pdf_icon 555 12/13/2012 MEMORANDUM-DECISION AND ORDER re: [554] Sealed Third Application for Attorney’s Fees and Costs filed by David L. Smith. For the reasons stated herein, it is hereby: 1. ORDERED, that Dreyer Boyajian LLP’s Third Application for compensation for legal services rendered between November 1, 2012 and November 30, 2012 in the amount of $58,947.50 is approved; and 2. ORDERED, that the application by Dreyer Boyajian LLP for reimbursement of costs expended between November 1, 2012 and November 30, 2012 in the amount of $6,474.13 is approved; and 3. ORDERED, that Dreyer Boyajian LLP may make further applications as deemed appropriate; and 4. ORDERED, that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 12/12/2012. (sg )
554 12/13/2012 SEALED Third Application for Attorney’s Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directives contained in the Memorandum-Decision and Orders of Magistrate Judge David R. Homer dated 4/4/2012 and June 20, 2012). Submitted to Magistrate Judge Christian F. Hummel. (sg )
pdf_icon 553 11/29/2012 Non-Party Letter from Fern and Shirley Reindollar. (mgh)
552 11/29/2012 TRANSCRIPT of Proceedings: In-Court Conference held on November 16, 2012 before Judge Christian F. Hummel, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/12/2012. Redacted Transcript Deadline set for 12/24/2012. Release of Transcript Restriction set for 2/19/2013. Notice of Intent to Redact due by 11/26/2012 ( tjc, )
pdf_icon 551 11/16/2012 ORDER approving [544] MOTION OF WILLIAM J. BROWN, AS RECEIVER, FOR AN ORDER APPROVING SETTLEMENT WITH SETON HEALTH SYSTEM, INC. WITH RESPECT TO A CERTAIN GROUND LEASE (SETON HALL ASSOCIATES). ORDERED, that the Receiver’s termination and surrender of the Ground Lease and the transfer of the improvements and buildings on the Premises including all equipment and building maintenance equipment owned bySeton Hall Associates shall be transferred to Seton Health System, Inc. or its nominee without recourse, representation or warranty all in accordance with the Agreement. Signed by Magistrate Judge Christian F. Hummel on 11/16/2012. (mgh)
pdf_icon 550 11/14/2012 MEMORANDUM-DECISION AND ORDER re: [549] Sealed Second Application for Attorney’s Fees and Costs filed by David L. Smith. For the reasons stated herein, it is hereby: 1. ORDERED, that Dreyer Boyajian LLP’s Second Application for compensation for legal services rendered between September 25, 2012 and October 31, 2012 in the amount of $42,254.65 is approved; and 2. ORDERED, that the application by Dreyer Boyajian LLP for reimbursement of costs expended between September 25, 2012 and October 31, 2012 in the amount of $888.39 is approved; and 3. ORDERED, that the application by Dreyer Boyajian LLP for an advance disbursement of $35,000.00 for expert witness retainer fees is approved; and 4. ORDERED, that Dreyer Boyajian LLP may make further applications as deemed appropriate; and 5. ORDERED, that Dreyer Boyajian LLP is authorized to make the payments allowed pursuant to this Order. Signed by Magistrate Judge Christian F. Hummel on 11/14/2012. (sg )
549 11/14/2012 [TEXT ONLY] SEALED Second Application for Attorney’s Fees and Costs filed by David L. Smith. (Filed under Seal pursuant to the directive contained in the Memorandum-Decision and Order of Magistrate Judge David R. Homer dated 4/4/2012.). (sg )
pdf_icon 548 11/14/2012 MEMORANDUM-DECISION AND ORDER re [547] Sealed First Application for Attorney’s Fees and Costs filed by Timothy M. McGinn. For the reasons stated herein, it is hereby: 1. ORDERED, that E. Stewart Jones PLLC’s First Application for partial compensation for legal services rendered between August 3, 2012 and November 6, 2012 in the amount of $28,601.93 is approved; and 2. ORDERED, that the application of E. Stewart Jones PLLC for reimbursement of costs in the amount of $12,313.73 is approved; and 3. ORDERED, that in the event additional income is generated by the liquidation of Mr. McGinn’s assets, E. Stewart Jones PLLC may make further applications as deemed appropriate. Signed by Magistrate Judge Christian F. Hummel on 11/13/2012. (sg )
547 11/14/2012 TEXT ONLY - SEALED First Application for Attorney’s Fees and Costs filed by Timothy M. McGinn. (Filed under Seal pursuant to the directive contained in the [478] Memorandum-Decision and Order of Magistrate Judge David R. Homer dated 4/4/2012. (sg )
pdf_icon 546 11/6/2012 ORDER approving [545] Letter Brief Requesting a Hearing Date: [544] MOTION Order Approving Settlement With Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates). Motion Hearing is set for 11/16/2012 11:00 AM in Albany before Magistrate Judge Christian F. Hummel Signed by Magistrate Judge Christian F. Hummel on 11/5/2012. (mgh)
pdf_icon 545 11/2/2012 LETTER BRIEF Letter Requesting Hearing Date on Motion to Approve Settlement with Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates) by William J Brown. (Brown, William)
pdf_icon 544 11/2/2012 MOTION Order Approving Settlement With Seton Health System, Inc. With Respect to a Certain Ground Lease (Seton Hall Associates) filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 543 10/31/2012 Non-Party Letter from Peter C. and Gayle L. Cote. (dpk)
pdf_icon 542 10/23/2012 Non-Party Letter from Pierre A. Conti, MD. (dpk)
pdf_icon 541 10/17/2012 ORDER (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof. Signed by Magistrate Judge Christian F. Hummel on 10/17/2012. (dpk)
540 10/17/2012 TRANSCRIPT of Proceedings: Motion held on October 17, 2012 before Judge Christian F. Hummel, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. A fter that date it may be obtained through PACER. Redaction Request due 11/7/2012. Redacted Transcript Deadline set for 11/19/2012. Release of Transcript Restriction set for 1/15/2013. Notice of Intent to Redact due by 10/22/2012 (tjc, )
pdf_icon 539 10/16/2012 MEMORANDUM-DECISION and ORDER granting [538] Sealed Application. Signed by Magistrate Judge Christian F. Hummel on 10/15/2012. (dpk)
538 10/16/2012 [NO DOCUMENT ATTACHED] SEALED APPLICATION filed by David L. Smith. Sealed pursuant to Judge David R. Homer’s [501] Memorandum-Decision and Order filed on 6/20/2012. (dpk)
pdf_icon 537 10/16/2012 Non-Party Letter from Michael Favish (with Receiver Response)
pdf_icon 536 10/16/2012 Non-Party Letter from S. Scott Paist, III, MD. (dpk)
pdf_icon 535 10/16/2012 Non-Party Letter from Richard L. Bove, MD. (dpk)
pdf_icon 534 10/5/2012 ORDER re [532] LETTER BRIEF filed by William J Brown. The hearing on the [531] Motion shall be heard at 10:00 AM on 10/17/2012 at the United States Courthouse, 445 Broadway, Albany, NY 12207. Signed by Magistrate Judge Christian F. Hummel on 10/4/2012. (dpk)
pdf_icon 533 10/4/2012 Non-Party Letter from Tom & Ann Romaniak. (dpk)
pdf_icon 532 10/2/2012 LETTER BRIEF Letter Requesting Hearing Date on Motion for Order (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof by William J Brown. (Brown, William)
pdf_icon 531 10/2/2012 MOTION Order (I) Approving a Procedure for the Administration of Equity Interest Claims; (II) Establishing a Deadline for Filing Proofs of Interest; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A - Proposed Form of Order, # (2) Exhibit(s) B - Proposed Form of Equity Schedules, # (3) Exhibit(s) C - Proposed Form of Notice, # (4) Exhibit(s) D - Proposed Form of Claim Form, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 530 10/2/2012 Non-Party Letter from Robert and Ilene Nemeth. (dpk)
pdf_icon 529 10/2/2012 Non-Party Letter from Stanley C. and Betty Rosenzweig. (dpk)
pdf_icon 528 10/2/2012 Non-Party Letter from Pierre and Beverly Conti. (dpk)
pdf_icon 527 9/27/2012 Non-Party Letter from Dorothy Puglisi dated 9/22/2012. (lah)
pdf_icon 526 9/26/2012 Non-Party Letter from Peter C. and Gayle L. Cote. (dpk)
pdf_icon 525 9/18/2012 Non-Party Letter to Magistrate Judge Hummel dated 9/14/2012. (lah)
pdf_icon 524 9/11/2012 Non-Party Letter from Monica and Peter Check Jr. (dpk)
pdf_icon 523 9/5/2012 ORDER REASSIGNING CASE. Case reassigned to Magistrate Judge Christian F. Hummel for all further proceedings. Magistrate Judge David R. Homer no longer assigned to case. Signed by Chief Judge Gary L. Sharpe on 9/4/2012. (dpk)
pdf_icon 522 8/24/2012 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that 1) The motion [505] of the SEC and Citizens Bank to modify the preliminary injunction to permit the sale of Smiths’ Saratoga Springs residence is DENIED except that the SEC and Citizens Bank are granted leave to demand and receive from the Smiths proof of continued insurance coverage on the property; and 2) The Smiths’ [508] cross-motion to modify the preliminary injunction to permit the release of assets sufficient to pay their outstanding mortgage and tax obligations on their Saratoga Springs residence is DENIED. Signed by Magistrate Judge David R. Homer on 8/24/2012. (mab)
pdf_icon 521 8/22/2012 ORDER granting [504] Fourth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses. IT IS ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between January 1,2012 and April 30, 2012 ("Fourth Interim Period") in the amount of $139,412.37 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle during the Fourth Interim Period in the amount of $3,824.20 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 8/22/2012. (mab)
pdf_icon 520 8/22/2012 ORDER granting [503] Third Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses. IT IS ORDERED that the Application is approved such that (i) compensation for legal and Receiver services rendered between January 1, 2011 and December 31, 2011 ("Third Interim Period") in the amount of $298,991.90 is allowed as an interim allowance, and (ii) reimbursement of expenses advanced by Phillips Lytle during the Third Interim Period in the amount of$14,157.31 is allowed as an interim disbursement payment. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amounts as allowed pursuant to this Order. Signed by Magistrate Judge David R. Homer on 8/22/2012. (mab)
pdf_icon 519 8/22/2012 ORDER granting [502] Third Interim Application of Chiampou Travis Besaw & Kershnerr LLP for Approval of Fees. IT IS ORDERED that the Application is approved such that compensation for services rendered between September 25, 2011 and June 2, 2012 in the amount of $57,339.23 is allowed as an interim allowance. IT IS FURTHER ORDERED that the Receiver is authorized and directed to pay the amount as allowed pursuant ot this Order. Signed by Magistrate Judge David R. Homer on 8/22/2012. (mab)
pdf_icon 518 8/16/2012 CERTIFICATE OF SERVICE by Lynn A. Smith re [517] Reply to Response to Motion, (Featherstonhaugh, James)
pdf_icon 517 8/16/2012 REPLY to Response to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by Lynn A. Smith. (Featherstonhaugh, James)
pdf_icon 516 8/15/2012 Non-Party Letter from Marcia Kenyon. (dpk)
8/7/2012 TEXT ORDER granting [515] Letter Request from Lynn Smith’s counsel. Counsel may file a reply to the SEC’s opposition to Smith’s cross-motion [508] and a sur-reply to the SEC’s motion modify the asset freeze [505]. Both responses shall be limited to five pages. Signed by Magistrate Judge David R. Homer on 8/7/2012. (lah, )
pdf_icon 515 8/6/2012 Letter Motion from Scott J. Ely for Lynn A. Smith requesting permission to file a reply to the SEC’s opposition to the pending cross motion and to file a sur-reply submitted to Judge David R. Homer . (Featherstonhaugh, James)
pdf_icon 514 8/6/2012 RESPONSE to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale Response of Receiver to Cross-Motion of David and Lynn Smith (Docket No. 508) filed by William J Brown. (Attachments: # (1) Affidavit)(Brown, William)
pdf_icon 513 8/6/2012 REPLY to Response to Motion re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by Securities and Exchange Commission. (Mehraban, Lara)
pdf_icon 512 8/6/2012 RESPONSE in Opposition re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale filed by RBS Citizen, N.A.. (Kornstein, Michael)
pdf_icon 511 8/1/2012 CERTIFICATE OF SERVICE by David L. Smith of Accounting by Defendant Smith (Dreyer, William)
pdf_icon 510 8/1/2012 NOTICE by David L. Smith of Accounting (Dreyer, William)
pdf_icon 509 7/31/2012 CERTIFICATE OF SERVICE by David L. Smith, Lynn A. Smith re [508] Response in Opposition to Motion,, and Cross-Motion (Featherstonhaugh, James)
pdf_icon 508 7/30/2012 RESPONSE in Opposition re [505] MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale and Cross-Motion requesting the release of certain monies to satisfy the existing Note and Mortgage against said premises filed by David L. Smith, Lynn A. Smith. (Attachments: # (1) Proposed Order/Judgment, # (2) Memorandum of Law, # (3) Declaration of David L. Smith, # (4) Exhibit A, # (5) Exhibit B, # (6) Exhibit C, # (7) Exhibit D, # (8) Exhibit E, # (9) Exhibit F, # (10) Exhibit G)(Featherstonhaugh, James)
pdf_icon 507 7/20/2012 Non-Party Letter from Vincent R. Gentile. (mab)
pdf_icon 506 7/12/2012 NOTICE of Appearance by Michael A. Kornstein on behalf of RBS Citizen, N.A. (Kornstein, Michael)
pdf_icon 505 7/12/2012 MOTION an Order modifying the asset freeze to allow for the sale of the Saratoga Springs property and appointing the Receiver to oversee the sale Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 filed by Securities and Exchange Commission. (Attachments: # (1) Proposed Order/Judgment, # (2) Memorandum of Law, # (3) Declaration of Michael A. Kornstein, # (4) Exhibit(s) A, # (5) Exhibit(s) B, # (6) Exhibit(s) C) Motions referred to David R. Homer. (Stoelting, David)
pdf_icon 504 7/5/2012 MOTION for Attorney Fees Fourth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 Reply to Response to Motion due by 8/6/2012. filed by William J Brown. (Attachments: # (1) Fourth Interim Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 503 7/5/2012 MOTION for Attorney Fees Third Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 Reply to Response to Motion due by 8/6/2012. filed by William J Brown. (Attachments: # (1) Third Interim Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B-1, # (4) Exhibit(s) B-2, # (5) Exhibit(s) B-3, # (6) Exhibit(s) C, # (7) Proposed Order/Judgment, # (8) Certificate of Service) (Brown, William)
pdf_icon 502 7/5/2012 MOTION Compensation for Services Performed Third Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees Motion Hearing set for 8/16/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 7/30/2012 filed by William J Brown. (Attachments: # (1) Application for Compensation, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
6/27/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Status Conference was held on-the-record on 6/26/2012 with E. Stuart Jones, William Dreyer, and AUSAs Bellis and Coombe. The conference was held regarding defense counsels’ "limited appearances" for purposes of the arraignment only. Dreyer and Jones confirmed that they now appear for the defendants in the criminal case for all purposes without limitation. (Court Reporter Theresa Casal)(Cindy Mezoff, FTR CRD) (lah, )
pdf_icon 501 6/20/2012 MEMORANDUM-DECISION and ORDER regarding [484] Motion for Release of Funds. IT IS HEREBY ORDERED that the motion for the release of the assets of the life insurance trust from the preliminary injunction to pay attorney’s fees and costs in the parallel criminal action is GRANTED under the conditions set forth in this Order. Signed by Magistrate Judge David R. Homer on 6/20/2012. (mab)
pdf_icon 500 6/20/2012 ORDER regarding [495] Motion for Order of Sale Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver’s Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests filed by William J Brown. IT IS HEREBY ORDERED that the Motion is APPROVED. IT IS FURTHER ORDERED that the Receiver’s interest in the Assets shall be sold and assigned to the Buyer without recourse, representation or warranty and free and clear of all liens, claims, encumbrances and other interests, with such liens and claims, if any, attaching to the net proceeds of the sale. IT IS FURTHER ORDERED that the sale and assignment is expressly subject to the Buyer assuming all obligations as set forth in this Order. IT IS FURTHER ORDERED that the Excluded Assets shall remain property of this estate, including, without limitation, all claims of Seller, Receiver, MS Entities, Company and Receivables other than claims against customers or cruise lines of Sellers after the Closing. Signed by Magistrate Judge David R. Homer on 6/20/2012. (mab)
pdf_icon 499 6/13/2012 ORDER. IT IS HEREBY ORDERED that in accordance with NDNY LR 7.1 (b)(2), the SEC and Citizens Bank are granted leave to file motions to modify the asset freeze order to permit the sale of the Smiths’ Saratoga Springs residence, and any such motions shall be filed on or before 7/11/2012. IT IS FURTHER ORDERED that Defendants David Smith and Lynn Smith are granted leave to file whatever cross-motions in response to these motions they deem appropriate. Signed by Magistrate Judge David R. Homer on 6/13/2012. (mab)
6/13/2012 Minute Entry for proceedings held re [494] before Magistrate Judge David R. Homer. A telephone pre-motion conference was held on 6/11/2012 with counsel for all parties including counsel for Citizens Bank. Leave is granted for SEC and Citizens Bank to file a motion to modify the asset freeze to permit the sale of the Smiths’ Saratoga Springs residence. Defendant Smiths are granted leave to file cross-motions. A written order will be entered. (Court Reporter Theresa Casal) (lah, )
pdf_icon 498 6/11/2012 CERTIFICATE OF SERVICE by William J Brown re [495] MOTION for Order of Sale Motion for Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sa (Brown, William)
pdf_icon 497 6/8/2012 ORDER GRANTING [496] Letter Request for hearing on the Motion for approval of of sale. Motion Hearing re: [495] Motion set for 6/20/2012 at 11:00 AM in Albany before Magistrate Judge David R. Homer. Signed by Magistrate Judge David R. Homer on 6/8/2012. (sg)
pdf_icon 496 6/8/2012 LETTER BRIEF Letter requesting hearing date on Motion to Approve (i) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver’s Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests (Docket No. 495) by William J Brown. (Brown, William)
pdf_icon 495 6/8/2012 MOTION for Order of Sale Motion for Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of White Glove Cruises, LLC, and Luxury Cruise Receivables, LLC, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receiver’s Interests in White Glove Cruises, LLC and Luxury Cruise Receivables, LLC Free and Clear of Liens, Claims, Encumbrances, and Other Interests filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B) (Brown, William)
pdf_icon 494 6/8/2012 Letter Motion from David Stoelting for Securities and Exchange Commission requesting Pre-Motion Conference submitted to Judge Homer . (Stoelting, David)
493 5/30/2012 TRANSCRIPT of Proceedings: Motion Hearing held on April 4, 2012, before Judge David R. Homer, Court Reporter: Lisa L. Tennyson, Telephone number: (518) 257-1823. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. 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 6/20/2012. Redacted Transcript Deadline set for 7/2/2012. Release of Transcript Restriction set for 8/28/2012. Notice of Intent to Redact due by 6/4/2012 (lt, )
492 5/30/2012 TRANSCRIPT of Proceedings: Conference held on March 19, 2012 before Magistrate Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. 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 6/13/2012. Redacted Transcript Deadline set for 6/25/2012. Release of Transcript Restriction set for 8/21/2012. Notice of Intent to Redact due by 5/29/2012 (tjc, )
5/23/2012 TRANSCRIPT of Proceedings: Conference held on March 19, 2012 before Magistrate Judge David R. Homer, Court Reporter: Theresa J. Casal, Telephone number: 518.257.1897. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. 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 6/13/2012. Redacted Transcript Deadline set for 6/25/2012. Release of Transcript Restriction set for 8/21/2012. Notice of Intent to Redact due by 5/29/2012 (tjc, )
pdf_icon 491 5/23/2012 LETTER BRIEF re SIPC issue by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 490 5/16/2012 CERTIFICATE OF SERVICE by David L. Smith re [489] Reply to Response to Motion (Dreyer, William)
pdf_icon 489 5/16/2012 REPLY to Response to Motion re [484] Second MOTION for Release of Funds filed by David L. Smith. (Dreyer, William)
pdf_icon 488 5/10/2012 CERTIFICATE OF SERVICE by Securities and Exchange Commission re [487] Response in Opposition to Motion (Stoelting, David)
pdf_icon 487 5/10/2012 RESPONSE in Opposition re [484] Second MOTION for Release of Funds filed by Securities and Exchange Commission. (Attachments: # (1) Declaration)(Stoelting, David)
486 5/2/2012 TRANSCRIPT of Proceedings: motion hearing held on 3/27/2012 before Judge David R. Homer, Court Reporter: Bonnie Buckley, Telephone number: 518-257-1898. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: In order to remove personal identifier data from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk’s Office within 5 business days of this date. The policy governing the redaction of personal information is located on the court website at www.nynd.uscourts.gov. Read this policy carefully. If no Notice of Intent to Redact is filed within 5 business days of this date, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available on the web 90 days from today’s date. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/23/2012. Redacted Transcript Deadline set for 6/4/2012. Release of Transcript Restriction set for 7/31/2012. Notice of Intent to Redact due by 5/7/2012 (bjb, )
pdf_icon 485 4/27/2012 CERTIFICATE OF SERVICE by David L. Smith re [484] Second MOTION for Release of Funds (Dreyer, William)
pdf_icon 484 4/27/2012 Second MOTION for Release of Funds Motion Hearing set for 5/17/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 4/30/2012 Reply to Response to Motion due by 5/7/2012. filed by David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Dreyer, William)
pdf_icon 483 4/18/2012 ORDER regarding the conference held on 4/17/2012 in which Defendant David Smith requested permission to move for the realease of the asset freeze on a life insurance trust. IT IS HEREBY ORDERED that David Smith is granted leave to move to release the life insurance trust from the asset freeze and such motion shall proceed according to the following schedule: 1) Smith shall file and serve his motion and supporting papers on or before 4/27/2012; 2) The SEC and any other party may file papers in opposition to such motion on or before 5/9/2012; 3) Smith may file any reply papers on or before 5/16/2012; and 4) The motion will be taken on submission without oral argument. Signed by Magistrate Judge David R. Homer on 4/18/2012. (mab)
4/18/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer. A Telephone Conference was held on 4/17/2012 with counsel for all parties. Defendant Smith requested permission to move to release certain asset from the freeze. The matter will be briefed. A written order will be entered with the motion schedule. (lah, )
pdf_icon 482 4/17/2012 TRANSCRIPT REQUEST by William J Brown for proceedings held on April 4, 2012 before Judge David R. Homer.. (Brown, William)
pdf_icon 481 4/17/2012 AMENDED ORDER regarding [466] Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of the Notice Thereof. IT IS HEREBY ORDERED that [480] the Amendment Motion is granted. IT IS FURTHER ORDERED that the Claims Procedure Order is amended hereby. IT IS FURTHER ORDERED that all claims against the MS Entities shall be asserted in accordance with the Claims Procedure as modified in the Amendment Motion. IT IS FURTHER ORDERED that the claims against the MS Entities shall be filed in writing with Phillips Lytle LLP. IT IS FURTHER ORDERED that the last day for Creditors and Investors to file a claim against the MS Entities is fixed as 6/19/2012. IT IS FURTHER ORDERED that the right of the Receiver to file appropriate proceedings in this Court to object to claims, establish a procedure for resolution of claims disputes, and/or modify or reduce any claim or distribution or commence avoidance actions is reserved. Signed by Magistrate Judge David R. Homer on 4/16/2012. (mab)
pdf_icon 480 4/16/2012 MOTION Amendment to Claims Procedure Order (Docket No. 475) re [475] Order on Motion for Miscellaneous Relief,,, Motion of William J. Brown, as Receiver, for an Amendment to Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A, # (2) Exhibit(s) B, # (3) Certificate of Service) Motions referred to David R. Homer. (Brown, William)
pdf_icon 479 4/4/2012 ORDER regarding [453] the motion of William J. Brown, as Receiver, for an Order Approving the Sale and Bidding Procedures with Respect to the Sale of Certain Alarm System Monitoring Accounts. IT IS HEREBY ORDERED that the Motion is APPROVED. IT IS FURTHER ORDERED that the Receiver’s interests in the Accounts and assets on the Rider to the APA shall be sold and assigned to the Purchaser without recourse, representation or warranty and free and clear of all liens, claims, encumbrances and other interests, with such liens and claims, if any, attaching to the net proceeds of sale. IT IS FURTHER ORDERED that the Receiver is authorized to pay the break-up fee of $60,000.00 to the stalking horse bidder, Alarm Services, LLC. Signed by Magistrate Judge David R. Homer on 4/4/2012. (mab)
pdf_icon 478 4/4/2012 MEMORANDUM-DECISION and ORDER. IT IS HEREBY ORDERED that Timothy McGinn’s motion for the release of assets from the preliminary injunction to pay attorney’s fees and costs in the parallel criminal action [439] is GRANTED in part and DENIED in part as set forth in this Order; 2) David Smith’s motion for the release of assets from the preliminary injunction to pay attorney’s fees and costs in the parallel criminal action [440] is GRANTED in part and DENIED in part as set forth in this Order; and 3) The Trust’s motion for the release of assets from the preliminary injunction to pay past and future expenses, to reimburse David Smith and his wife for Trust expenses they paid, and for payment of attorney’s fees and costs in this action [441] is DENIED in all respects. Signed by Magistrate Judge David R. Homer on 4/4/2012. (mab)
4/4/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 4/4/2012 re [453] MOTION Approving Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts, etc. Appearance: William Brown, Receiver. Brown reported on the auction and sale of the property. The court approved the sale and a proposed order submitted by Brown will be entered. (Court Reporter Lisa Tennyson/FTR CRD Lynda Hennessy) (lah, )
4/4/2012 TRANSCRIPT REQUEST by William J Brown for motion hearing held on 3/27/2012 before Judge David R. Homer. (bjb, )
pdf_icon 477 4/4/2012 Non-Party Letter from Patricia E. and William L. Seigford. (mab)
pdf_icon 476 4/3/2012 NOTICE by William J Brown Notice of Filing of Asset Purchase Agreement of Prevailing Bidder for Alarm System Accounts Managed by McGinn Smith Alarm Trading, LLC (Attachments: # (1) Certificate of Service)(Brown, William)
pdf_icon 475 3/27/2012 ORDER regarding [466] Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of the Notice Thereof. IT IS HEREBY ORDERED taht the Motion is GRANTED. IT IS FURTHER ORDERED that all claims against the MS Entities shall be asserted in accordance with the Claims Procedure. IT IS FURTHER ORDERED that the claims against the MS Entities shall be filed in writing with Phillips Lytle LLP. IT IS FURTHER ORDERED that the last day for Creditors and Investors to file a claim against the MS Entities is fixed as 5/28/2012. IT IS FURTHER ORDERED that the right of the Receiver to file appropriate proceedings in this Court to object to claims and/or establish a procedure for resolution of claims disputes is reserved. Signed by Magistrate Judge David R. Homer on 3/27/2012. (mab)
3/27/2012 Minute Entry for proceedings held re [453] and [466] before Magistrate Judge David R. Homer. [FTR recorded 10:00 a.m.-10:39 a.m.] Appearances: William Brown, Receiver. Brown requested a further adjournment to April 4, 2012 of Dkt. No. 453. Motion granted. Brown then proceeded to outline his proposed procedure for filing claims re Dkt. No. 466. The court approved the plan and directed that Brown submit a proposed order. It was also agreed that Brown will submit a separate motion regarding equity interest holders. That motion will be submitted within three weeks. Next hearing date scheduled is 4/4/2012 at 10:00 a.m. re [453].(Court Reporter Bonnie Buckley/FTR CRD Lynda Hennessy) (lah, )
pdf_icon 474 3/27/2012 ORDER regarding Government’s Motion to Stay Dispositive Motions and Trial. IT IS HEREBY ORDERED that the motion to stay dispositive motions and the trial pending completion of the related criminal proceeding, 12-cr-28, is GRANTED. IT IS FURTHER ORDERED that the stay does not affect any of the activities and responsibilities of the Receiver pursuant to the Orders of this Court including, without limitation, the [96] Preliminary Injunction Order. Signed by Magistrate Judge David R. Homer on 3/26/2012. (mab)
pdf_icon 473 3/26/2012 Letter Motion from United States for U.S. Attorney’s Office for ND/NY requesting Proposed Stay Order submitted to Judge David R. Homer . (Coombe, Elizabeth)
pdf_icon 472 3/22/2012 Non-Party Letter from Stanley C. Rosenzweig MD. (mab)
pdf_icon 471 3/20/2012 ORDER re [454] Motion for an Order Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests, and Resolution of the Claims of Shoma Corporation filed by William J Brown. IT IS HEREBY ORDERED that the Motion is APPROVED. IT IS FURTHER ORDERED that the Receiver’s interest in the Assets shall be sold and assigned to the Buyer without recourse, representation or warranty and free and clear of all liens, claims, encumbrances and other interests, with such liens and claims, if any, attaching to the net proceeds of the sale. IT IS FURTHER ORDERED that the Receiver is authorized to deliver and exchange the Releases and resolve the Shoma Group’s interests as provided for in the Motion including the surrender by transfer of the Shoma Group’s interest to the Receiver or his nominee. Signed by Magistrate Judge David R. Homer on 3/19/2012. (mab)
3/19/2012 Minute Entry for proceedings held before Magistrate Judge David R. Homer: Motion Hearing held on 3/19/2012 re [454] motion Approving Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights. Appearances: William Brown, Receiver. Motion is unopposed by any party. Court grants motion and directs Mr. Brown to submit a proposed order. Brown advises court of bidding on property re pending motion [453] and requests adjournment of hearing date to Mar. 27, 2012 to be heard with [466]. Request granted and the HEARING on Dkt. No. 453 is ADJOURNED to March 27, 2012 at 10:00 AM. (Court Reporter Theresa Casal/FTR CRD Lynda Hennessy) (lah, )
pdf_icon 470 3/19/2012 ORDER regarding [462] Letter Request by the United States seeking leave to file motions to intervene in this action and to stay this action pending completion of a related federal criminal proceeding. IT IS HEREBY ORDERED that: 1) The request of the United States to intervene in this action to file a motion for a stay of proceedings pending completion of a related criminal proceeding is GRANTED; and 2) The United States shall file a proposed order regarding its request for stay and decision on that proposed order will be reserved for a period of ten days from the date of the filing to permit any party to file any objections to the proposed order. Signed by Magistrate Judge David R. Homer on 3/16/2012. (mab)
3/16/2012 Minute Entry for proceedings held re [462] before Magistrate Judge David R. Homer. A telephone Pre-Motion Conference was held on-the-record on 3/15/2012. Appearances: David Stoelting, William Brown, William Dreyer, E. Stewart Jones, Scott Ely, AUSA Elizabeth Coombe. Defendant pro se Nancy McGinn did not appear. The request of the USA to intervene is granted. Decision on the USA’s proposed order regarding the stay of this action pending the criminal action is reserved for a period of 10 days to allow any party to file any objection. A written order will be entered. [FTR/CRD Cindy Mezoff/Court Steno Theresa Casal] (lah, )
pdf_icon 469 3/15/2012 Letter Motion from United States for U.S. Attorney’s Office for ND/NY requesting Proposed Stay Order submitted to Judge David R. Homer . (Coombe, Elizabeth)
3/13/2012 Set Hearing Date as to [466] MOTION for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof. Motion Hearing set for 3/27/2012 at 10:00 AM in Albany, NY before Magistrate Judge David R. Homer. (mab)
pdf_icon 468 3/13/2012 ORDER regarding the Letter Request of William J. Brown requesting the Court to set a hearing date for the [466] MOTION for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof. The hearing on the Motion shall be heard on 3/27/2012 at 10:00 AM before Magistrate Judge David R. Homer at the United States Courthouse, 445 Broadway, Albany, New York 12207. Signed by Magistrate Judge David R. Homer on 3/12/2012. (mab)
pdf_icon 467 3/9/2012 LETTER BRIEF Letter requesting hearing date on Motion for an Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof by William J Brown. (Brown, William)
pdf_icon 466 3/9/2012 MOTION Order (I) Approving a Procedure for the Administration of Claims; (II) Establishing a Deadline for Filing of Claims; and (III) Approving the Form and Manner of Notice Thereof filed by William J Brown. (Attachments: # (1) Exhibit(s) A - Form of Order, # (2) Exhibit(s) B - Form of Schedule of Claims, # (3) Exhibit(s) C - Form of Notice, # (4) Exhibit(s) D - Form of Claim Form) Motions referred to David R. Homer. (Brown, William)
pdf_icon 465 3/8/2012 LETTER BRIEF Receiver’s Statement Concerning Motions of David L. Smith and Timothy M. McGinn to Use Assets to Pay Attorneys’ Fees and Costs and Joinder in SEC’s Opposition by William J Brown. (Brown, William)
3/7/2012 TEXT NOTICE re [462] letter from non-party seeking leave to file a motion to intervene. A Telephone Pre-Motion Conference will be held on MARCH 15, 2012 at 9:00 AM with Magistrate Judge David R. Homer. Please use the court’s DIAL IN # 1-888-684-8852 ACCESS CODE 4750370 security code 1234. (lah, )
pdf_icon 464 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [440] First MOTION for Release of Funds (Dreyer, William)
pdf_icon 463 3/6/2012 CERTIFICATE OF SERVICE by David L. Smith re [456] Reply to Response to Motion (Dreyer, William)
pdf_icon 462 3/6/2012 Letter Motion for U.S. Attorney’s Office for ND/NY requesting Conference submitted to Judge David R. Homer . (Coombe, Elizabeth)
pdf_icon 461 3/3/2012 REPLY to Response to Motion re [439] MOTION Modify Preliminary Order of 7/22/10 filed by Timothy M. McGinn. (Attachments: # (1) Declaration, # (2) Declaration)(Jones, E.)
pdf_icon 460 3/3/2012 Non-Party Letter from Lesley Levy. (mab)
pdf_icon 459 3/2/2012 REPLY to Response to Motion re [441] MOTION to Amend/Correct [194] Order on Motion for TRO,,,, filed by Lauren T. Smith, Geoffrey R. Smith. (Featherstonhaugh, James)
3/2/2012 Set Hearing as to [454] MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and and [453] MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts and Related Assets Owned by Certain Receivership Entities Including the Assignment of Certain Agreements Related Thereto, (II) Time. Hearing set for 3/19/2012 at 10:00 AM in Albany, NY before Magistrate Judge David R. Homer. (mab)
pdf_icon 458 3/2/2012 ORDER re [455] LETTER BRIEF filed by William J Brown requesting a hearing on the Sale Motions [453] and [454] filed in this matter. The request is granted and a hearing will be held on 3/19/2012 at 10:00 AM at the United States Courthouse, 445 Broadway, Albany, NY 12207. Signed by Magistrate Judge David R. Homer on 3/2/2012. (mab)
pdf_icon 457 3/2/2012 Non-Party Letter from Barbara and George Forgea. (mab)
pdf_icon 456 3/2/2012 REPLY to Response to Motion re [440] First MOTION for Release of Funds filed by David L. Smith. (Attachments: # (1) Declaration, # (2) Declaration)(Dreyer, William)
pdf_icon 455 3/1/2012 LETTER BRIEF - Letter requesting hearing date on Motions to Approve (i) Sale of Alarm Service Contracts to Alarm Services, LLC and (ii) Sale and Related Relief Relating to Florida Cable, Internet and Phone Service Rights and Assets to HControl Holdings LLC or its nominee (Docket Nos. 453 and 454) by William J Brown. (Brown, William)
pdf_icon 454 3/1/2012 MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Florida Cable, Internet and Phone Service Rights and Assets and Related Interests and the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, (III) an Order Approving the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests, and Resolution of the Claims of Shoma Corporation filed by William J Brown. (Attachments: # (1) Exhibit(s) A) Motions referred to David R. Homer. (Brown, William)
pdf_icon 453 3/1/2012 MOTION Approving (I) Sale and Bidding Procedures With Respect to the Sale of Certain Alarm System Monitoring Accounts and Related Assets Owned by Certain Receivership Entities Including the Assignment of Certain Agreements Related Thereto, (II) Time, Date, Place and Manner of Notice for Each of the Auction and Sale Hearing, and (III) the Sale of the Receivers Interests Free and Clear of Liens, Claims, Encumbrances, and Other Interests filed by William J Brown. (Attachments: # (1) Exhibit(s) A) Motions referred to David R. Homer. (Brown, William)
pdf_icon 452 2/28/2012 Non-Party Letter from Nancy and David Hargrave. (mab)
pdf_icon 451 2/28/2012 Non-Party Letter from Judith and Jerry Lapham. (mab)
pdf_icon 450 2/28/2012 Non-Party Letter from Joel M. Spiro M.D. (mab)
pdf_icon 449 2/27/2012 Non-Party Letter from Robert L. Gilbert. (mab)
pdf_icon 448 2/27/2012 RESPONSE in Opposition re [440] First MOTION for Release of Funds , [439] MOTION Modify Preliminary Order of 7/22/10 filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of David Stoelting and Exhibits A-B, # (2) Declaration of Kerri Palen and Exhibits 1-4)(Mehraban, Lara)
pdf_icon 447 2/27/2012 RESPONSE in Opposition re [441] MOTION to Amend/Correct [194] Order on Motion for TRO,,,, filed by Securities and Exchange Commission. (Attachments: # (1) Declaration of Joshua Newville with Exhibits 1-17)(Stoelting, David)
pdf_icon 446 2/23/2012 Non-Party Letter from Diane S. and Vincent R. Gentile. (mab)
pdf_icon 445 2/21/2012 Non-Party Letter from Lynn A. Bove. (mab)
pdf_icon 444 2/21/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
pdf_icon 443 2/21/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
pdf_icon 442 2/21/2012 ORDER regarding [433] Letter Request of the David L. and Lynn Smith Irrevocable Trust for leave to file a motion to release certain assets and [434] SEC’s Letter Request to establish a briefing schedule for dispositive motions. IT IS HEREBY ORDERED that 1) the request of the Trust for leave to file a motion to unfreeze assets is GRANTED and such motion shall be filed according to the schedule set forth in this Order; 2) Dispositive motions shall be filed according to the following schedule: a) Any dispositive motion shall be filed on or before 4/2/2012; b) Any response shall be filed on or before 5/1/2012; c) Any reply papers shall be filed on or before 5/15/2012; and (d) Unless otherwise ordered by the District Court, any such motion shall be taken on submission without oral argument; 3) The request of Defendants David Smith and Timothy McGinn to file motions to unfreeze certain assets is GRANTED and any such motions shall be filed according to the schedule set forth in this Order; 4) The request of Defendants David Smith and Timothy McGinn for leave to move for a stay of this case pending completion of the related criminal case is GRANTED and any such motion may be filed whenever deemed appropriate by either Defendants; and 5) Receiver, William Brown, is granted leave to move for a distribution of certain assets presently held by the Receiver under the asset freeze order and any such motion may be filed whenever deemed appropriate by the Receiver. Signed by Magistrate Judge David R. Homer on 2/6/2012. (mab)
pdf_icon 441 2/21/2012 MOTION to Amend/Correct [194] Order on Motion for TRO,,,, Motion Hearing set for 3/22/2012 09:00 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 3/5/2012 filed by Geoffrey R. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Featherstonhaugh, James)
pdf_icon 440 2/21/2012 First MOTION for Release of Funds Motion Hearing set for 3/15/2012 09:30 AM in Albany before Magistrate Judge David R. Homer Response to Motion due by 2/27/2012 Reply to Response to Motion due by 3/5/2012. filed by David L. Smith. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Dreyer, William)
pdf_icon 439 2/21/2012 MOTION Modify Preliminary Order of 7/22/10 filed by Timothy M. McGinn. (Attachments: # (1) Memorandum of Law, # (2) Declaration, # (3) Declaration) Motions referred to David R. Homer. (Jones, E.)
pdf_icon 438 2/7/2012 Non-Party Letter from Lesley Levy. (mab)
2/6/2012 Minute Entry for proceedings held re [433] and [434] with Magistrate Judge David R. Homer. A Telephone Conference was held on-the-record on 2/3/2012 with David Stoelting, Kevin McGrath and Lara Mehraban for plaintiff SEC; William Brown, the Receiver; and Willian Dreyer, Scott Ely, and E. Stewart Jones for the defendants. Defendants David Smith and Timothy McGinn requested leave to file motions to (1)release assets for the payment of counsel fees in a related criminal case, and(2) to stay this action pending the criminal action; William Brown requested leave to file a motion to distribute the proceeds of certain assets to investors; and the SEC requested a briefing schedule for dispositive motions. A written order will enter with briefing schedules. (lah, )
pdf_icon 437 2/3/2012 Non-Party Letter from Jerry and Judith Lapham. (mab)
pdf_icon 436 1/26/2012 Non-Party Letter from Michael Favish. (mab)
pdf_icon 435 1/26/2012 Non-Party Letter from Monica and Peter Check, Jr. (mab)
1/20/2012 TEXT NOTICE re [433] letter dated 1/17/2012 re Trust seeking leave to file a motion to amend Court’s preliminary injunction. A telephone pre-motion conference will be held on Feb. 3, 2012 at 9:00 AM with Magistrate Judge David R. Homer. Please use the court’s DIAL IN # 1-888-684-8852, ACCESS CODE 4750370 SECURITY CODE 1234. (lah, )
pdf_icon 434 1/18/2012 Letter Motion from David Stoelting for Securities and Exchange Commission requesting conference and advising Court of certain parties’ intent to file summary judgment motions submitted to Judge Sharpe . (Stoelting, David)
pdf_icon 433 1/17/2012 Letter Motion from Scott J. Ely, Featherstonhaugh, Wiley & Clyne, LLP for Lauren T. Smith, Geoffrey R. Smith requesting pre-motion conference to seek permission to file a motion submitted to Judge David R. Homer . (Featherstonhaugh, James)
pdf_icon 432 1/11/2012 Non-Party Letter from Vincent R. and Diana S. Gentile. (mab)