U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:11-cv SAS

Transcription

1 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:11-cv SAS U.S. Securities and Exchange Commission v. Sharef et al Date Filed: 12/13/2011 Assigned to: Judge Shira A. Scheindlin Jury Demand: Plaintiff Cause: 15:78m(a) Securities Exchange Act Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff U.S. Securities and Exchange Commission represented by Denise Hansberry Securities and Exchange Commission 100 F Street NE Washington, DC (202) Kara Novaco Brockmeyer 100 F Street NE Washington, DC (202) Fax: (202) Paul W. Kisslinger U.S. Securities and Exchange Commission (DC) 100 F Street, N.E. Washington, DC Fax: kisslingerp@sec.gov Robert Irving Dodge U.S. Securities and Exchange Commission 100 F Street, Ne Washington, DC (202) Fax: (202) dodger@sec.gov PRO HAC VICE Tracy Linkins Price 100 F. Street NE Washington, DC (202)

2 Fax: (202) V. Uriel Sharef TERMINATED: 04/15/2013 represented by Richard W. Grime O'Melveny & Myers 1625 Eye Street, N.W. Washington, DC (202) Fax: (202) PRO HAC VICE Ulrich Bock TERMINATED: 02/04/2014 Carlos Sergi TERMINATED: 10/29/2013 Stephan Signer TERMINATED: 02/04/2014 Herbert Steffen represented by Amanda Grier Skadden, Arps, Slate, Meagher & Flom LLP (DC) 1440 New York Avenue N.W. Washington, DC (202) Fax: PRO HAC VICE Erich T. Schwartz Skadden, Arps, Slate, Meagher & Flom LLP 1440 New York, Ave., Nw

3 Washington, DC Fax: Gary DiBianco Skadden, Arps, Slate, Meagher & Flom LLP 40 Bank Street Canary Wharf London, EN E145DS UK Fax: PRO HAC VICE Andres Truppel TERMINATED: 02/03/2014 represented by Arthur D. Middlemiss Lewis Baach PLLC 405 Lexington Avenue 32nd Floor New York, NY (212) Fax: (212) LEAD ATTORNEY David Guerrero Liston Hughes Hubbard & Reed LLP (NY) One Battery Park Plaza New York, NY (212) Fax: (212) Bernd Regendantz TERMINATED: 12/14/2011 represented by Nicholas Michael DeFeis De Feis O'Connell & Rose, P.C. 500 Fifth Avenue, 26th Floor New York, NY Fax: LEAD ATTORNEY

4 Vera Marie Kachnowski De Feis O'Connell & Rose, P.C. 500 Fifth Avenue, 26th Floor New York, NY (212) Fax: (212) Date Filed # Docket Text 12/13/ COMPLAINT against Ulrich Bock, Bernd Regendantz, Carlos Sergi, Uriel Sharef, Stephan Signer, Herbert Steffen, Andres Truppel. Document filed by U.S. Securities and Exchange Commission.(mro) (ama). (Entered: 12/14/2011) 12/13/2011 SUMMONS ISSUED as to Ulrich Bock, Bernd Regendantz, Carlos Sergi, Uriel Sharef, Stephan Signer, Herbert Steffen, Andres Truppel. (mro) (Entered: 12/14/2011) 12/13/2011 Magistrate Judge Henry B. Pitman is so designated. (mro) (Entered: 12/14/2011) 12/13/2011 Case Designated ECF. (mro) (Entered: 12/14/2011) 12/13/ STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 12/14/2011) 12/14/ FINAL JUDGMENT AS TO DEFENDANT BERND REGENDANTZ #11,2402 in favor of U.S. Securities and Exchange Commission against Bernd Regendantz, in the amount of $ 40, (Signed by Judge Shira A. Scheindlin on 12/13/2011) (Attachments: # 1 Notice of Right to Appeal)(jnm) Modified on 12/20/2011 (jnm). (Entered: 12/14/2011) 12/14/ NOTICE OF APPEARANCE by Nicholas Michael DeFeis on behalf of Bernd Regendantz (DeFeis, Nicholas) (Entered: 12/14/2011) 12/14/ NOTICE OF APPEARANCE by Vera Marie Kachnowski on behalf of Bernd Regendantz (Kachnowski, Vera) (Entered: 12/14/2011)

5 12/16/2011 ***NOTE TO ATTORNEY TO PDF. Note to Attorney Denise Hansberry for noncompliance with Section 14.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. the PDF for Document 1 Complaint to: caseopenings@nysd.uscourts.gov. (mro) (Entered: 12/16/2011) 06/15/ MOTION for Service by Publication. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 06/15/2012) 06/15/ MEMORANDUM OF LAW in Support re: 6 MOTION for Service by Publication.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit)(Dodge, Robert) (Entered: 06/15/2012) 06/19/ ORDER granting 6 Motion for Service by Publication. It is hereby ORDERED that the motion of the Securities and Exchange Commission for leave pursuant to Federal Rule 4(f)(3) to serve s Ulrich Bock, Uriel Sharef, Stefan Signer, and Herbert Steffen by alternative means is GRANTED. The SEC shall serve these s by (i) publication in the International Herald Tribune, along with(ii) delivery of notice copies by mail and electronic mail (in both English and German) to the defendants' German counsel. SO ORDERED.(Signed by Judge Shira A. Scheindlin on 6/18/2012) (ama) (Entered: 06/19/2012) 07/11/ AFFIDAVIT OF SERVICE. Ulrich Bock served on 6/27/2012, answer due 7/18/2012; Uriel Sharef served on 6/27/2012, answer due 7/18/2012; Stephan Signer served on 6/27/2012, answer due 7/18/2012; Herbert Steffen served on 6/27/2012, answer due 7/18/2012. Document filed by U.S. Securities and Exchange Commission. (Kisslinger, Paul) (Entered: 07/11/2012) 07/16/ ORDER: It is hereby ORDERED that the unopposed request of, Herbert Steffen, for an extension of time to respond to the Complaint is GRANTED. The date for a response to the Complaint is extended to August 24, 2012., Herbert Steffen answer due 8/24/2012. (Signed by Judge Shira A. Scheindlin on 7/16/2012) (lmb) (Entered: 07/16/2012) 07/17/ ORDER TO EXTEND TIME TO ANSWER OR OTHERWISE RESPOND TO COMPLAINT:IT IS HEREBY ORDERED by the Court that the unopposed request of ; Uriel Sharef, for an extension of time to respond to the Complaint is GRANTED.The date for a response to the Complaint is extended to August 24, Uriel Sharef answer due 8/24/2012. (Signed by Judge Shira A. Scheindlin on 7/16/2012) (djc) (Entered: 07/18/2012) 07/26/ ORDER: Attorney Richard W. Grime for Uriel Sharef admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 7/25/2012) (cd) (Entered: 07/26/2012) 08/02/ MOTION for Richard W. Grime to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Uriel Sharef.(pgu) (Entered: 08/03/2012) 08/03/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 13 MOTION for Richard W. Grime to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu) (Entered: 08/03/2012)

6 08/06/2012 CASHIERS OFFICE REMARK on 13 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 08/02/2012, Receipt Number (jd) (Entered: 08/06/2012) 08/08/ ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 8/27/2012 at 04:30 PM in Courtroom 15C, at the United States Courthouse, 500 Pearl Street, New York, NY before Judge Shira A. Scheindlin. (Signed by Judge Shira A. Scheindlin on 8/8/2012) (laq) (Entered: 08/08/2012) 08/17/ ENDORSED LETTER: addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 8/16/2012 re: Counsel for Plaintiff writes given the current posture of this case, the SEC and defendants Sharef and Steffen believe that the most efficient use of the Court's and the parties resources would be (i) to adjourn the scheduled August 27 conference for thirty days until September 27, 2012, (ii) to extend until October 31, 2012, the deadline for defendants Sharef and Steffen to respond to SEC's complaint and (iii) for the SEC to provide the Court with a further status report on September 17, ENDORSEMENT: The parties' requests are granted. The August 27 conference is adjourned for 30 days until 4:30 p.m. on September 27, 2012 The deadline for defendants Sharef and Steffen to respond to the SEC's Complaint is extended to October 31, The SEC is directed to provide the Court with a status report on September 17, 2012., Uriel Sharef answer due 10/31/2012; Herbert Steffen answer due 10/31/2012., ( Status Conference set for 9/27/2012 at 04:30 PM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 8/16/2012) (js) (Entered: 08/17/2012) 09/17/ REQUEST TO ENTER DEFAULT against Ulrich Bock, Stephan Signer. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 09/17/2012) 09/19/ CLERK'S CERTIFIACTE OF DEFAULT AS TO Ulrich Bock and Stephan Signer. (dt) (Entered: 09/19/2012) 09/25/ AFFIDAVIT OF SERVICE. Andres Truppel served on 8/3/2012, answer due 8/24/2012. Service was accepted by Natalia Gabriela Albarracin. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 09/25/2012) 09/25/ ORDER FOR ADMISSION PRO HAC VICE: Attorney Erich T. Schwartz for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/25/2012) 09/25/ ORDER FOR ADMISSION PRO HAC VICE: Attorney Amanda Grier for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/25/2012) 09/25/ ORDER FOR ADMISSION PRO HAC VICE: Attorney Gary DiBianco for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/26/2012) 09/28/2012 Minute Entry for proceedings held before Judge Shira A. Scheindlin: Pre-Motion Conference held on 9/28/2012. (djc) (Entered: 10/02/2012) 10/12/ ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 10/9/2012 re: The parties request that any filing dates for motions and discovery obligations with respect to Mr. Sharef be suspended pending the finalization of this

7 settlement. ENDORSEMENT: Filing dates for motions and discovery obligations as to Mr. Sharef are suspended for thirty days. Deadlines for all other defendants remain in place. So ordered. (Signed by Judge Shira A. Scheindlin on 10/11/2012) (rjm) (Entered: 10/12/2012) 10/12/ MOTION to Dismiss the Complaint. Document filed by Herbert Steffen.(Schwartz, Erich) (Entered: 10/12/2012) 10/12/ MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Complaint.. Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 10/12/2012) 10/24/2012 CASHIERS OFFICE REMARK on 19 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number (jd) (Entered: 10/24/2012) 10/24/2012 CASHIERS OFFICE REMARK on 20 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number (jd) (Entered: 10/24/2012) 10/24/2012 CASHIERS OFFICE REMARK on 21 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number (jd) (Entered: 10/24/2012) 10/25/ ORDER granting 23 Motion to Dismiss. ORDERS at the request is GRANTED. The SEC shall file its opposition to defendant Steffen's motion to dismiss by November 12,2012. Steffen's reply shall be due December 6, SO ORDERED.(Signed by Judge Shira A. Scheindlin on 10/24/2012) (ama) (Entered: 10/25/2012) 10/25/2012 Set/Reset Deadlines: Responses due by 11/12/2012 Replies due by 12/6/2012. (ama) (Entered: 10/25/2012) 11/12/ MEMORANDUM OF LAW in Opposition re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 11/12/2012) 11/12/ ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 11/9/2012 re: Counsel for plaintiff writes to advise the Court that Mr. Sharef and the SEC are continuing to finalize the proposed settlement of the SEC's Claims and jointly request that the 30-day stay of Mr. Sharef's deadlines in this litigation be extended for another 30 days. ENDORSEMENT: The 30-day stay of Mr. Sharef's deadlines is extended an additional 30 days until December 10, this does not apply to any other defendants. So Ordered. (Signed by Judge Shira A. Scheindlin on 11/9/2012) (pl) (Entered: 11/13/2012) 11/13/ AMENDED MEMORANDUM OF LAW in Opposition re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Notice of filing corrected brief)(dodge, Robert) (Entered: 11/13/2012) 12/06/ REPLY MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Complaint.. Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 12/06/2012)

8 02/08/ NOTICE of Supplemental Authority re: 28 Memorandum of Law in Opposition to Motion. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/08/2013) 02/11/ RESPONSE re: 30 Notice (Other). Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 02/11/2013) 02/13/ REPLY to Response to Motion re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/13/2013) 02/19/ OPINION AND ORDER # ; re: Steffen's motion to dismiss for lack of personal jurisdiction is granted. The Clerk of the Court is directed to close this motion [Docket No. 23]. (Signed by Judge Shira A. Scheindlin on 2/19/2013) (sac) Modified on 2/27/2013 (rsh). (Entered: 02/19/2013) 03/15/ REQUEST TO ENTER DEFAULT against Andres Ricardo Truppel. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 03/15/2013) 04/12/ FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - SETTLEMENT AGREEMENT Consent of defendant Uriel Sharef. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Proposed final judgment)(dodge, Robert) Modified on 4/15/2013 (ka). (Entered: 04/12/2013) 04/15/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Robert Irving Dodge to to judgments@nysd.uscourts.gov., Document No. 35 Consent. This document is not filed via ECF. (ka) (Entered: 04/15/2013) 04/15/ FINAL JUDGMENT AS TO DEFENDANT URIEL SHAREF #13,0737 in favor of U.S. Securities and Exchange Commission against Uriel Sharef in the amount of $ 275, (Signed by Judge Shira A. Scheindlin on 4/15/13) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 04/16/2013) 04/29/ CLERK'S CERTIFICATE OF DEFAULT as to Andres Ricardo Truppel. (jno) (Entered: 04/29/2013) 10/25/ MOTION for Default Judgment as to defendants Bock, Signer, and Truppel. Document filed by U.S. Securities and Exchange Commission. Responses due by 11/25/2013(Dodge, Robert) (Entered: 10/25/2013) 10/25/ MEMORANDUM OF LAW in Support re: 38 MOTION for Default Judgment as to defendants Bock, Signer, and Truppel.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 10/25/2013) 10/25/ DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Carlos Sergi. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) Modified on 10/28/2013 (jno). (Entered: 10/25/2013) 10/28/2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR

9 APPROVAL. Note to Attorney Robert Dodge Document 40 Notice of Voluntary Dismissal, was referred to Judge Shira A. Scheindlin for approval. (jno) (Entered: 10/28/2013) 10/29/2013 ***DELETED DOCUMENT. Deleted document number 41 Notice of Dismissal As To Carlos Sergi. The document was incorrectly filed in this case. (ja) (Entered: 10/29/2013) 10/29/ MEMO ENDORSEMENT on re: 40 NOTICE OF DISMISSAL AS TO DEFENDANT CARLOS SERGI, filed by U.S. Securities and Exchange Commission. Pursuant to Federal Rule 41(a)(1)(A)(i), Plaintiff Securities and Exchange Commission ("SEC") notifies the Court and all parties that the SEC hereby dismisses all claims in this action against defendant Carlos Sergi. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 10/29/2013) (ja) (Entered: 10/29/2013) 11/01/ NOTICE OF APPEARANCE by Arthur D. Middlemiss on behalf of Andres Truppel. (Middlemiss, Arthur) (Entered: 11/01/2013) 11/01/ NOTICE OF APPEARANCE by David Guerrero Liston on behalf of Andres Truppel. (Liston, David) (Entered: 11/01/2013) 11/16/ MOTION to Withdraw 38 MOTION for Default Judgment as to defendants Bock, Signer, and Truppel.. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 11/16/2013) 11/16/ MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer. Document filed by U.S. Securities and Exchange Commission. Responses due by 12/16/2013(Dodge, Robert) (Entered: 11/16/2013) 11/16/ MEMORANDUM OF LAW in Support re: 45 MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 11/16/2013) 01/31/ SETTLEMENT AGREEMENT Consent to entry of final judgment by defendant Andres Truppel. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 01/31/2014) 02/03/ FINAL JUDGMENT AS TO DEFENDANT ANDRES TRUPPEL in favor of U.S. Securities and Exchange Commission against Andres Truppel. shall pay a civil penalty in the amount of $80, (Signed by Judge Shira A. Scheindlin on 2/3/14) (Attachments: # 1 Notice of Right to Appeal)(ml) (Entered: 02/03/2014) 02/03/ SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 45 MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/03/2014) 02/04/ FINAL JUDGMENT AS TO DEFENDANTS ULRICH BOCK AND STEPHAN SIGNER: in favor of U.S. Securities and Exchange Commission against Ulrich Bock in the amount of $ 937,957.00, and in favor of U.S. Securites and Exchange Commission against Stephan Signer in the amount of $524, (Signed by Judge Shira A. Scheindlin on 2/3/2014) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 02/04/2014)

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