melanie) |
| Filing 236 NOTICE of Application for Order Approving the Retention of Liquid Advisors, Inc. as the Receiver's Investment Advisor Effective as of the Engagement Date re: #235 MOTION to Approve the Retention of Liquid Advisors, Inc. as the Receiver's Investment Advisor Effective as of the Engagement Date .. Document filed by Court-Appointed Receiver..(Cyganowski, Melanie) |
| Filing 235 MOTION to Approve the Retention of Liquid Advisors, Inc. as the Receiver's Investment Advisor Effective as of the Engagement Date . Document filed by Court-Appointed Receiver..(Cyganowski, Melanie) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #238 Proposed Order was reviewed and approved as to form. (tp) |
| Filing 234 STATUS REPORT. / The Receiver's Sixth Quarterly Status Report to the Court Document filed by Receiver. (Attachments: #1 Exhibit A-SFAR Third Quarter 2023).(Weinick, Erik) |
| Filing 233 LETTER addressed to Judge Lewis A. Kaplan from Daniel Loss dated 10/27/2023 re: Receiver's motion for an order authorizing the use of escrow funds. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #232 Proposed Order was reviewed and approved as to form. (nd) |
| Filing 232 PROPOSED ORDER. Document filed by Otterbourg P.C.. Related Document Number: #228 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 231 MEMORANDUM OF LAW in Support re: #228 MOTION to Authorize /Notice of the Receivers Motion for Entry of an Order (I) Authorizing the Receivers Use of Escrow Funds to Cover Pre-IPO Share Shortfall; (II) Establishing a Procedure Therefor; and (III) Granting Related Relief . . Document filed by Otterbourg P.C...(Weinick, Erik) |
| Filing 230 DECLARATION of Sook J. Lee in Support re: #228 MOTION to Authorize /Notice of the Receivers Motion for Entry of an Order (I) Authorizing the Receivers Use of Escrow Funds to Cover Pre-IPO Share Shortfall; (II) Establishing a Procedure Therefor; and (III) Granting Related Relief .. Document filed by Otterbourg P.C...(Weinick, Erik) |
| Filing 229 DECLARATION of Melanie L. Cyganowski, as Receiver in Support re: #228 MOTION to Authorize /Notice of the Receivers Motion for Entry of an Order (I) Authorizing the Receivers Use of Escrow Funds to Cover Pre-IPO Share Shortfall; (II) Establishing a Procedure Therefor; and (III) Granting Related Relief .. Document filed by Otterbourg P.C...(Weinick, Erik) |
| Filing 228 MOTION to Authorize /Notice of the Receivers Motion for Entry of an Order (I) Authorizing the Receivers Use of Escrow Funds to Cover Pre-IPO Share Shortfall; (II) Establishing a Procedure Therefor; and (III) Granting Related Relief . Document filed by Otterbourg P.C...(Weinick, Erik) |
Filing 227
ORDER APPROVING FIFTH INTERIM APPLICATION OF STRETTO, INC. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURINGTHE PERIOD APRIL 1, 2023 THROUGH AND INCLUDING JUNE 30, 2023 granting #213 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering April 1, 2023 through June 30, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by Stretto for the Application Period are allowed on an interim basis in the amount of $30,483.55 (the "Allowed Fees"); and it is further ORDERED that Stretto's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $23,443.35; and it is further ORDERED that the Receiver is authorized, at the time the Receiver deems prudent, to pay to Stretto from the Receivership assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of Applicant. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv)
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Filing 226
ORDER APPROVING FIFTH INTERIM APPLICATION OF STOUT RISIUS ROSS, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD APRIL 1, 2023 THROUGH AND INCLUDING JUNE 30, 2023 granting #210 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering April 1, 2023 through June 30, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by Stout for the Application Period are allowed on an interim basis in the amount of $492,992.55 (the "Allowed Fees"); and it is further ORDERED that the Receiver will not pay any portion of the Allowed Fees until further Court Order authorizing the payment of the Allowed Fees less the Holdback Amount. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv)
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Filing 225
ORDER APPROVING FOURTH INTERIM APPLICATION OF BERKELEY RESEARCH GROUP, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD APRIL 1, 2023 THROUGH AND INCLUDING JUNE 30, 2023 granting #216 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering April 1, 2023 through June 30, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by BRG for the Application Period are allowed on an interim basis in the amount of $26,374.90 (the "Allowed Fees"); and it is further ORDERED that BRG's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $3,017.60; and it is further ORDERED that the Receiver will not pay any portion of the Allowed Fees or allowed out of pocket expenses until further Court Order authorizing the payment of the Allowed Fees less the Holdback Amount and allowed out-of-pocket expenses. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv)
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Filing 224
ORDER APPROVING FIFTH JOINT INTERIM APPLICATION OF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD APRIL 1, 2023 THROUGH AND INCLUDING JUNE 30, 2023 granting #207 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering April 1, 2023 through and including June 30, 2023 (the "Application Period") is granted; and it is further ORDERED that the Receiver's compensation for the Application Period is allowed on an interim basis in the amount of $13,230.00 (the "Allowed Receiver Fees"); and it is further ORDERED that the fees requested by Otterbourg for the Application Period are allowed on an interim basis in the amount of $383,994.90 (the "Allowed Otterbourg Fees" and, together with the Allowed Receiver Fees, the "Allowed Fees"); and it is further ORDERED that Otterbourg's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $3,064.62; and it is further ORDERED that the Receiver will not pay any portion of the Allowed Fees or allowed out-of-pocket expenses until further Court Order authorizing the payment of the Allowed Fees less the Holdback Amount and allowed out-of-pocket expenses. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv)
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Filing 223
ORDER APPROVING FOURTH JOINT INTERIM APPLICATION OF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2023 THROUGH AND INCLUDING MARCH 31, 2023 granting #189 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering January 1, 2023 through and including March 31, 2023 (the "Application Period") is granted; and it is further ORDERED that the Receiver's compensation for the Application Period is allowed on an interim basis in the amount of $27,121.50 (the "Allowed Receiver Fees"); and it is further ORDERED that the fees requested by Otterbourg for the Application Period are allowed on an interim basis in the amount of $588,296.25 (the "Allowed Otterbourg Fees" and, together with the Allowed Receiver Fees, the "Allowed Fees"); and it is further ORDERED that Otterbourg's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of$7,155.75; and it is further ORDERED that the Receiver is authorized, at the time she seems prudent, to pay from the Receivership Assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of Applicants. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv) Transmission to Finance Unit (Cashiers) for processing. Modified on 9/11/2023 (yv).
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Filing 222
ORDER APPROVING FOURTH INTERIM APPLICATION OF STOUT RISIUS ROSS, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2023 THROUGH AND INCLUDING MARCH 31, 2023 granting #192 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering January 1, 2023 through March 31, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by Stout for the Application Period are allowed on an interim basis in the amount of $488,865.15 (the "Allowed Fees"); and it is further ORDERED that the Receiver is authorized, at the time the Receiver deems prudent, to pay from the Receivership Assets the Allowed Fees, less the Holdback Amount.SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv) Transmission to Finance Unit (Cashiers) for processing. Modified on 9/11/2023 (yv).
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Filing 221
ORDER APPROVING FOURTH INTERIM APPLICATION OF STRETTO, INC. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2023 THROUGH AND INCLUDING MARCH 31, 2023 granting #195 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering January 1, 2023 through March 31, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by Stretto for the Application Period are allowed on an interim basis in the amount of $11,611.85 (the "Allowed Fees"); and it is further ORDERED that Stretto's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $594.88; and it is further ORDERED that the Receiver is authorized, at the time the Receiver deems prudent, to pay to Stretto from the Receivership assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of Applicant. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv) Transmission to Finance Unit (Cashiers) for processing. Modified on 9/11/2023 (yv).
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Filing 220
ORDER APPROVING THIRD INTERIM APPLICATION OF BERKELEY RESEARCH GROUP, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2023 THROUGH AND INCLUDING MARCH 31, 2023 granting #198 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering January 1, 2023 through March 31, 2023 (the "Application Period") is granted; and it is further ORDERED that the fees requested by BRG for the Application Period are allowed on an interim basis in the amount of$15,139.30 (the "Allowed Fees"); and it is further ORDERED that BRG's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $1,115.38; and it is further ORDERED that the Receiver is authorized, at the time the Receiver deems prudent, to pay from the Receivership assets (i) the Allowed Fees, Jess the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of BRG. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/11/23) (yv) Transmission to Finance Unit (Cashiers) for processing. Modified on 9/11/2023 (yv).
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| Transmission to Finance Unit (Cashiers). Transmitted re: #224 Order on Motion for Attorney Fees, #225 Order on Motion for Attorney Fees, to the Finance Unit (Cashiers) for case processing. (yv) |
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Filing 219
ORDER granting #218 Letter Motion to Stay re: #218 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay,,,, addressed to Judge Lewis A. Kaplan from Allison Nichols dated September 5, 2023. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/6/2023) (rro)
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| Filing 218 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay,,,, addressed to Judge Lewis A. Kaplan from Allison Nichols dated September 5, 2023. Document filed by UNITED STATES OF AMERICA..(Nichols, Allison) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #211 Proposed Order was reviewed and approved as to form. (nd) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #208 Proposed Order was reviewed and approved as to form. (nd) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #217 Proposed Order was reviewed and approved as to form. (vba) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #214 Proposed Order was reviewed and approved as to form. (vba) |
| Filing 217 PROPOSED ORDER. Document filed by Receiver's Counsel. Related Document Number: [ECF 216]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 216 FOURTH MOTION for Attorney Fees Interim Application of Berkeley Research Group LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel. (Attachments: #1 Exhibit A-Summary of Hours Billed by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) Modified on 9/11/2023 (yv). |
| Filing 215 NOTICE of Fourth Interim Application of Berkeley Research Group LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel..(Weinick, Erik) |
| Filing 214 PROPOSED ORDER. Document filed by Receiver's Counsel. Related Document Number: [ECF 213]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 213 FIFTH MOTION for Attorney Fees Interim Application of Stretto, Inc for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel. (Attachments: #1 Exhibit A-Summary of Hours Billed by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) Modified on 9/11/2023 (yv). |
| Filing 212 NOTICE of Fifth Interim Application of Stretto, Inc for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel..(Weinick, Erik) |
| Filing 211 PROPOSED ORDER. Document filed by Receiver's Counsel. Related Document Number: [ECF 210]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 210 FIFTH MOTION for Attorney Fees Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Summary of Hours Billed by Professionals, #3 Exhibit C-Fees by Project Code, #4 Exhibit D-Time Records, #5 Exhibit E-Certification).(Weinick, Erik) Modified on 9/11/2023 (yv). |
| Filing 209 NOTICE of Fifth Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Receiver's Counsel..(Weinick, Erik) |
| Filing 208 PROPOSED ORDER. Document filed by Otterbourg P.C., Receiver. Related Document Number: [ECF 207]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 207 FIFTH MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Otterbourg P.C., Receiver. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Fee Schedule by Professional, #3 Exhibit C-Fees by Project Code, #4 Exhibit D-Receiver Time Records, #5 Exhibit E-Otterbourg Time Records, #6 Exhibit F-Expense Summary, #7 Exhibit G-Otterbourg Expense Records, #8 Exhibit H- Certification).(Weinick, Erik) Modified on 9/11/2023 (yv). |
| Filing 206 NOTICE of Fifth Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2023 Through and Including June 30, 2023. Document filed by Otterbourg P.C., Receiver..(Weinick, Erik) |
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Filing 205
ORDER granting #204 Letter Motion for Extension of Time. Granted. SO ORDERED. (Motions due by 8/21/2023.) (Signed by Judge Lewis A. Kaplan on 8/15/23) (yv)
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| Filing 204 LETTER MOTION for Extension of Time of One Week to File the Quarterly Fee Applications for the Second Quarter 2023 addressed to Judge Lewis A. Kaplan from Erik B. Weinick dated August 14, 2023. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 203 STATUS REPORT. / The Receiver's Fifth Quarterly Status Report to the Court Document filed by Receiver. (Attachments: #1 Exhibit A- SFAR Second Quarter 2023).(Weinick, Erik) |
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Filing 202
ORDER granting #201 Letter Motion to Stay re: #201 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay, addressed to Judge Lewis A. Kaplan from Allison Nichols dated May 31, 2023. Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 6/1/23) (yv)
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| Filing 201 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay,,,, addressed to Judge Lewis A. Kaplan from Allison Nichols dated May 31, 2023. Document filed by UNITED STATES OF AMERICA..(Nichols, Allison) |
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Filing 200
MEMO ENDORSEMENT granting #184 Motion re: #184 MOTION / Notice of the Receiver's Motion, on Consent, to Modify the Receivership Order . ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/17/2023) (tg)
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| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #199 Proposed Order was reviewed and approved as to form. (tp) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #196 Proposed Order, #193 Proposed Order, #190 Proposed Order was reviewed and approved as to form. (tp) |
| Filing 199 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF 198]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 198 THIRD MOTION for Attorney Fees Interim Application of Berkeley Research Group, LLC for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-Summary of Hours Billed by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 197 NOTICE of Third Interim Application of Berkeley Research Group, LLC for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 196 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF 195]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 195 FOURTH MOTION for Attorney Fees Interim Application of Stretto, Inc for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-Summary of Hours Billed by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 194 NOTICE of Fourth Interim Application of Stretto, Inc for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 193 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF 192]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 192 FOURTH MOTION for Attorney Fees Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Summary of Hours Billed by Professionals, #3 Exhibit C-Fees by Project Category, #4 Exhibit D-Time Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 191 NOTICE of Fourth Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursements of Expenses Incurred During the Period of January 1, 2023 through and Including March 31, 2023. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 190 PROPOSED ORDER. Document filed by Otterbourg P.C., Receiver. Related Document Number: [ECF 189]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 189 FOURTH MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period January 1, 2023 Through and Including March 31, 2023.. Document filed by Otterbourg P.C., Receiver. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Fee Schedule by Professional, #3 Exhibit C-Fees by Project Code, #4 Exhibit D-Receiver Time Records, #5 Exhibit E-Otterbourg Time Records, #6 Exhibit F-Expense Summary, #7 Exhibit G-Otterbourg Expense Records, #8 Exhibit H- Certification).(Weinick, Erik) |
| Filing 188 NOTICE of Fourth Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period January 1, 2023 Through and Including March 31, 2023. Document filed by Otterbourg P.C., Receiver..(Weinick, Erik) |
| Filing 187 PROPOSED ORDER. Document filed by Receiver. Related Document Number: #184 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 186 MEMORANDUM OF LAW in Support re: #184 MOTION / Notice of the Receiver's Motion, on Consent, to Modify the Receivership Order . . Document filed by Receiver..(Weinick, Erik) |
| Filing 185 DECLARATION of Erik B. Weinick in Support of Receiver's Motion, on Consent, to Modify the Receivership Order in Support re: #184 MOTION / Notice of the Receiver's Motion, on Consent, to Modify the Receivership Order .. Document filed by Receiver. (Attachments: #1 Exhibit A- Consent Order Appointing Receiver).(Weinick, Erik) |
| Filing 184 MOTION / Notice of the Receiver's Motion, on Consent, to Modify the Receivership Order . Document filed by Receiver..(Weinick, Erik) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #187 Proposed Order was reviewed and approved as to form. (km) |
| Filing 183 STATUS REPORT. / The Receiver's Fourth Quarterly Status Report to the Court Document filed by Receiver. (Attachments: #1 Exhibit A-SFAR - First Quarter 2023).(Weinick, Erik) |
| Filing 182 SEALED DOCUMENT placed in vault..(jus) |
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Filing 181
ORDER GRANTING DEFENDANT MICHAEL CASTILLERO'S MOTION TO AMEND ORDER OF JANUARY 25, 2023 GRANTING LEAVE TO SELL REAL PROPERTY: granting #179 Motion to Amend/Correct #179 MOTION to Amend/Correct #149 Order on Motion for Miscellaneous Relief, Authorizing Sale of Real Property... As further set forth in this Order. (Signed by Judge Lewis A. Kaplan on 3/30/2023) (tro)
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Filing 180
ORDER granting #166 Motion for Establishing procedures re: #166 MOTION / Notice of the Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims . (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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| Filing 179 MOTION to Amend/Correct #149 Order on Motion for Miscellaneous Relief,, Authorizing Sale of Real Property. Document filed by Michael A. Castillero. (Attachments: #1 Exhibit A, #2 Text of Proposed Order Proposed Amended Order).(Sherman, Scott) |
| Filing 178 CERTIFICATE of Counsel by Erik Bradley Weinick on behalf of Receiver. Re: #166 MOTION / Notice of the Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims .. /Certificate of No Objection Regarding Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims.(Weinick, Erik) |
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Filing 177
ORDER granting #176 Letter Motion to Stay re: #176 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay,,,, addressed to Judge Lewis A. Kaplan from Allison Nichols dated March 20, 2023. Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 3/21/23) (yv)
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| Filing 176 LETTER MOTION to Stay re: #105 Order on Motion to Intervene, Order on Motion to Stay,,,, addressed to Judge Lewis A. Kaplan from Allison Nichols dated March 20, 2023. Document filed by UNITED STATES OF AMERICA..(Nichols, Allison) |
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Filing 175
ORDER APPROVING SECOND INTERIM APPLICATION OF BERKELEY RESEARCH GROUP, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD OCTOBER 1, 2022 THROUGH AND INCLUDING DECEMBER 31, 2022. It is hereby ORDERED that the Interim Application for the period covering October 1, 2022 through December 31, 2022 (the "Application Period") is granted; and it is further ORDERED that the fees requested by BRG for the Application Period are allowed on an interim basis in the amount of $35,433.85 (the "Allowed Fees"); and it is further ORDERED that BRG 's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $2,650.25; and it is further ORDERED that the Receiver is authorized to immediately pay from the Receivership assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of BRG. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/15/23) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing 174
ORDER APPROVING THIRD INTERIM APPLICATION OF STOUT RISIUS ROSS, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD OCTOBER 1, 2022 THROUGH AND INCLUDING DECEMBER 31, 2022 granting #157 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering October 1, 2022 through December 31, 2022 (the "Application Period") is granted; and it is further ORDERED that the fees requested by Stout for the Application Period are allowed on an interim basis in the amount of $563,153.85 (the "Allowed Fees"); and it is further ORDERED that the Receiver is authorized to immediately pay from the Receivership Assets the Allowed Fees, less the Holdback Amount. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/15/23) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing 173
ORDER APPROVING THIRD INTERIM APPLICATION OF STRETTO, INC. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD OCTOBER 1, 2022 THROUGH AND INCLUDING DECEMBER 31, 2022 granting #160 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering October 1, 2022 through December 31, 2022 ( the "Application Period") is granted; and it is further ORDERED that the fees requested by Stretto for the Application Period are allowed on an interim basis in the amount of $4,086.80 (the "Allowed Fees"); and it is further ORDERED that Stretto's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $3.40; and it is further ORDERED that the Receiver is authorized to immediately pay to Stretto from the Receivership assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-of-pocket expenses of Applicant. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/15/23) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing 172
ORDER APPROVING THIRD JOINT INTERIM APPLICATION OF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD OCTOBER 1, 2022 THROUGH AND INCLUDING DECEMBER 31, 2022 granting #163 Motion for Attorney Fees. It is hereby ORDERED that the Interim Application for the period covering October 1, 2022 through and including December 31, 2022 ( the "Application Period") is granted; and it is further ORDERED that the Receiver's compensation for the Application Period is allowed on an interim basis in the amount of $44,100.00 (the "Allowed Receiver Fees"); and it is further ORDERED that the fees requested by Otterbourg for the Application Period are allowed on an interim basis in the amount of $703,187.10 (the "Allowed Otterbourg Fees" and, together with the Allowed Receiver Fees, the "Allowed Fees"); and it is further ORDERED that Otterbourg's request for reimbursement of its out-of-pocket expenses for the Application Period is allowed on an interim basis in the amount of $4,383.02; and it is further ORDERED that the Receiver is authorized to immediately pay from the Receivership Assets (i) the Allowed Fees, less the Holdback Amount, plus (ii) 100% of the allowed out-ofpocket expenses of Applicants. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/15/23) (yv) Transmission to Finance Unit (Cashiers) for processing.
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Filing 171
MEMO ENDORSED ORDER granting #154 Motion for Attorney Fees. ENDORSEMENT: Granted without opposition. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/13/23) (yv) Transmission to Finance Unit (Cashiers) for processing. Modified on 3/14/2023 (yv). Modified on 4/5/2023 (yv).
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Filing 170
ORDER granting #151 Letter Motion to Stay re: #151 LETTER MOTION to Stay re: #148 Order, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 31, 2023., #152 LETTER MOTION to Stay re: #148 Order,,,, #151 LETTER MOTION to Stay re: #148 Order, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 3 ; granting #152 Letter Motion to Stay re: #151 LETTER MOTION to Stay re: #148 Order, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 31, 2023., #152 LETTER MOTION to Stay re: #148 Order, #151 LETTER MOTION to Stay re: #148 Order, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 3. Granted. (Signed by Judge Lewis A. Kaplan on 3/10/23) (yv)
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| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #169 Proposed Order was reviewed and approved as to form. (km) |
| Filing 169 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF 166]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 168 MEMORANDUM OF LAW in Support re: #166 MOTION / Notice of the Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims . . Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 167 DECLARATION of Melanie L. Cyganowski in Support re: #166 MOTION / Notice of the Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims .. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A. Form of Investor Statement, #2 Exhibit B. Proof of Claim Form, #3 Exhibit C. Notice of Procedures for Verification of Interests and for Submitting and Verifying Proofs of Claim, #4 Exhibit D. Claims and Interests Procedures Publication Notice).(Weinick, Erik) |
| Filing 166 MOTION / Notice of the Receiver's Motion for Entry of an Order Establishing Procedures for Resolution of Claims and Interests and Setting Bar Dates for Claims . Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 165 NOTICE OF APPEARANCE by Daniel Loss on behalf of Securities and Exchange Commission..(Loss, Daniel) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #155 Proposed Order #158 Proposed Order #161 Proposed Order was reviewed and approved as to form. (km) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #164 Proposed Order was reviewed and approved as to form. (km) |
| Filing 164 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: #163 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 163 SECOND MOTION for Attorney Fees Interim Application of Berkeley Research Group, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-Summary of Hours Bill by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 162 NOTICE of Second Interim Application of Berkeley Research Group, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 161 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: #160 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 160 THIRD MOTION for Attorney Fees Interim Application of Stretto, Inc. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-Summary of Hours Bill by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 159 NOTICE of Third Interim Application of Stretto, Inc. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 158 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: #157 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 157 THIRD MOTION for Attorney Fees Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Summary of Hours Billed by Professionals, #3 Exhibit C - Fees by Project Code, #4 Exhibit D-Time Records, #5 Exhibit E. Certification).(Weinick, Erik) |
| Filing 156 NOTICE of Third Joint Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 155 PROPOSED ORDER. Document filed by Otterbourg P.C., Receiver. Related Document Number: #154 ..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 154 THIRD MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Otterbourg P.C., Receiver. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B - Fees by Professional, #3 Exhibit C - Fees by Project Code, #4 Exhibit D - Receiver Time Records, #5 Exhibit E - Otterbourg Time Records, #6 Exhibit F - Expense Summary, #7 Exhibit G - Otterbourg Expense Records, #8 Exhibit H - Certification).(Weinick, Erik) |
| Filing 153 NOTICE of Third Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2022 Through and Including December 31, 2022. Document filed by Otterbourg P.C., Receiver..(Weinick, Erik) |
| Filing 152 ***SELECTED PARTIES*** LETTER MOTION to Stay re: #148 Order,,,, #151 LETTER MOTION to Stay re: #148 Order,,,, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 31, 2023. addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 31, 2023. Document filed by UNITED STATES OF AMERICA, Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC.Motion or Order to File Under Seal: #151 .(Nichols, Allison) |
| Filing 151 LETTER MOTION to Stay re: #148 Order,,,, Extension Request for Complete Stay of Discovery - Redacted Version addressed to Judge Lewis A. Kaplan from Allison Nichols dated January 31, 2023. Document filed by UNITED STATES OF AMERICA..(Nichols, Allison) |
| Filing 150 STATUS REPORT. / Receiver's Third Quarterly Status Report To The Court Document filed by Receiver..(Weinick, Erik) |
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Filing 149
ORDER GRANTING DEFENDANT MICHAEL A. CASTILLERO'S MOTION FOR LEAVE TO SELL REAL PROPERTY granting #145 Motion re: #145 MOTION Motion for Leave to Sell Real Property re: #55 Preliminary Injunction, . The Court hereby orders as follows:1. Mr. Castillero may sell the real property located at 1772 NE Ocean Blvd., Stuart, FL as described in the Motion. 2. Upon closing, the net proceeds of the sale to be paid to Mr. Castillero and his wife ("Net Proceeds") shall be retained by Michael Weissman through Closing Express, Inc., the settlement agent on the sale and the owner of the title company, pending further order of this Court. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/25/23) (yv)
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Filing 148
MEMORANDUM AND ORDER. The individual defendants' request to permit only a narrower stay that the government seeks (Dkt 136) is denied. I have considered also the arguments put forward in the individual defendants' sur-reply brief. Without ruling now on the immunity issue, I have concluded that the individual defendants' argument that they should be permitted to proceed with the discovery they have sought and that the intervention of the government to protect its criminal investigation should not be permitted to upset the bargain with respect to a receiver that the individual defendants had made with the SEC -before a criminal investigation was known to be under weigh -is unpersuasive. The government's request to extend the current stay of discovery for an additional thirty days, until February 15, 2023 (Dkt 141 ), is granted. All proceedings are stayed pending further order of the Court. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/17/23) (yv) Modified on 1/17/2023 (yv).
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Filing 147
ORDER granting #146 Letter Motion for Leave to File Document. (Signed by Judge Lewis A. Kaplan on 1/17/2023) (Kaplan, Lewis)
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| Filing 146 LETTER MOTION for Leave to File Sur-Reply in Further Opposition to the Government's Application for a Complete Stay addressed to Judge Lewis A. Kaplan from Scott Sherman and Josh Lewin dated 01/13/2023. Document filed by Michael A. Castillero, Francine A. Lanaia, Brian K. Martinsen. (Attachments: #1 Exhibit Proposed Sur-Reply).(Sherman, Scott) |
| Filing 145 MOTION Motion for Leave to Sell Real Property re: #55 Preliminary Injunction,,,,,,,,,, . Document filed by Michael A. Castillero. (Attachments: #1 Text of Proposed Order Proposed Order).(Sherman, Scott) |
| Filing 144 STATUS REPORT. / The Receiver's Interim Status Report Concerning Preliminary Findings on Commingling and Share Shortfall Document filed by Receiver..(Weinick, Erik) |
| Filing 143 RESPONSE re: #136 Memorandum of Law in Opposition to Motion,, /The Receiver's Response to the Individual Defendants' Memorandum of Law in Opposition to the Government's Application for a Complete Stay. Document filed by Receiver..(Weinick, Erik) |
| Filing 142 ***EX-PARTE*** REPLY MEMORANDUM OF LAW in Support re: #102 MOTION to Intervene . MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . . . Document filed by UNITED STATES OF AMERICA. Motion or Order to File Under Seal: #141 .(Nichols, Allison) |
| Filing 141 REPLY MEMORANDUM OF LAW in Support re: #102 MOTION to Intervene . MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . . . Document filed by UNITED STATES OF AMERICA..(Nichols, Allison) |
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Filing 140
ORDER granting #139 Motion to Withdraw as Attorney. Attorney Philip Andrew Fortino terminated (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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| Filing 139 MOTION for Philip A. Fortino to Withdraw as Attorney . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Order).(Fortino, Philip) |
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Filing 138
FIFTH STIPULATION REGARDING INTERVENING PARTY UNITED STATES OF AMERICA'S MOTION FOR STAY OF DISCOVERY, The parties have agreed, following the filing by the Individual Defendants of their opposition to the Government's Motion to Stay, Dkt. No. 136, and therefore stipulate as follows: 1.Any reply briefs in response to the Individual Defendants' opposition to the Government's Motion to Stay shall be filed on or before January 6, 2023; The SEC, Receiver, and Individual Defendants agree that written responses to the pending document requests and interrogatories shall be due, (a) if the Motion to Stay is granted, fourteen days after the Court orders discovery reopened or, (b) if the Motion to Stay is denied, seven days after the Court decides the Motion to Stay; and Nothing herein shall be construed to limit or otherwise modify the Receiver's powers, duties, and responsibilities as set forth in the Receivership Order and any other Orders of this Court. SO ORDERED. ( Replies due by 1/6/2023.) (Signed by Judge Lewis A. Kaplan on 12/19/22) (yv)
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| Filing 137 PROPOSED STIPULATION AND ORDER. Document filed by Receiver..(Weinick, Erik) |
| Filing 136 MEMORANDUM OF LAW in Opposition re: #101 MOTION to Intervene . MOTION to Stay ., #102 MOTION to Intervene . MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . . . Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Text of Proposed Order Proposed Order, #2 Exhibit Exhibit A, #3 Exhibit Exhibit B).(Sherman, Scott) |
| Filing 135 RESPONSE to Motion re: #102 MOTION to Intervene . MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . . . Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Transmission to Finance Unit (Cashiers). Transmitted re: #132 Order on Motion for Attorney Fees, #131 Order on Motion for Attorney Fees, #130 Order on Motion for Attorney Fees, #129 Order on Motion for Attorney Fees, to the Finance Unit (Cashiers) for case processing. (yv) |
| Filing 134 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/18/2022 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 133 TRANSCRIPT of Proceedings re: CONFERNECE held on 10/18/2022 before Judge Lewis A. Kaplan. 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 12/27/2022. Redacted Transcript Deadline set for 1/5/2023. Release of Transcript Restriction set for 3/6/2023..(McGuirk, Kelly) |
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Filing 132
MEMO ENDORSED ORDER granting #123 Motion for Attorney Fees. ENDORSEMENT: Granted without opposition. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/5/22) (yv)
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Filing 131
MEMO ENDORSED ORDER granting #120 Motion for Attorney Fees. ENDORSEMENT: Granted without opposition. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/5/22) (yv)
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Filing 130
MEMO ENDORSED ORDER granting #117 Motion for Attorney Fees. ENDORSEMENT: Granted without opposition. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/5/22) (yv)
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Filing 129
MEMO ENDORSED ORDER granting #114 Motion for Attorney Fees. ENDORSEMENT: Granted without opposition. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/5/22) (yv)
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Filing 128
FOURTH STIPULATION REGARDING INTERVENING PARTY UNITED STATES OF AMERICA'S MOTION FOR STAY OF DISCOVERY, The parties have agreed to provide additional time to brief the Government's Motion to Stay and therefore stipulate as follows: Any responses to the Government's Motion to Stay, including the Individual Defendants' opposition, shall be filed on or before December 9, 2022; Any reply briefs in response to the Individual Defendants' opposition to the Government's Motion to Stay shall be filed on or before December 30, 2022; The SEC, Receiver, and Individual Defendants agree that written responses to the pending document requests and interrogatories shall be due, (a) if the Motion to Stay is granted, fourteen days after the Court orders discovery reopened or, (b) if the Motion to Stay is denied, seven days after the Court decides the Motion to Stay; and Nothing herein shall be construed to limit or otherwise modify the Receiver's powers, duties, and responsibilities as set forth in the Receivership Order and any other Orders of this Court. SO ORDERED. ( Replies due by 12/30/2022., Responses due by 12/9/2022) (Signed by Judge Lewis A. Kaplan on 12/5/22) (yv)
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| Filing 127 PROPOSED STIPULATION AND ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Sherman, Scott) |
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Filing 126
THIRD STIPULATION REGARDING INTERVENING PARTY UNITED STATES OF AMERICA'S MOTION FOR STAY OF DISCOVERY: The parties have agreed to provide additional time to brief the Government's Motion to Stay and therefore stipulate as follows: 1. Any responses to the Government's Motion to Stay, including the Individual Defendants' opposition, shall be filed on or before December 2, 2022; 2. Any reply briefs in response to the Individual Defendants' opposition to the Government's Motion to Stay shall be filed on or before December 16, 2022; 3. The SEC, Receiver, and Individual Defendants agree that written responses to the pending document requests and interrogatories shall be due, (a) if the Motion to Stay is granted, fourteen days after the Court orders discovery reopened or, (b) if the Motion to Stay is denied, seven days after the Court decides the Motion to Stay; and 4. Nothing herein shall be construed to limit or otherwise modify the Receiver's powers, duties, and responsibilities as set forth in the Receivership Order and any other Orders of this Court. IT IS SO STIPULATED. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/21/2022) ( Responses due by 12/2/2022, Replies due by 12/16/2022.) (ks)
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| Filing 125 PROPOSED STIPULATION AND ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Sherman, Scott) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #124 Proposed Order was reviewed and approved as to form. (nd) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #121 Proposed Order was reviewed and approved as to form. (nd) |
| Filing 124 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF-123]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 123 FIRST MOTION for Attorney Fees / Application of Tax Advisor Berkeley Research Group, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A- Summary of Hours Billed by Professionals, #2 Exhibit B- Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 122 NOTICE of First Interim Application of Berkeley Research Group, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 121 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF-120]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 120 SECOND MOTION for Attorney Fees /Interim Application of Stretto, Inc. as Administrative and Claims agent for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-Summary of Hours Billed by Professionals, #2 Exhibit B-Summary of Compensation by Project Category, #3 Exhibit C-Time Records, #4 Exhibit D-Expense Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 119 NOTICE of Second Interim Application of Stretto, Inc. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 118 PROPOSED ORDER. Document filed by Receiver's counsel. Related Document Number: [ECF-117]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 117 SECOND MOTION for Attorney Fees /Financial Advisor of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Summary of Hours Billed by Professionals, #3 Exhibit C-Fees by Project Category, #4 Exhibit D-Time Records, #5 Exhibit E-Certification).(Weinick, Erik) |
| Filing 116 NOTICE of Second Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Receiver's counsel..(Weinick, Erik) |
| Filing 115 PROPOSED ORDER. Document filed by Otterbourg P.C., Receiver. Related Document Number: [ECF-114]..(Weinick, Erik) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 114 SECOND MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Otterbourg P.C., Receiver. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B-Fee Schedule by Professional, #3 Exhibit C-Fees by Project Code, #4 Exhibit D-Receiver Time Records, #5 Exhibit E-Otterbourg Time Records, #6 Exhibit F-Expense Summary, #7 Exhibit G-Receiver Expense Records, #8 Exhibit H-Otterbourg Expense Records, #9 Exhibit I-Certification).(Weinick, Erik) |
| Filing 113 NOTICE of Second Interim Joint Application of the Receiver and Otterbourg P.C. for Allowance of Compensation of Expenses Incurred During the Period July 1, 2022 Through and Including September 30, 2022. Document filed by Otterbourg P.C., Receiver..(Weinick, Erik) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #118 Proposed Order was reviewed and approved as to form. (tp) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #115 Proposed Order was reviewed and approved as to form. (tp) |
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Filing 112
SECOND STIPULATION REGARDING INTERVENING PARTY UNITED STATES OF AMERICA'S MOTION FOR STAY OF DISCOVERY, The parties have agreed to provide additional time to brief the Government's Motion to Stay and therefore stipulate as follows: Any responses to the Government's Motion to Stay, including the Individual Defendants ' opposition, shall be filed on or before November 18, 2022; Any reply briefs in response to the Individual Defendants' opposition to the Government's Motion to Stay shall be filed on or before December 2, 2022; The SEC, Receiver, and Individual Defendants agree that written responses to the pending document requests and interrogatories shall be due, (a) if the Motion to Stay is granted, fourteen days after the Court orders discovery reopened or, (b) if the Motion to Stay is denied, seven days after the Court decides the Motion to Stay; and Nothing herein shall be construed to limit or otherwise modify the Receiver's powers, duties, and responsibilities as set forth in the Receivership Order and any other Orders of this Court. IT IS SO STIPULATED. SO ORDERED. ( Responses due by 11/18/2022, Replies due by 12/2/2022.) (Signed by Judge Lewis A. Kaplan on 11/7/22) (yv)
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| Filing 111 PROPOSED STIPULATION AND ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Sherman, Scott) |
| Filing 110 STATUS REPORT. / Receiver's Second Quarterly Status Report To The Court Document filed by Receiver..(Weinick, Erik) |
| Filing 109 LETTER: addressed to Judge Lewis A. Kaplan from Brian Markley, Samson Enzer, Scott N. Sherman and Josh Lewin dated 6/23/2022 re: In response the application (Dkt. 62) filed June 21, 2022 by the Court-appointed receiver, Melanie L. Cyganowski, seeking the Court's authorization to retain Stout Risius Ross,LLC as financial advisor for the receiver, we respectfully submit this letter to inform Your Honor that our clients, the individual defendants, have no objection to the application being granted at this juncture in the proceedings, without prejudice to any objections that the individual defendants may make in the future to challenge the receiver's appointment or actions..(ama) |
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Filing 108
STIPULATION REGARDING INTERVENING PARTY UNITED STATES OF AMERICA'S MOTION FOR STAY OF DISCOVERY: Upon conferring, the Government, Plaintiff Securities and Exchange Commission ("SEC"), the Individual Defendants Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia and Eric D. Lachow (collectively, the "Individual Defendants") and Melanie L. Cyganowski in her capacity as Receiver (the "Receiver") for the Receivership Entities (as defined in the Consent Order Appointing Receiver [Dkt. No. 56] (the "Receivership Order")) stipulate as follows: Any responses to the Government's Motion to Stay, including the Individual Defendants' opposition, shall be filed on or before November 8, 2022; Any reply briefs in response to the Individual Defendants' opposition to the Government's Motion to Stay shall be filed on or before November 18, 2022; The SEC, Receiver, and Individual Defendants agree that written responses to thepending document requests and interrogatories shall be due, (a) if the Motion to Stay is granted, fourteen days after the Court orders discovery reopened or, (b) if the Motion to Stay is denied, seven days after the Court decides the Motion to Stay; and Nothing herein shall be construed to limit or otherwise modify the Receiver's powers, duties, and responsibilities as set forth in the Receivership Order and any other Orders of this Court. SO ORDERED., ( Responses due by 11/8/2022, Replies due by 11/18/2022.) (Signed by Judge Lewis A. Kaplan on 10/25/2022) (ama)
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Filing 107
ORDER granting #99 Letter Motion to Substitute Attorney. The letter motion of Brian T. Markley and Samson Aaron Enzer to withdraw as counsel for defendants Castillero, Lachow, Lanaia and Martinsen (Dkt 99) is granted. SO ORDERED. Attorney Samson Aaron Enzer and Brian T Markley terminated. (Signed by Judge Lewis A. Kaplan on 10/24/2022) (mml)
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| Filing 106 PROPOSED STIPULATION AND ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen..(Sherman, Scott) |
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Filing 105
ORDER granting #102 Motion to Intervene; granting #102 Motion to Stay re: #102 MOTION to Intervene . MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . The Court conferred with counsel on October 18, 2022. On consent of the parties, the motion of the United States for leave to intervene for the purpose of seeking a stay of proceedings in light of a pending criminal investigation is granted. All proceedings in this action are stayed pending further order of the Court. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 10/19/22) (yv)
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| Minute Entry for proceedings held before Judge Lewis A. Kaplan via video conference: Oral Argument held on 10/18/2022 re: #101 MOTION to Intervene . MOTION to Stay . filed by UNITED STATES OF AMERICA. (Court Reporter Andrew Walker) (Mohan, Andrew) |
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Filing 104
ORDER denying #103 Letter Motion to Adjourn Conference. Denied. (Signed by Judge Lewis A. Kaplan on 10/18/2022) (tro)
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| Filing 103 LETTER MOTION to Adjourn Conference addressed to Judge Lewis A. Kaplan from Scott N. Sherman, Esq. dated 10/18/22. Document filed by Michael A. Castillero, Francine A. Lanaia, Brian K. Martinsen. Return Date set for 10/18/2022 at 04:30 PM..(Sherman, Scott) |
| Filing 102 ***EX-PARTE*** MOTION to Intervene ., MOTION to Stay re: #101 MOTION to Intervene . MOTION to Stay . . Document filed by UNITED STATES OF AMERICA. (Attachments: #1 Exhibit Exhibit A (Proposed Order))Motion or Order to File Under Seal: #101 .(Nichols, Allison) |
| Filing 101 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Intervene ., MOTION to Stay . Document filed by UNITED STATES OF AMERICA. (Attachments: #1 Exhibit Exhibit A (Proposed Order)).(Nichols, Allison) Modified on 10/18/2022 (kj). |
| Filing 100 NOTICE OF APPEARANCE by Allison Carol Nichols on behalf of UNITED STATES OF AMERICA..(Nichols, Allison) |
| ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Allison Nichols to RE-FILE Document #101 MOTION to Intervene . MOTION to Stay .. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (Supporting Documents are found under the Event Type - Replies, Opposition and Supporting Documents;. (kj) |
| Filing 99 LETTER MOTION to Substitute Attorney. Old Attorney: Brian T. Markley and Samson Aaron Enzer, New Attorney: Scott Neal Sherman addressed to Judge Lewis A. Kaplan from Brian Markley dated October 5, 2022. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen..(Markley, Brian) |
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Filing 98
ORDER granting #92 Motion to Approve protocol etc. (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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| Filing 97 PROPOSED SCHEDULING ORDER. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
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Filing 96
ORDER granting #80 Motion to Approve approve retention of Berkeley (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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Filing 95
STIPULATION AND ORDER. IT IS STIPULATED by and among the Commission, the Individual Defendants, and the Receiver, through their respective undersigned counsel, and it is hereby ORDERED, as follows: The time to submit the proposed Rule 16(d) Order to the Court is hereby extended to September 9, 2022. If by September 9, 2022 the Parties do not agree on the form of a proposed Rule 16(d) Order, then the Commission, the Individual Defendants and the Receiver shall each submit a form of proposed Rule 16(d) Order for the Court's consideration on September 9, 2022, along with a cover letter of no more than two (2) pages explaining that Party's position with respect to the Party's proposed Rule 16(d) Order. SO ORDERED: (Signed by Judge Lewis A. Kaplan on 9/1/22) (yv)
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| Filing 94 PROPOSED STIPULATION AND ORDER. Document filed by Receiver..(Weinick, Erik) |
| Filing 93 DECLARATION of Melanie L. Cyganowski in Support re: #92 MOTION to Approve Order Adopting Protocols for Parties-in-Interest to be Heard on Motions by the Receiver .. Document filed by Receiver. (Attachments: #1 Text of Proposed Order Ex. A, #2 Exhibit Ex. B).(Weinick, Erik) |
| Filing 92 MOTION to Approve Order Adopting Protocols for Parties-in-Interest to be Heard on Motions by the Receiver . Document filed by Receiver..(Weinick, Erik) |
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Filing 91
MEMO ENDORSEMENT on re: #81 Letter status Update. ENDORSEMENT: The Court is sympathetic to the writers' concerns. Nevertheless, the matter appears to be much more complicated than they recognize and the Court has determined that a receiver and other professionals are warranted. Nor would a mediator properly be in a position to render legal advise to the writers. They would be well advised to consult a qualified attorney. Application denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/30/22) (yv)
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Filing 90
ORDER granting #79 Motion for Attorney Fees (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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Filing 89
ORDER granting #78 Motion for Attorney Fees (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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Filing 88
ORDER granting #77 Motion for Attorney Fees (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
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| ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Erik Weinick to RE-FILE Document #86 MOTION to Approve Order Adopting Protocols for Parties-in-Interest to be Heard on Motions by the Receiver .. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (Supporting Documents are found under the Event Type - Replies, Opposition and Supporting Documents; Use Declaration in Support of Motion found under the Event List. Only the Proposed Order and/or a Certificate of Service should be attached to this Motion. (kj) |
| Filing 87 RESPONSE re: #81 Letter addressed to Judge Lewis A. Kaplan from Erik B. Weinick dated August 29,2022 re: Response to Letter from Michael J. Black, Thomas K. Jamieson, and Timothy Healy Filed 8/16/22.. Document filed by Receiver..(Weinick, Erik) |
| Filing 86 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Approve Order Adopting Protocols for Parties-in-Interest to be Heard on Motions by the Receiver . Document filed by Receiver. (Attachments: #1 Exhibit Cyganowski Declaration, #2 Exhibit A- Proposed Order, #3 Exhibit B.).(Weinick, Erik) Modified on 8/30/2022 (kj). |
| Filing 85 STATUS REPORT. / The Receiver's First Quarterly Status Report to the Court Document filed by Receiver. (Attachments: #1 Exhibit A., #2 Exhibit B.).(Weinick, Erik) |
| Filing 84 ANSWER to #1 Complaint with JURY DEMAND. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen..(Markley, Brian) |
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Filing 83
ORDER granting #82 Letter Motion for Extension of Time to Answer re #82 LETTER MOTION for Extension of Time to File Answer re: #69 Stipulation and Order,, Set Deadlines, addressed to Judge Lewis A. Kaplan from Erik B. Weinick dated August 17, 2022., #1 Complaint. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/18/22) (yv)
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| Filing 82 LETTER MOTION for Extension of Time to File Answer re: #69 Stipulation and Order,, Set Deadlines, addressed to Judge Lewis A. Kaplan from Erik B. Weinick dated August 17, 2022. Document filed by Receiver..(Weinick, Erik) |
| Filing 81 LETTER addressed to Judge Lewis A. Kaplan from Michael J. Black, Thomas K. Jamieson, Timothy Healy dated 8/16/2022 re: Letter providing status Update..(ks) |
| Filing 80 MOTION to Approve Application to Approve the Retention of Berkeley Research Group, LLC Effective as of August 12, 2022 . Document filed by Receiver. (Attachments: #1 Exhibit Retention Application, #2 Exhibit A - Proposed Order, #3 Exhibit B-Calder Declaration).(Cyganowski, Melanie) |
| Filing 79 MOTION for Attorney Fees First Interim Application of Stretto, Inc.for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period June 16, 2022 Through and Including June 30, 2022. Document filed by Stretto, Inc.. (Attachments: #1 Exhibit A., #2 Exhibit B., #3 Exhibit C., #4 Exhibit D., #5 Exhibit E., #6 Exhibit Proposed Order).(Weinick, Erik) |
| Filing 78 MOTION for Attorney Fees First Interim Application of Stout Risius Ross, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period June 14, 2022 Through and Including June 30, 2022. Document filed by Stout Risius Ross,LLC. (Attachments: #1 Exhibit A., #2 Exhibit B., #3 Exhibit C., #4 Exhibit D., #5 Exhibit E., #6 Exhibit F., #7 Exhibit Proposed Order).(Weinick, Erik) |
| Filing 77 MOTION for Attorney Fees First Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period June 14, 2022 Through and Including June 30, 2022. Document filed by Receiver, Otterbourg P.C.. (Attachments: #1 Exhibit A-SFAR, #2 Exhibit B- Fee Schedule by Professional, #3 Exhibit C- Fees by Project Code, #4 Exhibit D- Receiver Time Records, #5 Exhibit E - Otterbourg Time Records, #6 Exhibit F - Expense Summary, #7 Exhibit G - Otterbourg Expenses Records, #8 Exhibit H - Certification, #9 Exhibit Proposed Order).(Weinick, Erik) |
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Filing 76
STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material..., Motions terminated: #28 LETTER MOTION for Discovery Protective Order addressed to Judge Lewis A. Kaplan from Philip A. Fortino dated May 23, 2022. filed by Securities and Exchange Commission. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/9/22) (yv)
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| Filing 75 PROPOSED PROTECTIVE ORDER. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
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Filing 74
ORDER granting #73 Letter Motion for Extension of Time. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 7/20/22) (yv)
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| Filing 73 LETTER MOTION for Extension of Time /Adjournment of Deadline for First Quarterly Status Report addressed to Judge Lewis A. Kaplan from Erik B. Weinick dated July 19, 2022. Document filed by Receiver..(Weinick, Erik) |
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Filing 72
ORDER APPROVING THE RETENTION OF STRETTO, INC granting #64 Motion to Approve. NOW, THEREFORE, based upon the Application and all of the proceedings before this Court, and after due deliberation and sufficient cause appearing therefor, and no objection to the Application having been raised, it is hereby: ORDERED, that the Application is granted, and, pursuant to the Application, the Receiver is authorized to employ Stretto effective as of June 16, 2022; and it is further ORDERED, that Stretto shall be compensated for such services, and the reasonable expenses and costs it incurs in providing such services shall be reimbursed, in accordance with the Receiver Order, as it may be amended, any other applicable Orders of the Court, and the SEC Receivership Billing Instructions; and it is further ORDERED that the Clerk terminate 64, and ORDERED that the Court shall retain jurisdiction to hear and determine all matters arising from the implementation of this order. SO ORDERED.. (Signed by Judge Lewis A. Kaplan on 7/14/2022) (ks)
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Filing 71
ORDER APPROVING THE RECEIVER'S RETENTION OF STOUT RISIUS ROSS, LLC granting #62 Motion to Approve. It is hereby ORDERED, that the Application is granted, and, pursuant to the Application, the Receiver is authorized to employ Stout, effective as of June 14, 2022, the date on which the Receiver was appointed; and it is further ORDERED, that Stout shall be compensated for such services, and the reasonable expenses and costs it incurs in providing such services shall be reimbursed, in accordance with the Receiver Order, as it may be amended, any other applicable Orders of the Court, and the SEC Receivership Billing Instructions; and it is further ORDERED that the Clerk terminate Dkt. 62, and ORDERED that the Court shall retain jurisdiction to hear and determine all matters arising from the implementation of this Order. SO ORDERED.. (Signed by Judge Lewis A. Kaplan on 7/14/2022) (ks)
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| Filing 70 STATUS REPORT. / The Receiver's Initial Status Report to the Court Document filed by Receiver..(Weinick, Erik) |
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Filing 69
STIPULATION AND ORDER, It is hereby ORDERED as follows: 1. The deadline for defendants' answers to plaintiff's complaint shall be August 19, 2022. 2. The parties shall submit a proposed scheduling order to the Court pursuant to Federal Rule of Civil Procedure 16(d) by September 2, 2022. SO ORDERED: (All Defendants.) (Signed by Judge Lewis A. Kaplan on 7/5/22) (yv)
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| Filing 68 PROPOSED STIPULATION AND ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen..(Enzer, Samson) |
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Filing 67
ORDER APPROVING THE RETENTION OF OTTERBOURG P.C. granting #58 Motion to Approve the Retention of Otterbourg P.C. It is hereby: ORDERED, that the Application is granted, and, pursuant to the Application, the Receiver is authorized to employ Otterbourg, effective as of June 14, 2022, the date on which the Receiver was appointed; and it is further ORDERED, that Otterbourg shall be compensated for such services, and the reasonable expenses and costs it incurs in providing such services shall be reimbursed, in accordance with the Receiver Order, as it may be amended, any other applicable Orders of the Court, and the SEC Receivership Billing Instructions; and it is further ORDERED, that the Court shall retain jurisdiction to hear and determine all matters arising from the implementation of this Order. The Clerk shall terminate Dkt. 58. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/27/22) (yv)
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Filing 66
ORDER granting #65 Letter Motion for Extension of Time. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/27/2022) (vfr)
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| Filing 65 LETTER MOTION for Extension of Time to provide the verified accountings required by the PI Order and Receiver Order. addressed to Judge Lewis A. Kaplan from Scott N. Sherman dated June 24, 2022. Document filed by Michael A. Castillero, Francine A. Lanaia, Brian K. Martinsen..(Enzer, Samson) |
| Filing 64 MOTION to Approve Application to Approve the Retention of Stretto, Inc. Effective as of June 16, 2022 . Document filed by Receiver. (Attachments: #1 Exhibit Application to Retain, #2 Exhibit A.-Proposed Order, #3 Exhibit B- Klamser Declaration).(Cyganowski, Melanie) |
| Filing 63 RESPONSE in Support of Motion re: #58 MOTION to Approve Application to Approve the Retention of Otterbourg P.C. Effective as of the Appointment Date . / Supplemental Disclosure of Otterbourg P.C. in Support of Receiver's Application to Retain Otterbourg P.C. Effective As Of The Appointment Date. Document filed by Proposed Counsel for Melanie L. Cyganowski, as Court-Appointed Receiver..(Weinick, Erik) |
| Filing 62 MOTION to Approve Application to Approve the Retention of Stout Risius, Ross LLC Effective as of the Appointment Date . Document filed by Receiver. (Attachments: #1 Exhibit Exhibit A Proposed Order, #2 Exhibit Exhibit B Cohen Declaration, #3 Exhibit Application of Stout Risius, Ross LLC).(Cyganowski, Melanie) |
| Filing 61 LETTER addressed to Judge Lewis A. Kaplan from Brian Markley, Samson Enzer, Scott N. Sherman and Josh Lewin dated 6/16/2022 re: In response to the application (dkt. 58) filed yesterday by the Court-appointed receiver, Melanie L. Cyganowski, seeking the Court's authorization to retain her law firm as receiver's counsel in this case, we respectfully submit this letter to inform Your Honor that our clients, the individual defendants, have no objection to the application being granted at this juncture in the proceedings, without prejudice to any objections that the individual defendants may make in the future to challenge the receiver's appointment or actions. (mml) |
| Filing 60 NOTICE OF APPEARANCE by Erik Bradley Weinick on behalf of Proposed Counsel for Melanie L. Cyganowski, as Court-Appointed Receiver..(Weinick, Erik) |
| Filing 59 NOTICE OF APPEARANCE by Melanie L. Cyganowski on behalf of Court-Appointed Receiver..(Cyganowski, Melanie) |
| Filing 58 MOTION to Approve Application to Approve the Retention of Otterbourg P.C. Effective as of the Appointment Date . Document filed by Receiver. (Attachments: #1 Exhibit Application to Approve the Retention of Otterbourg P.C. Effective as of the Appointment Date, #2 Exhibit Proposed Order, #3 Exhibit Declaration of Erik B. Weinick in Support of the Receiver's Application for Order Approving the Retention of Otterbourg P.C. Effective as of the Appointments Date).(Cyganowski, Melanie) |
| Filing 57 LETTER addressed to Judge Lewis A. Kaplan from Scott N. Sherman dated 6/13/2022 re: whether to appoint Judge Cyganowski as receiver over the Straight Path Fund Manager and Funds in this case..(rro) |
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Filing 56
CONSENT ORDER APPOINTING RECEIVER: ACCORDINGLY, IT IS HEREBY ORDERED THAT: I. Marshalling of Receivership Assets. This Court hereby takes exclusive jurisdiction and possession of the assets, of whatever kind and wherever situated, of the Receivership Entities. As further set forth by this Order. II. Appointment of the Receiver. Until further Order of this Court, Melanie L. Cyganowski is hereby appointed to serve without bond as receiver (the "Receiver") for the estate of the Receivership Entities (collectively, the "Receivership Estate"). As further set forth by this Order. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/14/2022) (tg)
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Filing 55
STIPULATION AND CONSENT ORDER IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF: NOW THEREFORE: IT IS HEREBY ORDERED that, pending final disposition of this action, Defendants are restrained and enjoined from violating Securities Act Section 17(a) [15 U.S.C. 77q(a)], in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly: IT IS FURTHER ORDERED that, Melanie L. Cyganowski, until further Order of this Court, be and hereby is appointed to act as Receiver (the "Receiver") for the SP Fund Manager, the SP Adviser, the SP Funds, and the Escrow Funds, as defined in Section VIII below (collectively, the "Receivership Estate"), subject to all of the terms and conditions set forth in the Consent Order Appointing Receiver entered herewith ("Receiver Order"). IT IS FURTHER ORDERED that Martinsen, Castillero, and Lanaia shall pay $15,000,000, plus the remainder of the unused retainer funds that Martinsen provided to Nardella & Co. on or about May 9, 2022, which is at least $150,000 (collectively, the "Escrow Funds"), into a segregated interest-bearing account established by and under the control of the Receiver. Martinsen, Castillero, and Lanaia shall pay the Escrow Funds within five business days of the Receiver's appointment or the unfreezing of the personal financial accounts (bank and brokerage) identified in Exhibit C to the Receiver Order (whichever is later), except that up to $2,100,000 may be paid later, as set forth in Section IX below. The Escrow Funds shall be subject to all of the terms and conditions set forth in the Receiver Order. The Receiver may direct up to $1,150,000 of the Escrow Funds to a segregated operating account to be used for fees and expenses associated with the operation of the receivership (such as, for example, fees to compensate the Receiver and persons and entities retained to assist the Receiver), subject to the terms of the Receiver Order; the other Escrow Funds shall not be available to fund operating expenses. IT IS FURTHER ORDERED that the TRO is hereby vacated and replaced with this Order and the Receiver Order. Accordingly, the personal asset freeze imposed by the TRO on Martinsen, Castillero, and Lanaia is hereby lifted, subject to the restraints on their real estate assets set forth in Section IX, above. As further set forth by this Order. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/14/2022) (tg) Transmission to Finance Unit (Cashiers) for processing.
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| Filing 54 LETTER addressed to Judge Lewis A. Kaplan from Melanie L. Cyganowski dated 6/13/2022 re: Let me begin by expressing my gratitude to the Court and the parties for continuing to consider my candidacy to serve as the receiver in this matter. Document filed by Melanie L. Cyganowski.(tg) |
| Filing 53 LETTER addressed to Judge Lewis A. Kaplan from Melanie L. Cyganowski dated 6/14/2022 re: As a follow-up to my letter of June 13, 2022, and in response to Your Honor's e-mail of June 14, 2022. Document filed by Melanie L. Cyganowski.(tg) |
| Filing 52 LETTER addressed to Judge Lewis A. Kaplan from Scott N. Sherman dated June 10, 2022 re: Responding to the Court's Request for the Parties' Positions on the Appointment of a Receiver. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Enzer, Samson) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #49 MOTION for Joshua R. Lewin to Appear Pro Hac Vice Receipt # ANYSDC - 26176874. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sgz) |
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Filing 51
MEMO ENDORSEMENT granting #49 MOTION for Joshua R. Lewin to Appear Pro Hac Vice. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/6/2022) (jca)
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Filing 50
ORDER. The Court is considering for appointment as receiver Hon. Melanie Cyganowski, former Chief Judge of the United States Bankruptcy Court for the Eastern District of New York and now a member of the firm Otterbourg P.C. A copy of her resume is attached.Any objections to the appointment of Judge Cyganowski shall be filed on or before June 10, 2022. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/6/22) (yv)
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| Filing 49 MOTION for Joshua R. Lewin to Appear Pro Hac Vice Receipt # ANYSDC - 26176874. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Affidavit of Joshua R. Lewin, #2 Exhibit A - Certificate of Good Standing - Georgia, #3 Exhibit B - Certificate of Good Standing - Florida, #4 Text of Proposed Order Proposed Order).(Markley, Brian) Modified on 6/7/2022 (sgz). |
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Filing 48
CONSENT ORDER PERMITTING SALE OF DEFENDANT CASTILLERO'S PROPERTY. IT IS HEREBY ORDERED THAT: 1. The Property is unfrozen and Castillero may proceed with the sale of the Property. 2. The net proceeds of the Property sale shall be placed in Mr. Castillero's Bank of America account ending in x576 and remain frozen until the Court enters the PI Order. 3. Upon entry of the PI Order and receipt by Castillero of wire/ACH instructions for the Escrow Funds from the appointed Receiver, Castillero shall contribute the net proceeds of the Property sale to the Escrow Funds. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/2/22) (yv)
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| Filing 47 PROPOSED CONSENT ORDER. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Markley, Brian) |
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Filing 46
ORDER. The parties have submitted proposed consent orders imposing a preliminary injunction, granting other relief, and appointing a receiver. The parties are to notify the Court promptly whether any of them intends to propose candidates for the position of receiver and, if so, shall provide the Court with appropriate information concerning the qualifications of any candidates as well as the economic terms on which any proposes to serve. If none of the parties intends to propose any candidates, the Court shall be notified no later than tomorrow. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/1/22) (yv)
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| Filing 45 PROPOSED CONSENT ORDER. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C).(Fortino, Philip) |
| Filing 44 PROPOSED CONSENT ORDER. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A).(Fortino, Philip) |
| Filing 43 WAIVER OF SERVICE RETURNED EXECUTED. Straightpath Venture Partners, LLC waiver sent on 5/25/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 42 WAIVER OF SERVICE RETURNED EXECUTED. Straightpath Management, LLC waiver sent on 5/26/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 41 WAIVER OF SERVICE RETURNED EXECUTED. Eric D. Lachow waiver sent on 5/26/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 40 WAIVER OF SERVICE RETURNED EXECUTED. Francine A. Lanaia waiver sent on 5/26/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 39 WAIVER OF SERVICE RETURNED EXECUTED. Michael A. Castillero waiver sent on 5/26/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 38 WAIVER OF SERVICE RETURNED EXECUTED. Brian K. Martinsen waiver sent on 5/26/2022, answer due 7/25/2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
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Filing 37
ORDER granting #36 Letter Motion to Adjourn Conference; granting #36 Letter Motion for Extension of Time to File Response/Reply re #36 JOINT LETTER MOTION to Adjourn Conference on Order to Show Cause in light of resolution in principle addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 26, 2022.JOINT LETTER MOTION for Extension of Time to File Response/Reply as to #33 Order on Motion to Adjourn Conference, Order on Motion for Extension of Time to File Response/Reply, addressed to Judge Lewis A. Kaplan from Plaintiff. Granted. The existing order remains in effect until further order of the Court.. (Signed by Judge Lewis A. Kaplan on 5/26/2022) (jca)
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| Filing 36 JOINT LETTER MOTION to Adjourn Conference on Order to Show Cause in light of resolution in principle addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 26, 2022., JOINT LETTER MOTION for Extension of Time to File Response/Reply as to #33 Order on Motion to Adjourn Conference,,,,, Order on Motion for Extension of Time to File Response/Reply,,,, addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 26, 2022. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
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Filing 35
ENDORSED LETTER addressed to Judge Lewis A. Kaplan dated 5/23/22 re: request permission to convert the Order to Show Cause hearing scheduled for May 26, 2022, to a virtual hearing in light of a COVID-related issue and (2) to seek clarification as to whether the Court intends to hold an evidentiary hearing on May 26 or simply oral argument. ENDORSEMENT: The Commission's reliance, as a predicate for the drawing of adverse inferences, on the fact that the defendants have executed or agreed to execute declarations in which they assert their Fifth Amendment privilege in lieu of appearing for depositions is misplaced. While it often is appropriate to draw adverse inferences in a civil case from an invocation of the privilege in response to particular questions, a "blanket claim of Constitutional privilege" is "impermissible." Est. of Fisher v. Comm 'r, 905 F.2d 645,649 (2d Cir. 1990). Accordingly, the Court will not draw adverse inferences from such blanket claims as reportedly have been or will be made here. United States v. Mount Sinai Hosp., 256 F. Supp. 3d 443, 456 n.10 (S.D.N.Y. 2017). To be sure, the Commission could seek an evidentiary hearing, call the defendants as witnesses, put particular questions to them, thus putting them to the choice of invoking the Fifth Amendment or answering, and seek an adverse inference with respect to any matters as to which they may invoke. But that is very likely to prove a waste of time, as the defendants could be put to the same choice at depositions in advance of the hearing of the motion. The Court therefore directs the Commission either to depose any of the defendants against whom it may wish to seek an adverse inference from any invocation of the privilege or proceed with the pending motion without the benefit of adverse inferences. See Fed. R. Evid. 611 (a)(2) (court empowered to exercise reasonable control over the presentation of evidence to avoid wasting time). 2. The Court declines now to determine whether an evidentiary hearing is necessary. Accordingly, the Commission's request for clarification on that point is denied without prejudice to renewal after the submission of further papers. Moreover, its request for a hybrid hearing on May 26, 2022 has been mooted by the adjournment until June 1, 2022. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/25/22) (yv)
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| Filing 34 LETTER addressed to Judge Lewis A. Kaplan from Brian Markley and Samson Enzer dated 5/23/22 re: request that they be permitted to appear in person, regardless of whether the SEC appears virtually. Document filed by Straightpath Management, LLC, Straightpath Venture Partners, LLC.(yv) |
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Filing 33
ORDER granting #32 Letter Motion to Adjourn Conference; granting #32 Letter Motion for Extension of Time to File Response/Reply re #32 JOINT LETTER MOTION to Adjourn Conference on Order to Show Cause addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 24, 2022.JOINT LETTER MOTION for Extension of Time to File Response/Reply as to #16 Order to Show Cause,,,,,,,,,,,,,,,,,, Set Deadlines,,,,,,,,,,,,,,,,, #29 Order on Motion for Discovery, addressed to Judge Lewis A. Kaplan from Plaintiff Secur The argument is adjourned until June 1, 2022 at 3pm. The deadlines are extended as requested. The temporary restraining Order and Order freezing assess and certain other relief shall remain in effect, on consent, pending the determination of the motion for a preliminary injunction and other relief. SO ORDERED.. (Signed by Judge Lewis A. Kaplan on 5/24/2022) ( Show Cause Hearing set for 6/1/2022 at 03:00 PM before Judge Lewis A. Kaplan., Replies due by 5/27/2022.) (ks)
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| Filing 32 JOINT LETTER MOTION to Adjourn Conference on Order to Show Cause addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 24, 2022., JOINT LETTER MOTION for Extension of Time to File Response/Reply as to #16 Order to Show Cause,,,,,,,,,,,,,,,,,, Set Deadlines,,,,,,,,,,,,,,,,, #29 Order on Motion for Discovery, addressed to Judge Lewis A. Kaplan from Plaintiff Securities and Exchange Commission dated May 24, 2022. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #27 MOTION for Joshua R. Lewin to Appear Pro Hac Vice (Receipt No. ANYSDC-26176874). Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Proposed Order; Wet Signature Needed On Motion;. 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.. (sgz) |
| Filing 31 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/13/22 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) |
| Filing 30 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/13/2022 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Raquel Robles, (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 6/13/2022. Redacted Transcript Deadline set for 6/23/2022. Release of Transcript Restriction set for 8/22/2022..(Moya, Goretti) |
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Filing 29
ORDER with respect to #28 Letter Motion for Discovery. The deposition is stayed pending determination of this motion. Defendants' opposing papers shall be filed no later than close of business 5/25/2022. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/23/2022) (tg)
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| Filing 28 LETTER MOTION for Discovery Protective Order addressed to Judge Lewis A. Kaplan from Philip A. Fortino dated May 23, 2022. Document filed by Securities and Exchange Commission..(Fortino, Philip) |
| Filing 27 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Joshua R. Lewin to Appear Pro Hac Vice (Receipt No. ANYSDC-26176874). Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Affidavit Joshua R. Lewin Affidavit in Support of Pro Hac Vice Application, #2 Exhibit A - Certificate of Good Standing, Georgia, #3 Exhibit B - Certificate of Good Standing, Florida).(Markley, Brian) Modified on 5/24/2022 (sgz). |
| Filing 26 LETTER MOTION to Compel the SEC to respond to two Document Requests addressed to Judge Lewis A. Kaplan from Samson Enzer and Brian Markley dated May 23, 2022. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Affidavit Declaration of Good Faith Attempts, #2 Exhibit 1 - Excerpted Responses and Objections).(Enzer, Samson) |
| Set/Reset Deadlines: Responses due by 5/25/2022 (tg) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #22 Affidavit in Support of Motion,, #21 MOTION for Joshua R. Lewin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26176874. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Affidavit Missing Courts Admitted To;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF under the same Motion to Appear Pro Hac Vice and include the Courts you are admitted to in the Affidavit - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (sgz) |
| Filing 25 MEMORANDUM OF LAW in Opposition re: #5 EMERGENCY MOTION for Temporary Restraining Order . . Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Markley, Brian) |
| Filing 24 DECLARATION of Brian Markley in Opposition re: #5 EMERGENCY MOTION for Temporary Restraining Order .. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Exhibit 1 - Amended Order Appointing Monitor).(Markley, Brian) |
| Filing 23 DECLARATION of Scott N. Sherman in Opposition re: #5 EMERGENCY MOTION for Temporary Restraining Order .. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Exhibit 1 - Letter to SEC from Straightpath, #2 Exhibit 2 - Copy of Communications referred to in presentation, #3 Exhibit 3 - Correspondence, #4 Exhibit 4 - Press Release, #5 Exhibit 5 - Deposition Transcript, #6 Exhibit 6 - Charts).(Markley, Brian) |
| Filing 22 AFFIDAVIT of Joshua R. Lewin in Support re: #21 MOTION for Joshua R. Lewin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26176874. Motion and supporting papers to be reviewed by Clerk's Office staff.. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Exhibit A - Certificate of Good Standing, Georgia, #2 Exhibit B - Certificate of Good Standing - Florida, #3 Text of Proposed Order Proposed Order).(Markley, Brian) |
| Filing 21 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Joshua R. Lewin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26176874. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Markley, Brian) Modified on 5/23/2022 (sgz). |
| Filing 20 NOTICE OF APPEARANCE by Scott Neal Sherman on behalf of Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Sherman, Scott) |
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Filing 19
MEMO ENDORSED ORDER granting #17 Motion for Scott N. Sherman to Appear Pro Hac Vice. ENDORSEMENT: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 5/18/22) (yv)
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| Dial-In Information: The 5/26/2022 show cause hearing has been adjourned to a new date of 6/1/22 at 3:00 PM in person. Audio access is available by dial-in for the public, press, and non-participating counsel. The dial-in number is 1-888-363-4749 and enter conference code 7664205#. It is prohibited by Court rules for listeners to record or re-broadcast the hearing in whole or in part. (Mohan, Andrew) Modified on 5/25/2022 (Mohan, Andrew). |
| Filing 18 AFFIDAVIT of Scott N. Sherman in Support re: #17 MOTION for Scott N. Sherman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26157272. Motion and supporting papers to be reviewed by Clerk's Office staff.. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. (Attachments: #1 Exhibit A - Certificate of Good Standing, Georgia, #2 Exhibit B - Certificate of Good Standing - Florida, #3 Exhibit C - Certificate of Good Standing - DC, #4 Exhibit D - Certificate of Good Standing - Virginia, #5 Text of Proposed Order Proposed Order).(Markley, Brian) |
| Filing 17 MOTION for Scott N. Sherman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26157272. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Markley, Brian) |
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Filing 16
ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING ASSETS, AND GRANTING OTHER RELIEF: The Court has considered (1) the Complaint filed by Plaintiff on May 13, 2022; (2) the Declaration of Douglas Smith filed on May 13, 2022, and the exhibits thereto; (3) the Declaration of Megan Genet filed on May 13, 2022, and the exhibits thereto; (4) the Local Civil Rule 6.1(d) Declaration of Steven Rawlings filed on May 13, 2022; and (5) Plaintiffs Memorandum of Law in Support of its Emergency Application for an Order to Show Cause, Temporary Restraining Order, Preliminary Injunction, Asses Freeze, Receiver, and Other Relief, filed on May 13, 2022 as well as defendant's written submission and oral argument. NOW, THEREFORE, IT IS HEREBY ORDERED that Defendants show cause, if there be any, to this Court at 3:00p.m. on the 26th of May 2022, in Room 21B of the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, NY 10007, why this Court should not enter an Order pursuant to Rule 65 of the Federal Rules of Civil Procedure, Securities Act Section 20(b), Exchange Act Section 21(d)(1), and Advisers Act Section 209 preliminarily enjoining Defendants from Securities Act Sections S(a), S(c) and 17(a); Exchange Act Sections 10(b) and 15(a) and Rule 106-5 thereunder; and Advise.rs Act Section 206 and Rule 206(4)-8 thereunder. IT IS FURTHER ORDERED that the SP Fund Manager, the SP Adviser, Martinsen, Castillero, and Lanaia show cause at that time why this Court should not also enter an Order appointing Receiver for the Receivership Entities and over the Individual assets. As further set forth in this order. IT IS FURTHER ORDERED that, pending a hearing and determination of Plaintiffs application for a preliminary injunction, all banks, brokerage and other financial institutions and other persons or entities which receive actual notice of this Order by personal service or otherwise, including facsimile transmissions, electronic mail, or overnight delivery service, holding any funds or other assets in the name, for the direct or indirect benefit, or under the direct or indirect control of the SP Fund Manager, the SP Adviser, Martinsen, Castillero, and Lanaia or over which they exercise actual or apparent investment or other authority (including assets in the name of the SP Fund Manager, the SP Adviser, Martinsen, Castillero, and Lanaia), in whatever form such assets may presently exist and wherever located including but not limited to all such funds held in the accounts listed in Exhibit A and which active consent and participation where any of the SP Fund Manager, The SP Adviser, Martinsen, Castillero, and Lanaia, sale, As further set forth in this order. IT IS FURTHER ORDERED that discovery in advance of a hearing on Plaintiffs application for a preliminary injunction is expedited as follows: pursuant to Rules 26, 30, 31, 33, 34, 36 and 45 of the Federal Rules of Civil Procedure, and without the requirement of a meeting pursuant to Fed. R. Civ. P. 26(f), the parties and the Receiver may: (1) Take depositions, subject to two calendar days; notice by facsimile, email or otherwise, (2) Obtain the production of documents, within three calendar days from service by facsimile, email, or otherwise of a request or subpoena from any persons or entities, including non-party witnesses; As further set forth in this Order. IT IS FURTHER ORDERED that Defendants shall file any opposing papers in response to this Order to Show Cause above no later than May 20, 2022. Service shall be made either by ECF or by email on Plaintiff's counsel. Plaintiff shall have until May 25, 2022 to file any reply papers upon Defendants, or upon their counsel, if counsel shall have made an appearance in this action. IT IS FURTHER ORDERED that this Order shall be, and is, binding upon Defendants, and each of their respective officers, agents, servants, employees, attorneys-in-fact, subsidiaries, affiliates and those persons in active concert or participation with them who receive actual notice of this Order by personal service, facsimile service, or otherwise. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/13/2022) ( Show Cause Hearing set for 5/26/2022 at 03:00 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.), ( Replies due by 5/25/2022.) Show Cause Response due by 5/20/2022. (ks)
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| Filing 15 RESPONSE in Opposition to Motion re: #5 EMERGENCY MOTION for Temporary Restraining Order . . Document filed by Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Enzer, Samson) |
| Filing 14 NOTICE OF APPEARANCE by Brian T Markley on behalf of Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Markley, Brian) |
| Filing 13 NOTICE OF APPEARANCE by Samson Aaron Enzer on behalf of Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC..(Enzer, Samson) |
| Filing 12 DECLARATION of Megan Genet in Support re: #5 EMERGENCY MOTION for Temporary Restraining Order .. 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, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33, #34 Exhibit 34, #35 Exhibit 35, #36 Exhibit 36, #37 Exhibit 37, #38 Exhibit 38, #39 Exhibit 39).(Greenwood, Lee) |
| Filing 11 DECLARATION of Debbie Chan in Support re: #5 EMERGENCY MOTION for Temporary Restraining Order .. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
| Filing 10 DECLARATION of Douglas J. Smith in Support re: #5 EMERGENCY MOTION for Temporary Restraining Order .. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Summary of Amounts Raised, #2 Exhibit Amounts Raised & Refunded, #3 Exhibit Summary of Shortfalls, #4 Exhibit Shortfall Details, #5 Exhibit Summary of Commingling, #6 Exhibit Summary of Payments to Principals, #7 Exhibit Payments to Principals (Detail), #8 Exhibit Average Markups, #9 Exhibit Summary of Bank Account Balances, #10 Exhibit Summary of Amounts Sent for Pre-IPO Shares).(Greenwood, Lee) |
| Filing 9 DECLARATION of Steven G. Rawlings in Support re: #5 EMERGENCY MOTION for Temporary Restraining Order .. Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
| Filing 8 MEMORANDUM OF LAW in Support re: #5 EMERGENCY MOTION for Temporary Restraining Order . . Document filed by Securities and Exchange Commission..(Greenwood, Lee) |
| Filing 7 PROPOSED ORDER. Document filed by Securities and Exchange Commission. Related Document Number: #5 ..(Greenwood, Lee) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 6 PROPOSED ORDER TO SHOW CAUSE WITH EMERGENCY RELIEF. Document filed by Securities and Exchange Commission. Related Document Number: #5 ..(Greenwood, Lee) Proposed Order to Show Cause to be reviewed by Clerk's Office staff. |
| Filing 5 EMERGENCY MOTION for Temporary Restraining Order . Document filed by Securities and Exchange Commission..(Greenwood, Lee) (Refer to ECF Rule 13.19(b) and (c) for directions regarding promptly alerting the court to this filing.) |
| Filing 4 CIVIL COVER SHEET filed..(Fortino, Philip) |
| Filing 3 NOTICE OF APPEARANCE by Lee Attix Greenwood on behalf of Securities and Exchange Commission..(Greenwood, Lee) |
| Filing 2 NOTICE OF APPEARANCE by Philip Andrew Fortino on behalf of Securities and Exchange Commission..(Fortino, Philip) |
| Filing 1 COMPLAINT against Michael A. Castillero, Eric D. Lachow, Francine A. Lanaia, Brian K. Martinsen, Straightpath Management, LLC, Straightpath Venture Partners, LLC. Document filed by Securities and Exchange Commission..(Mehraban, Lara) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lewis A. Kaplan. 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..(vf) |
| 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. (vf) |
| Case Designated ECF. (vf) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER TO SHOW CAUSE WITH EMERGENCY RELIEF. Document No. #6 Proposed Order to Show Cause With Emergency Relief, was reviewed and approved as to form. (nd) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #7 Proposed Order was reviewed and approved as to form. (nd) |
| Oral Argument set for 5/13/2022 at 03:00 PM before Judge Lewis A. Kaplan via video-conference. Counsel of record have been emailed invites to join the video-conference. Public and press may dial in to listen. Listeners are asked to mute their phones upon joining. Participants and listeners are reminded that recording or re-broadcasting of the conference in whole or in part is prohibited by Court rules. +1 917-933-2166 Phone Conference ID: 503 341 343# (Mohan, Andrew) |
| Minute Entry for proceedings held before Judge Lewis A. Kaplan via video-conference: Oral Argument held on 5/13/2022 re: #5 EMERGENCY MOTION for Temporary Restraining Order . filed by Securities and Exchange Commission. (Court Reporter Raquel Robles) (Mohan, Andrew) |
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