1221 12/22/2021 TRANSCRIPT of Proceedings: Telephone Motion held on 12/1/2021 before Judge Christian F. Hummel, Court Reporter: Hannah Cavanaugh, Telephone number: 315-234-8545. 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 before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 1/12/2022. Redacted Transcript Deadline set for 1/24/2022. Release of Transcript Restriction set for 3/22/2022. Notice of Intent to Redact due by 12/27/2021 (hfc, )
pdf_icon 1220 12/03/2021 TRANSCRIPT REQUEST by William J. Brown for proceedings held on 12/01/2021 before Judge Christian F. Hummel. (Cervone, Catherine).
pdf_icon 1219 12/03/2021 NOTICE of Appearance by Catherine N. Cervone on behalf of Phillips Lytle LLP (Cervone, Catherine).
  1218 12/03/2021 CLERK'S CORRECTION OF DOCKET ENTRY re 1217 Order on Motion for Attorney Fees and Order on Motion for Accounting fees and expenses: The Order, Dkt. No. 1217, has been replaced with a corrected Order, properly indicating which attorneys appeared at the motion hearing on 12/2/2021.
pdf_icon 1217 12/03/2021 ORDER granting [1204] Motion for Attorney Fees; granting [1205] Motion for accounting fees and expenses; granting [1211] Motion for Attorney Fees; and granting [1212] Motion for accounting fees and expenses. Signed by Magistrate Judge Christian F. Hummel on 12/1/2021.
    12/02/2021 Text Minute Entry for proceedings held before Magistrate Judge Christian F. Hummel: Motion Hearing held on 12/1/2021 re [1204] MOTION for Attorney Fees; [1205] Compensation for Services Rendered; [1211] MOTION for Attorney Fees; and [1212] MOTION Compensation for Services Rendered. Appearances by Catherine Eisenhut, Esq. for receiver, William Brown, Esq., present. Kevin McGrath, Esq. for Plaintiff, appearing. Justin Weddle, Esq. for Defendant David L. Smith. Brian Witthune, Esq. for defendant present as well. The Court hears arguments from counsel and rules on the Fee motions. The Court grants the motions and an Order will be issued. (Court Reporter Hannah Cavanaugh)
  1215 11/16/2021 COURT NOTICE of Hearing on [1204] MOTION for Attorney Fees Eighteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. and [1205] MOTION Approval of Fees Notice of Fifteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown : An in-person Motion Hearing has been set for Wednesday, 12/1/2021 @ 11:30 AM in Albany before Magistrate Judge Christian F. Hummel. Only the Attorney(s) for Receiver and Attorney(s) for David L. Smith are directed to appear for this hearing.
pdf_icon 1214 11/16/2021 REPLY to Response to Motion re [1211] MOTION for Attorney Fees Nineteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel, [1212] MOTION Compensation for Services Rendered Sixteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. filed by William J. Brown. (Eisenhut, Catherine)
pdf_icon 1213 11/16/2021 RESPONSE in Opposition re [1211] MOTION for Attorney Fees Nineteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel, [1212] MOTION Compensation for Services Rendered Sixteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. filed by David L. Smith. (Weddle, Justin)
pdf_icon 1212 10/20/2021 MOTION Compensation for Services Rendered Sixteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. Response to Motion due by 11/10/2021 (Attachments: # (1) Sixteenth Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1211 10/20/2021 MOTION for Attorney Fees Nineteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel Response to Motion due by 11/10/2021 (Attachments: # (1) Nineteenth Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
   1210 09/09/2021   TEXT ORDER RESCINDING [1206] Order on Motion for Attorney Fees [EIGHTEENTH INTERIM APPLICATION OF PHILLIPS LYTLE LLP AND THE RECEIVER FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES], and RESCINDING [1209] Order on Motion for Attorney Fees [FIFTEENTH INTERIM APPLICATION OF CHIAMPOU TRAVIS BESAW & KERSHNER LLP FOR APPROVAL OF FEES] pending review of the Response in In Opposition,Dkt. no. [1207] and the Reply to the Response, Dkt. no. [1208]. SO ORDERED. Authorized by Magistrate Judge Christian F. Hummel on 9/8/2021. (tab)
pdf_icon 1209 09/08/2021 ORDER granting [1205] MOTION AND APPROVING FIFTEENTH INTERIM APPLICATION OF CHIAMPOU TRAVIS BESAW & KERSHNER LLP FOR APPROVAL OF FEES. Signed by Magistrate Judge Christian F. Hummel on 9/7/2021. (tab)
pdf_icon 1208 09/07/2021 REPLY to Response to Motion re [1204] MOTION for Attorney Fees Eighteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel, [1205] MOTION Approval of Fees Notice of Fifteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. filed by William J. Brown. (Eisenhut, Catherine)
pdf_icon 1207 09/07/2021 RESPONSE in Opposition re [1204] MOTION for Attorney Fees Eighteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel, [1205] MOTION Approval of Fees Notice of Fifteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. filed by David L. Smith. (Weddle, Justin)
pdf_icon 1206 09/07/2021 ORDER granting [1204] Motion for Attorney Fees [EIGHTEENTH INTERIM APPLICATION OF PHILLIPS LYTLE LLP AND THE RECEIVER FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES]. Signed by Magistrate Judge Christian F. Hummel on 9/1/2021. (tab)
pdf_icon 1205 08/19/2021 MOTION Approval of Fees Notice of Fifteenth Interim Application of Chiampou Travis Besaw & Kershner LLP for Approval of Fees filed by William J. Brown. Response to Motion due by 9/1/2021 (Attachments: # (1) Supplement Fifteenth Interim Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Supplement Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1204 08/10/2021 MOTION for Attorney Fees Eighteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel Response to Motion due by 8/31/2021 (Attachments: # (1) Eighteenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 1203 07/09/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fourth Payment Schedule of THIRD and FINAL Investor Distribution (Brown, William)
pdf_icon 1202 07/01/2021 REPLY to Response to Motion re [1195] MOTION to Set Aside Judgment filed by David L. Smith. Motion returnable before Judge Sharpe. filed by David L. Smith. (Weddle, Justin)
  1201 06/29/2021 TEXT ONLY ORDER granting [1199] Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting correction of reference in SEC brief [DE 1198] regarding amount of funds in Receivership. Issued by Senior Judge Gary L. Sharpe on 6/29/2021. (jel, )
  1200 06/29/2021 TEXT ONLY ORDER granting [1197] Letter Motion from David Stoelting for Securities and Exchange Commission requesting one-day extension of time to file brief opposing Defendant's Rule 60(b) motion. Issued by Senior Judge Gary L. Sharpe on 6/29/2021. (jel, )
pdf_icon 1199 06/29/2021 Letter Motion from Kevin P. McGrath for Securities and Exchange Commission requesting correction of reference in SEC brief [DE 1198] regarding amount of funds in Receivership submitted to Judge Sharpe . (Stoelting, David)
pdf_icon 1198 06/25/2021 RESPONSE in Opposition re [1195] MOTION to Set Aside Judgment filed by David L. Smith. Motion returnable before Judge Sharpe. filed by Securities and Exchange Commission. (Stoelting, David)
pdf_icon 1197 06/25/2021 Letter Motion from David Stoelting for Securities and Exchange Commission requesting one-day extension of time to file brief opposing Defendant's Rule 60(b) motion submitted to Judge Sharpe . (Stoelting, David)
pdf_icon 1196 06/24/2021 RESPONSE to Motion re [1195] MOTION to Set Aside Judgment filed by David L. Smith. Motion returnable before Judge Sharpe. filed by William J. Brown. (Attachments: # (1) Declaration, # (2) Certificate of Service)(Brown, William)
pdf_icon 1195 06/07/2021 MOTION to Set Aside Judgment filed by David L. Smith. Motion returnable before Judge Sharpe. Response to Motion due by 6/24/2021. Reply to Response to Motion due by 7/1/2021 (Attachments: # (1) Memorandum of Law, # (2) Exhibit(s)) (Weddle, Justin)
pdf_icon 1194 06/07/2021 NOTICE of Appearance by Justin S Weddle on behalf of David L. Smith (Weddle, Justin)
  1193 06/07/2021 TEXT ORDER granting [1192] Motion for Limited Admission Pro Hac Vice of Justin Weddle. Counsel is hereby advised that as of January 16, 2018, the NYND has converted to NextGen. Due to this conversion, you must now register for Pro Hac Vice access through your PACER account. This is the only notice you will receive concerning this requirement. You will not have access to electronically file in this case until your Pro Hac Vice request has been processed through the PACER system. Step-by-step instructions on how to complete this process are available at http://www.nynd.uscourts.gov/attorney-admissions. COUNSEL MUST THEREAFTER FILE A NOTICE OF APPEARANCE IN THIS ACTION IN ORDER TO RECEIVE NOTIFICATIONS OF ELECTRONIC FILINGS IN THE CASE. SO ORDERED by Chief Judge Glenn T. Suddaby on 6/1/2021. (Copy served upon non-electronic parties via regular mail)(sal )
pdf_icon 1192 05/25/2021 MOTION for Limited Admission Pro Hac Vice of Justin S. Weddle Filing fee $100, receipt number ANYNDC-5535301. (Attachments: # (1) Exhibit(s) Sponsor Declaration, # (2) Exhibit(s) Attorney Registration Form with Oath, # (3) Exhibit(s) Petition for Admission, # (4) Exhibit(s) Certificate of Good Standing) Motions referred to Christian F. Hummel. (Feldman, Brian)
pdf_icon 1191 05/12/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief, Order on Letter Request,,,, Notice of Filing of Third Payment Schedule of THIRD AND FINAL Investor Distribution (Preferred Investors) (Brown, William)
pdf_icon 1190 05/12/2021

NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief, Order on Letter Request,,,, Notice of Filing of Second Payment Schedule of THIRD AND FINAL Investor Distribution (Collateral Recovery Investors)  (Brown, William)
pdf_icon 1189 05/12/2021

NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief, Order on Letter Request,,,, Notice of Filing of First Payment Schedule of THIRD AND FINAL Investor Distribution (Brown, William)
pdf_icon 1188 05/11/2021

NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of REVISED Twenty-First and Final Payment Schedule of SECOND Investor Distribution (Brown, William)
pdf_icon  1187  05/07/2021  STATUS REPORT FIFTH Written Status Report of the Receiver by William J. Brown. (Brown, William)
pdf_icon 1186 05/07/2021 ORDER granting [1183] Motion for Compensation for Services Rendered Fourteenth Interim Application of Chiampou Travis Besaw & Kerschner, LLP for Approval of Fees filed. Signed by Magistrate Judge Christian F. Hummel on 5/5/2021.
pdf_icon 1185 05/07/2021 ORDER granting [1182] Motion for Attorney Fees: Seventeenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Signed by Magistrate Judge Christian F. Hummel on 5/5/2021. (tab)
pdf_icon 1184  04/30/2021   NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Twenty-First Payment Schedule of SECOND Investor Distribution (Brown, William)
pdf_icon 1183 04/08/2021 MOTION Compensation for Services Rendered Fourteenth Interim Application of Chiampou Travis Besaw & Kerschner, LLP for Approval of Fees filed by William J. Brown. Response to Motion due by 4/29/2021 (Attachments: # (1) Fourteenth Fee Application, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Proposed Order/Judgment, # (5) Certificate of Service) Motions referred to Christian F. Hummel. (Brown, William)
pdf_icon 1182 04/08/2021 MOTION for Attorney Fees Seventeenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses filed by William J. Brown. Motion returnable before Judge Christian F. Hummel Response to Motion due by 4/29/2021 (Attachments: # (1) Seventeenth Interim Application of Phillips Lytle LLP and the Receiver for Allowance of Compensation and Reimbursement of Expenses, # (2) Exhibit(s) A, # (3) Exhibit(s) B, # (4) Exhibit(s) C, # (5) Proposed Order/Judgment, # (6) Certificate of Service) (Brown, William)
pdf_icon 1181 02/15/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Twentieth Payment Schedule of SECOND Investor Distribution (Brown, William)
pdf_icon 1180 01/25/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Nineteenth Payment Schedule of SECOND Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1179 01/15/2021

NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Eighteenth Payment Schedule of SECOND Investor Distribution (Preferred Investors) (Brown, William)
pdf_icon 1178 01/15/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Seventeenth Payment Schedule of SECOND Investor Distribution (Preferred/Collateral Recovery Investors) (Brown, William)
pdf_icon 1177 01/08/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Sixteenth Payment Schedule of SECOND Investor Distribution (Collateral Recovery Investors) (Brown, William)
pdf_icon 1176 01/08/2021 NOTICE by William J. Brown re [904] Order on Motion for Miscellaneous Relief,, Order on Letter Request,,, Notice of Filing of Fifteenth Payment Schedule of SECOND Investor Distribution (Brown, William)