Case: 1:13-cr JHM-HBB As of: 01/18/ :56 AM EST 1 of 30

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 1 of 30 APPEAL,CASREF,CLOSED,PROTOR U.S. District Court Western District of Kentucky (Bowling Green) CRIMINAL DOCKET FOR CASE #: 1:13 cr 00029 JHM HBB 1 Case title: USA v. Faller Date Filed: 08/14/2013 Date Terminated: 02/08/2016 Date Filed # Docket Text 01/10/2017 392 USCA OPINION affirming (MANDATE TO ISSUE) re 359 Notice of Appeal, 384 Notice of Appeal (CDR) (Entered: 01/10/2017) 10/20/2016 391 USCA ORDER denying renewed motion for release on bail pending appeal re 384 Notice of Appeal (JWM) (Entered: 10/20/2016) 05/13/2016 390 ORDER denying 387 Motion to Compel Government to Protect Privileged Material Seized in Raid, filed by James S. Faller II, pro se. Signed by Chief Judge Joseph H. McKinley, Jr. on 5/12/2016. cc: Counsel; James Faller (FCI Gilmer) (CDR) (Entered: 05/13/2016) 05/09/2016 Remark Defendant's mailing address updated to FCI Gilmer this date, pursuant to DN 389. (CDR) (Entered: 05/09/2016) 05/09/2016 389 REPLY TO RESPONSE to Motion by James S. Faller, II, pro se, re 387 MOTION to compel taint review and prevent intrusion. (Attachments: # 1 envelope) (CDR) (Entered: 05/09/2016) 04/26/2016 388 RESPONSE to Motion by USA as to James S. Faller, II re 387 MOTION to compel taint review and prevent intrusion Replies due by 5/13/2016. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 04/26/2016) 04/15/2016 387 MOTION to compel taint review and prevent intrusion by James S. Faller, II. Responses due by 5/2/2016 (Attachments: # 1 Proposed Order Order) (Faller, James) (Entered: 04/15/2016) 04/12/2016 386 USCA NOTICE of Filing letter to CJA appointed counsel re 384 Notice of Appeal (JWM) (Entered: 04/12/2016) 04/12/2016 385 USCA ORDER denying motions for bail pending appeal and to stay the April 15, 2016 surrender date. The motion for reconsideration and to proceed pro se is denied. Faller is granted permission to file a supplemental pro se brief, not to exceed 15 pages, within the time period set by the clerk for filing the appellant's brief. Faller is prohibited from filing pro se motions re 359 Notice of Appeal, 384 Notice of Appeal (JWM) (Entered: 04/12/2016) 04/01/2016 USCA Case Number as to James S. Faller, II #16 5391 for 384 Notice of Appeal filed by James S. Faller, II. (CDR) (Entered: 04/01/2016) 03/31/2016 384 NOTICE OF APPEAL by James S. Faller, II (Faller, James) (Entered: 03/31/2016) 03/28/2016 383 USCA Notice of Filing Letter to CJA Appointed Counsel re 359 Notice of Appeal. (JWM) (Entered: 03/29/2016) 03/28/2016 382 USCA ORDER granting appointed counsel's motion to withdraw. To the extent defendant seeks leave to proceed pro se, the request is denied re 359 Notice of Appeal (JWM) Modified to edit date filed on 3/29/2016 (JWM). (Entered: 03/29/2016) 03/25/2016 381 ORDER by Chief Judge Joseph H. McKinley, Jr. denying 337 356 Motions for New Trial and denying 360 Motion for Bond pending appeal as to James S. Faller II (1). cc: Counsel; Defendant, pro se (CDR) (Entered: 03/25/2016) 03/25/2016 380 USCA ORDER denying petition for writs of prohibition and mandamus re 345 USCA NOTICE of docketing petition for writs of prohibition and mandamus. (JWM) (Entered: 03/25/2016)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 2 of 30 03/21/2016 379 SUPPLEMENTAL SEALED REPLY TO SEALED RESPONSE to Motion re 337 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit) (Faller, James) Modified to edit text and add "supplemental" on 3/22/2016 (JWM). (Entered: 03/21/2016) 03/17/2016 378 ORDER granting 376 Motion for Extension of Time to File Reply up to and through 3/16/2016, as to James S. Faller II (1). Signed by Chief Judge Joseph H. McKinley, Jr. on 3/16/2016. cc: Counsel; James S. Faller II (CDR) (Entered: 03/17/2016) 03/16/2016 377 REPLY TO RESPONSE to Motion by James S. Faller, II re 356 MOTION for New Trial based upon newly discovered evidence (Faller, James) (Entered: 03/16/2016) 03/16/2016 376 MOTION for Extension of Time to File Response/Reply as to 361 Response to Motion, 356 MOTION for New Trial based upon newly discovered evidence by James S. Faller, II. Responses due by 3/28/2016 (Attachments: # 1 Exhibit Email, # 2 Proposed Order) (Faller, James) Modified remove event and to edit event text on 3/17/2016 (JWM). (Entered: 03/16/2016) 03/14/2016 375 SEALED REPLY TO SEALED RESPONSE to Motion re 337 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Exhibit) (Faller, James) (Entered: 03/14/2016) 03/14/2016 374 ORDER by Chief Judge Joseph H. McKinley, Jr. on 3/11/2016 denying 373 Ex Parte SEALED MOTION filed by James S. Faller, II. cc: Counsel; Defendant, pro se (CDR) (Entered: 03/14/2016) 03/11/2016 373 SEALED MOTION: Sealed pursuant to LEAVE OF COURT re 60 Order on Motion to Consider,,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Proposed Order) (Faller, James) (Entered: 03/11/2016) 03/10/2016 372 EXHIBIT INVENTORY filed by Dena Legg, Court Reporter, as to Sentencing Hearing held 1/29/2016. (CDR) (Entered: 03/10/2016) 03/09/2016 371 ORDER granting 370 Motion for Extension of Time to File Reply as to James S. Faller II (1). The Defendant shall file his reply in support of his second motion for new trial no later than 3/15/2016. Signed by Chief Judge Joseph H. McKinley, Jr. on 3/9/2016. cc: Counsel; James S. Faller, II (CDR) (Entered: 03/09/2016) 03/07/2016 370 MOTION for Extension of Time to File Response/Reply as to 361 Response to Motion, 356 MOTION for New Trial based upon newly discovered evidence by James S. Faller, II. Responses due by 3/17/2016 (Attachments: # 1 Exhibit Request to govt for agree exttention, # 2 Exhibit Notice from Lawyer re Sullivan material, # 3 Proposed Order) (Faller, James) (Entered: 03/07/2016) 03/03/2016 369 ORDER by Chief Judge Joseph H. McKinley, Jr. granting 362 Motion to Extend Voluntary Surrender Date as to James S. Faller II (1). The voluntary surrender date is extended to and including 4/15/2016. cc: Counsel; James S. Faller, II; USP (CDR) (Entered: 03/03/2016) 03/02/2016 368 NOTICE OF DOCKET CORRECTION Re:PDF Error: Ex 2 DN 367 document attached to docket entry by efiler re: 367 Reply to Response to Motion, 366 Response to Motion ; Correct document attached to this entry. (Attachments: # 1 Exhibit Ambach Letter) (Faller, James) (Entered: 03/02/2016) 03/01/2016 367 REPLY TO RESPONSE to Motion by James S. Faller, II re 362 MOTION Extend Voluntary Surrender Date (Attachments: # 1 Exhibit Stanziano letter, # 2 Exhibit Ambach Letter, # 3 Exhibit Fax from Judge Russell) (Faller, James) (Attachment 2 replaced on 3/3/2016) (JWM). (Entered: 03/01/2016) 02/29/2016 366 RESPONSE to Motion by USA as to James S. Faller, II re 362 MOTION Extend Voluntary Surrender Date Replies due by 3/17/2016. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 02/29/2016) 02/29/2016 365 RESPONSE to Motion by USA as to James S. Faller, II re 360 MOTION for Bond Pending Appeal Replies due by 3/17/2016. (Attachments: # 1 Proposed Order) (Gentry, Thomas) (Entered: 02/29/2016)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 3 of 30 02/24/2016 364 Notice of Filing Official Transcript re 363. Please review the complete Notice for instructions. (DL) (Entered: 02/24/2016) 02/24/2016 363 FILING OF OFFICIAL TRANSCRIPT of Sentencing as to James S. Faller, II held on 01/29/16, before Judge Joseph H. McKinley, Jr. Court Reporter Dena Legg, Telephone number 502 625 3778. 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 3/21/2016. Redacted Transcript Deadline set for 3/31/2016. Release of Transcript Restriction set for 5/27/2016. (DL) (Entered: 02/24/2016) 02/19/2016 362 MOTION Extend Voluntary Surrender Date by James S. Faller, II. Responses due by 3/7/2016 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 02/19/2016) 02/19/2016 361 RESPONSE to Motion by USA as to James S. Faller, II re 356 MOTION for New Trial based upon newly discovered evidence Replies due by 3/7/2016. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 02/19/2016) 02/12/2016 USCA Case Number as to James S. Faller, II 16 5168 for 359 Notice of Appeal filed by James S. Faller, II. (CDR) (Entered: 02/12/2016) 02/11/2016 360 MOTION for Bond Pending Appeal by James S. Faller, II. Responses due by 2/29/2016 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 02/11/2016) 02/11/2016 359 NOTICE OF APPEAL by James S. Faller, II (Faller, James) (Entered: 02/11/2016) 02/08/2016 358 Statement of Reasons (Sealed) re: 357 Judgment and Commitment. cc: USA/Applicable Counsel (CDR) (Entered: 02/08/2016) 02/08/2016 357 JUDGMENT and COMMITMENT ORDER by Chief Judge Joseph H. McKinley, Jr. on 2/8/2016 as to James S. Faller, II (1) Imprisoned 36 months as to each of Counts 1 and 3 through 7, and 12 months as to each of Counts 8 through 11 (concurrent); Supervised Release 3 years as to each of Counts 3 through 6, and 1 year as to each of Counts 1 and 7 through 11 (concurrent); SPA $700 (total); Restitution $143,113.00; cc: Counsel, Finance, USA (forf.) (CDR) (Entered: 02/08/2016) 02/05/2016 356 MOTION for New Trial based upon newly discovered evidence by James S. Faller, II. Responses due by 2/22/2016 (Attachments: # 1 Exhibit Faller affidavit re contents of missing computer with Mischler email attached, # 2 Exhibit Photo of UPS Envelope sent to Judge Russell April 2008, # 3 Exhibit Series of photos showing box with hidden discovery under flap, # 4 Exhibit Contents of package sent to Judge Russell and returned in 2008, # 5 Exhibit Second box with discovery hidden uner flap, # 6 Exhibit 2005 Sworn statement of Kelly Sullivan, # 7 Exhibit Excerpt of Kelly Sullivan trial testimony, # 8 Exhibit Kentucky Court of Appeals Opinion, # 9 Proposed Order) (Faller, James) (Entered: 02/05/2016) 02/04/2016 355 ORDER by Chief Judge Joseph H. McKinley, Jr. as to James S. Faller, II. Defendant's motion to modify a prior Order concerning contacting certain witnesses (DN 347 ) is GRANTED. The Defendant is free to contact John Ambach, Robert Polk and Cliff Long. Defendant shall file his Reply in connection with his Motion for New Trial on or before 3/15/2016. cc: Counsel; James S. Faller, II (CDR) (Entered: 02/04/2016) 02/04/2016 354 ORDER OF RESTITUTION by Chief Judge Joseph H. McKinley, Jr. on 2/3/2016 as to James S. Faller, II cc: Counsel; James S. Faller, II; Finance; USA (Forf.) (CDR) (Entered: 02/04/2016) 02/02/2016 352 RESPONSE to Motion by USA as to James S. Faller, II re 347 MOTION Contact Witnesses, Extension to file reply and continue sentencing Replies due by 2/19/2016. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 02/02/2016) 01/29/2016 353 Proceedings held before Chief Judge Joseph H. McKinley, Jr: Sentencing held on 1/29/2016. (Court Reporter Dena Legg.) (CDR) (Entered: 02/02/2016) 01/29/2016 351 Court's Advice of Right to Appeal and Acknowledgment by James S. Faller, II. (CDR) (Entered: 02/01/2016)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 4 of 30 01/28/2016 350 USCA ORDER denying the emergency motion to compel re 345. The mandamus petition will be considered at a later date. (JWM) (Entered: 01/28/2016) 01/25/2016 349 OFFICER REVISED FINAL PRESENTENCE INVESTIGATION REPORT (including addendum) as to James S. Faller, II Counsel shall refer to the Court's website:http://www.kywd.uscourts.gov/e filing Re:How Do I View Restricted Documents. (Attachments: # 1 Addendum, # 2 Addendum Supplemental) (cdc) (Entered: 01/25/2016) 01/25/2016 348 ORDER by Chief Judge Joseph H. McKinley, Jr. denying 341 347 Motions to Continue sentencing as to James S. Faller II (1). The government shall respond to the Defendant's request to contact witnesses, and the Defendant may reply, all as provided by local rule. The Defendant's time to file a reply in support of his motion for new trial shall be held in abeyance pending further orders of the Court. cc: Counsel; Defendant Faller (CDR) (Entered: 01/25/2016) 01/22/2016 MOTION for Extension of Time to File Response/Reply re 337 (See DN 347 to view PDF) Responses due by 2/1/2016 (JWM) Modified to edit text on 1/25/2016 (JWM). (Entered: 01/25/2016) 01/22/2016 347 MOTION Contact Witnesses, Extension to file reply and continue sentencing by James S. Faller, II. Responses due by 2/8/2016 (Attachments: # 1 Proposed Order, # 2 Proposed Order) (Faller, James) (Entered: 01/22/2016) 01/21/2016 346 FINAL PRESENTENCE INVESTIGATION REPORT (including addendum) as to James S. Faller, II Counsel shall refer to the Court's website:http://www.kywd.uscourts.gov/e filing Re:How Do I View Restricted Documents. (Attachments: # 1 Addendum, # 2 Response by AUSA, FDO, Defendant) (lh) (Entered: 01/21/2016) 01/19/2016 345 USCA NOTICE of docketing petition for writ of mandamus or prohibition, assigned case number 16 5056. (Attachments: # 1 Petition for Supervisory Writ, Writ of Prohibition, Writ of Mandamus) (CDR) (Entered: 01/20/2016) 01/19/2016 344 SEALED RESPONSE to Sealed Motion re 337 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. Replies due by 2/5/2016. (Attachments: # 1 Exhibit A Declaration of John W. Ambach, Jr., # 2 Proposed Order) (Gentry, Thomas) (Entered: 01/19/2016) 01/19/2016 343 SENTENCING MEMORANDUM for James S. Faller, II by James S. Faller, II. (Wendelsdorf, Scott) (Entered: 01/19/2016) 01/15/2016 342 RESPONSE to Motion by USA as to James S. Faller, II re 341 MOTION to Continue Sentencing hearing set January 29, 2016 Replies due by 2/1/2016. (Attachments: # 1 Proposed Order) (Gentry, Thomas) (Entered: 01/15/2016) 01/15/2016 341 MOTION to Continue Sentencing hearing set January 29, 2016 by James S. Faller, II. Responses due by 2/1/2016 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 01/15/2016) 01/11/2016 NOTICE OF DOCKET CORRECTION re 340 Notice (Other); Error: Document should have been filed as a Sealed Document, pursuant to Protective Order; Correction: Docket entry sealed and text edited accordingly, pursuant to the Protective Order entered at DN 112 and modified at DN 162 and DN 279. (CDR) (Entered: 01/11/2016) 01/08/2016 340 SEALED DOCUMENT: Sealed pursuant to PROTECTIVE ORDER re 279 Order, 162 Order, 112 Protective Order. (Attachments: # 1 Exhibit Sworn Affirmation) (Wendelsdorf, Scott) Modified on 1/8/2016 to SEAL and on 1/11/2016 to edit text accordingly (CDR). (Entered: 01/08/2016) 01/07/2016 339 ORDER by Chief Judge Joseph H. McKinley, Jr. as to James S. Faller II (1), denying 332 Emergency Motion for Temporary Restraining Order and Permanent Injunction and 333 Motion to Supplement. cc: Counsel; James Faller, pro se (CDR) (Entered: 01/07/2016) 01/05/2016 338 REPLY TO RESPONSE to Motion by James S. Faller, II re 332 MOTION Emergency restraining order to restrain govt and Carl and Scarlett Devine, 333 MOTION to Supplement emergency motion for restraining order re 332 Motion for Miscellaneous

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 5 of 30 Relief,, (Faller, James) (Entered: 01/05/2016) 01/04/2016 337 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit 1 affidavit, # 2 Exhibit 2 affidavit, # 3 Exhibit 3 2006 tax return, # 4 Exhibit 3 2007 tax return, # 5 Exhibit 3 2008 tax return, # 6 Exhibit 3 2009 tax return, # 7 Exhibit 3 affidavit for returns, # 8 Exhibit 4 notice to govt lawyer deceased, # 9 Exhibit 5 Ltr to Def from lawyer, # 10 Exhibit 6 Ltr to Ambach, # 11 Exhibit 7 Ltr to bar looking for files, # 12 Exhibit 8 Files found, # 13 Exhibit 9 Affidavit custodian of records, # 14 Exhibit 10 Attny affidavit, # 15 Exhibit 11 Affidavit, # 16 Exhibit 12 Affidavit, # 17 Proposed Order) (Faller, James) (Entered: 01/04/2016) 12/21/2015 336 RESPONSE to Motion by USA as to James S. Faller, II re 332 MOTION Emergency restraining order to restrain govt and Carl and Scarlett Devine Replies due by 1/7/2016. (Attachments: # 1 Exhibit A Corporate Filings with Secretary of State, # 2 Proposed Order) (Gentry, Thomas) (Entered: 12/21/2015) 12/11/2015 335 NOTICE of filing transcripts re 333 MOTION, 332 MOTION Emergency restraining order to restrain govt and Carl and Scarlett Devine, 333 MOTION to Supplement emergency motion for restraining order re 332 Motion for Miscellaneous Relief,, (Attachments: # 1 Exhibit Transcript of Phone call 1, # 2 Exhibit Transcript of Phone call 2, # 3 Exhibit Transcript of Deposition) (Faller, James) Modified to edit links on 12/14/2015 (JWM). (Entered: 12/11/2015) 12/08/2015 334 NOTICE of filing tendered Order to DN 333 re 333 MOTION to Supplement emergency motion for restraining order re 332 Motion for Miscellaneous Relief,, (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 12/08/2015) 12/07/2015 333 MOTION to Supplement emergency motion for restraining order re 332 Motion for Miscellaneous Relief,, by James S. Faller, II. Responses due by 12/24/2015 (Attachments: # 1 Exhibit Affidavit of Jaime) (Faller, James) (Additional attachment(s) added on 12/9/2015: # 2 Proposed Order) (CDR). (Entered: 12/07/2015) 12/04/2015 332 MOTION Emergency restraining order to restrain govt and Carl and Scarlett Devine by James S. Faller, II. Responses due by 12/21/2015 (Attachments: # 1 Exhibit Affidavit of Attorney Aprile, # 2 Exhibit Email to govt regarding Devine, # 3 Exhibit Letter to Gonzales, # 4 Exhibit Motion for TRO granted in state court, # 5 Exhibit Deposition of Devine, # 6 Exhibit Carl Devine email, # 7 Exhibit Gnetry email re conflict, # 8 Exhibit Civil docket sheet, # 9 Exhibit Opinion Kentucky Ct of Appeals, # 10 Proposed Order) (Faller, James) (Entered: 12/04/2015) 12/04/2015 331 ORDER by Chief Judge Joseph H. McKinley, Jr. denying Defendant's motion for the production of Brady material (DN 322 ) and an evidentiary hearing (DN 328 ). Defendant's motion for service of pleadings (DN 326 ) is GRANTED. The government will ensure that the Defendant, along with his appointed counsel, is served with all pleadings in this case. cc: Counsel; Defendant, pro se (CDR) Modified to add text on 12/4/2015 (CDR). (Entered: 12/04/2015) 11/30/2015 330 REPLY TO RESPONSE to Motion by James S. Faller, II re 326 MOTION to Compel proper service (Attachments: # 1 Exhibit Govt press releases) (Faller, James) (Entered: 11/30/2015) 11/30/2015 329 RESPONSE to Motion by USA as to James S. Faller, II re 326 MOTION to Compel proper service Replies due by 12/17/2015. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 11/30/2015) 11/23/2015 328 MOTION for Hearing on Brady and Tax issues by James S. Faller, II. Responses due by 12/10/2015 (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 11/23/2015) 11/23/2015 327 REPLY TO RESPONSE to Motion by James S. Faller, II re 322 MOTION for Release of Brady Materials from IRS Agent John Ambach (Attachments: # 1 Exhibit Stanziano Email to John Ambach, # 2 Exhibit Stanziano Email to James Faller) (Faller, James) (Entered: 11/23/2015) 11/13/2015 326 MOTION to Compel proper service by James S. Faller, II. Responses due by 11/30/2015 (Attachments: # 1 Exhibit Email requesting material, # 2 Exhibit Email asking for help from PD and email to Court from Govt., # 3 Exhibit Email from govt

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 6 of 30 re Cliff Long, # 4 Exhibit Email govt providing sealed materials, # 5 Exhibit Email re confer, # 6 Exhibit Email re confer, # 7 Exhibit Email govt providing sealed materials, # 8 Exhibit Email providing sealed response, # 9 Proposed Order Order) (Faller, James) (Entered: 11/13/2015) 11/13/2015 325 ORDER granting 323 Government's Sealed Motion for leave to Seal a Document as to James S. Faller II (1), re DN 324. Signed by Chief Judge Joseph H. McKinley, Jr. on 11/12/2015. cc: Counsel; Defendant James S. Faller, II(CDR) (Entered: 11/13/2015) 11/12/2015 SEALED RESPONSE to Motion (See DN 324 to view PDF document.) by USA, re 322 MOTION for Release of Brady Materials. Replies due by 11/30/2015. (CDR) (Entered: 11/13/2015) 11/12/2015 324 SEALED DOCUMENT Sealed pursuant to MOTION TO SEAL re 322 MOTION for Release of Brady Materials, 323 SEALED MOTION for Leave to Seal a Document by USA. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 11/12/2015) 11/12/2015 323 SEALED MOTION for Leave to Seal a Document by USA by USA as to James S. Faller, II. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 11/12/2015) 11/09/2015 322 MOTION for Release of Brady Materials by James S. Faller, II. Responses due by 11/27/2015 (Attachments: # 1 Exhibit 1 E mail to Government Regarding Witness Death, # 2 Exhibit 2 September 2, 2015 E mail to Government Request for Brady Materials, # 3 Exhibit 3 October 30, 2015 Second Request for Brady Materials, # 4 Exhibit 4 Affidavit of CPA Mark Enderle, # 5 Proposed Order) (Faller, James) Modified to add exhibit descriptions on 11/10/2015 (JWM). (Entered: 11/09/2015) 10/27/2015 321 ORDER granting 316 Sealed Motion for leave to Seal a Document as to James S. Faller II (1). Signed by Chief Judge Joseph H. McKinley, Jr. on 10/26/2015. cc: Counsel (CDR) (Entered: 10/27/2015) 10/26/2015 320 ORDER by Chief Judge Joseph H. McKinley, Jr. granting 313 Motion to Continue as to James S. Faller II (1). Sentencing hearing continued to 1/29/2016 at 10:00 AM CT in Bowling Green before Chief Judge Joseph H. McKinley Jr. The provisions of the prior sentencing order (DN 234 ) shall remain in effect. Particular attention is drawn to paragraph 5 with respect to the exchange of information related to witness testimony expected to be offered at the hearing. Defendant shall, no later than thirty (30) days prior to the sentencing hearing, disclose to the government all information in support of any credit, deduction, or exemption he or his accountant will be advancing at the hearing. cc: Counsel; Defendant (CDR) (Entered: 10/26/2015) 10/26/2015 319 REPLY TO RESPONSE to Motion by James S. Faller, II re 313 MOTION to Continue Sentencing set for November 10, 2015 Supplemental (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 10/26/2015) 10/23/2015 318 REPLY TO RESPONSE to Motion by James S. Faller, II re 313 MOTION to Continue Sentencing set for November 10, 2015 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 10/23/2015) 10/23/2015 317 SEALED DOCUMENT Sealed pursuant to MOTION TO SEAL re 316 SEALED MOTION for Leave to Seal a Document by USA. (Voracek, Thomas) (Entered: 10/23/2015) 10/23/2015 316 SEALED MOTION for Leave to Seal a Document by USA by USA as to James S. Faller, II. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 10/23/2015) 10/23/2015 315 SENTENCING MEMORANDUM for James S. Faller, II by USA. (Attachments: # 1 Exhibit Attachment One) (Voracek, Thomas) (Entered: 10/23/2015) 10/23/2015 314 RESPONSE to Motion by USA as to James S. Faller, II re 313 MOTION to Continue Sentencing set for November 10, 2015 Replies due by 11/9/2015. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 10/23/2015) 10/22/2015 313 MOTION to Continue Sentencing set for November 10, 2015 by James S. Faller, II. Responses due by 11/9/2015 (Attachments: # 1 Exhibit Sworn Statement of David

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 7 of 30 Hicks, # 2 Proposed Order) (Wendelsdorf, Scott) (Entered: 10/22/2015) 10/21/2015 312 ORDER denying 306 Motion to Set Aside Court's order denying Defendant's motion to compel production of Brady material and to amend prior order, as to James S. Faller II (1). Signed by Chief Judge Joseph H. McKinley, Jr. on 10/21/2015. cc: Counsel; James Faller (CDR) (Entered: 10/21/2015) 10/15/2015 311 REPLY TO RESPONSE to Motion by James S. Faller, II re 306 MOTION to Set Aside Order denying production of Brady material (Faller, James) (Entered: 10/15/2015) 10/13/2015 310 OBJECTION TO PRESENTENCE INVESTIGATION REPORT by James S. Faller, II as to James S. Faller, II (Wendelsdorf, Scott) (Entered: 10/13/2015) 10/09/2015 309 RESPONSE to Motion by USA as to James S. Faller, II re 306 MOTION to Set Aside Order denying production of Brady material Replies due by 10/26/2015. (Attachments: # 1 Proposed Order) (Gentry, Thomas) (Entered: 10/09/2015) 10/01/2015 308 SEALED DOCUMENT Sealed pursuant to PROTECTIVE ORDER re 279 Order on Motion for Miscellaneous Relief,,, 112 Order, Set/Clear Flags, 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,., 306 MOTION to Set Aside Order denying production of Brady material, 305 Order on Sealed Motion, 299 Sealed Response to Sealed Motion,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit) (Faller, James) (Entered: 10/01/2015) 09/28/2015 307 EXHIBIT INVENTORY filed as to Jury Trial held 6/1/2015 6/12/2015. (CDR) (Entered: 09/28/2015) 09/25/2015 306 MOTION to Set Aside Order denying production of Brady material by James S. Faller, II. Responses due by 10/13/2015 (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 09/25/2015) 09/21/2015 305 ORDER as to James S. Faller II (1): denying 277 Sealed Motion; denying 297 Sealed Motion. Signed by Chief Judge Joseph H. McKinley, Jr on 9/18/2015. cc: Counsel, defendant (pro se) (JBM) (Entered: 09/21/2015) 09/21/2015 304 ORDER as to James S. Faller II (1) denying 271 Sealed Motion. Signed by Chief Judge Joseph H. McKinley, Jr on 9/18/2015. cc: Counsel, Defendant (pro se)(jbm) (Entered: 09/21/2015) 09/15/2015 303 ORDER by Chief Judge Joseph H. McKinley, Jr. granting 300 Motion to Withdraw Document as to James S. Faller II (1), re 295 Motion for Extension of Time to File Response/Reply. cc: Counsel; James S. Faller, II (CDR) (Entered: 09/15/2015) 09/15/2015 302 NOTICE by USA re 300 MOTION to Withdraw Document 295 MOTION for Extension of Time to File Response/Reply as to 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 09/15/2015) 09/14/2015 301 SEALED REPLY TO SEALED RESPONSE to Motion re 271 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 162 Order. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit) (Faller, James) Modified to remove links and edit text on 9/17/2015 (CDR). (Entered: 09/14/2015) 09/14/2015 300 MOTION to Withdraw Document 295 MOTION for Extension of Time to File Response/Reply as to 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. by USA as to James S. Faller, II. Responses due by 10/1/2015 (Voracek, Thomas) (Entered: 09/14/2015) 09/14/2015 299 SEALED RESPONSE to Sealed Motion re 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. Replies due by 10/1/2015. (Attachments: # 1 Exhibit One, # 2 Proposed Order) (Voracek, Thomas) (Entered: 09/14/2015) 09/11/2015 298 SEALED ORDER by Magistrate Judge H. Brent Brennenstuhl denying 296 Sealed Motion as to James S. Faller II (1). cc: Counsel of Record; Defendant Faller service by U.S. Mail on paper. (CDR) (Entered: 09/11/2015)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 8 of 30 09/11/2015 297 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 279 Order on Motion for Miscellaneous Relief,,, 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Exhibit, # 12 Exhibit) (Faller, James) (Entered: 09/11/2015) 09/10/2015 296 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 279 Order on Motion for Miscellaneous Relief,,, 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit Documents, # 2 Exhibit affidavit) (Faller, James) (Entered: 09/10/2015) 09/09/2015 295 MOTION for Extension of Time to File Response/Reply as to 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. by USA as to James S. Faller, II. Responses due by 9/21/2015 (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 09/09/2015) 09/04/2015 294 ORDER granting 278 Motion to Continue sentencing as to James S. Faller II (1). Sentencing continued to 11/10/2015 at 9:00 AM CST in Bowling Green before Chief Judge Joseph H. McKinley Jr. All deadlines related to sentencing set forth in the Court's Order entered 6/17/2015 (DN 234 ) remain in effect. Signed by Chief Judge Joseph H. McKinley, Jr. on 9/4/2015. cc: Counsel, James Faller (CDR) (Entered: 09/04/2015) 09/03/2015 293 REPLY TO RESPONSE to Motion by James S. Faller, II re 278 MOTION to Continue Sentencing set for September 17, 2015 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 09/03/2015) 09/01/2015 281 RESPONSE to Motion by USA as to James S. Faller, II re 278 MOTION to Continue Sentencing set for September 17, 2015 Replies due by 9/18/2015. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 09/01/2015) 08/31/2015 Remark Docket entries 240 Sealed Motion for Leave to Seal a Document, 241 Sealed Motion, 245 Sealed Motion for Leave to Seal a Document, and 246 Sealed Response to Sealed Motion UNSEALED this date, pursuant to Order (DN 280 ) denying leave to seal. (CDR) (Entered: 08/31/2015) 08/28/2015 280 ORDER by Chief Judge Joseph H. McKinley, Jr. on 8/27/2015 as to James S. Faller, II. Defendant's motions to produce the grand jury testimony of IRS Agent Matthew Sauber and any other trial witness and to seal all the grand jury testimony into the record in case of appeal and to issue a subpoena for text messages of Kelly and Johnny Sullivan (DN 241 ); to seal Docket Number 241 (DN 240 ); and to contact witnesses (DN 243 ) are DENIED. IT IS FURTHER ORDERED that Defendant's motion to extend time to file replies (DN 258 ) is GRANTED. IT IS FURTHER ORDERED that the motion by the United States to seal Docket Number 246 (DN 245 ) is DENIED. cc: Counsel; James S. Faller, II (CDR) (Entered: 08/28/2015) 08/28/2015 279 ORDER by Magistrate Judge H. Brent Brennenstuhl as to James S. Faller II (1). IT IS HEREBY ORDERED that Defendant's motion to rescind the protective order (DN 248 ) is GRANTED IN PART and DENIED IN PART. IT IS FURTHER ORDERED that the protective order entered at DN 112 and modified at DN 162 is herewith further modified. (See Order for specifics.) Defendant's motion is DENIED to the extent he advocates on behalf of other persons regarding cases in which he is not a named party. IT IS FURTHER ORDERED that Defendant's request for rescission of the protective order regarding any material produced to him by the United States in this action pursuant to the Jencks Act is DENIED. cc: Counsel; James S. Faller, II, pro se (CDR) (Entered: 08/28/2015) 08/27/2015 278 MOTION to Continue Sentencing set for September 17, 2015 by James S. Faller, II. Responses due by 9/14/2015 (Attachments: # 1 Proposed Order) (Wendelsdorf, Scott) (Entered: 08/27/2015) 08/26/2015 277 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 112 Order, Set/Clear Flags, 162 Order,. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Proposed Order) (Faller, James) (Entered: 08/26/2015) 08/26/2015 276 SEALED RESPONSE to Sealed Motion re 271 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 162 Order,. Replies due by 9/14/2015. (Attachments: # 1 Proposed Order) (Gentry, Thomas) (Entered: 08/26/2015)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 9 of 30 08/20/2015 275 REPORT for proceedings held before Magistrate Judge H. Brent Brennenstuhl: Telephone Conference as to James S. Faller, II held on 8/18/2015, re 248 Motion to Set Aside or Redact Protective Order. The Court advised the information obtained during this telephonic conference was beneficial to him and that he would issue a ruling on the motion in the near future. cc: Counsel; James S. Faller, II (CDR) (Entered: 08/20/2015) 08/17/2015 274 TEXT ORDER by Magistrate Judge H. Brent Brennenstuhl on 8/17/2015, as to James S. Faller, II, upon request of Defendant; IT IS ORDERED the Telephone Conference scheduled for 8/21/2015 is REMANDED from the Court's docket and is RESCHEDULED to be conducted on 8/18/2015, at 9:00 AM, CDT. The Court will initiate the call. This Notice of Electronic Filing is the Official ORDER for this entry. No document is attached. cc:counsel (KL) (Entered: 08/17/2015) 08/14/2015 273 TEXT ORDER by Magistrate Judge H. Brent Brennenstuhl on 8/14/2015, as to James S. Faller, II; Upon the Court's own motion; IT IS ORDERED a Telephone Conference shall be conducted on 8/21/2015, at 01:30 PM, CDT before Magistrate Judge H. Brent Brennenstuhl. The Court will initiate the call. This Notice of Electronic Filing is the Official ORDER for this entry. No document is attached. cc:counsel (KL) (Entered: 08/14/2015) 08/13/2015 272 DISCLOSURE PRESENTENCE INVESTIGATION REPORT as to James S. Faller, II Counsel shall refer to the Court's website:http://www.kywd.uscourts.gov/e filing Re:How Do I View Restricted Documents. (Attachments: # 1 Cover Sheet) (cdc) (Entered: 08/13/2015) 08/09/2015 271 SEALED MOTION: Sealed pursuant to PROTECTIVE ORDER re 162 Order,. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4a, # 5 Exhibit 4b, # 6 Exhibit 4c, # 7 Exhibit 4d, # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 7a, # 12 Exhibit 7b, # 13 Exhibit 7c, # 14 Exhibit 7d, # 15 Exhibit 8, # 16 Proposed Order) (Faller, James) (Entered: 08/09/2015) 08/04/2015 270 REPLY TO RESPONSE to Motion by James S. Faller, II re 243 MOTION to contact witnesses (Faller, James) (Entered: 08/04/2015) 08/04/2015 268 REPLY TO RESPONSE to Motion by James S. Faller, II re 248 MOTION to rescind Protective Order (Faller, James) (Entered: 08/04/2015) 08/04/2015 267 SEALED REPLY TO SEALED RESPONSE to Motion re 241 SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 240 SEALED MOTION for Leave to Seal a Document. (Attachments: # 1 Exhibit Email, # 2 Exhibit Attachment to email, # 3 Exhibit Affidavit) (Faller, James) (Entered: 08/04/2015) 07/29/2015 266 Notice of Filing Official Transcript re 261, 263, 259, 264, 260, 262. Please review the complete Notice for instructions. (TT) (Entered: 07/29/2015) 07/29/2015 265 SEALED DOCUMENT (TT) (Entered: 07/29/2015) 07/29/2015 264 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 10B) as to James S. Faller, II held on 6/12/2015, before Judge Joseph H. McKinley, Jr. Transcriber Terri Turner, Telephone number 270 415 6417. Transcript may be viewed at the court public terminal or purchased through the Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 263 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 10A) as to James S. Faller, II held on 6/12/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Terri Turner, Telephone number 270 415 6417. 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.

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 10 of 30 Redaction Request due 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 262 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 9) as to James S. Faller, II held on 6/11/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Terri Turner, Telephone number 270 415 6417. 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 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 261 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 8) as to James S. Faller, II held on 6/10/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Terri Turner, Telephone number 270 415 6417. 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 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 260 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 7) as to James S. Faller, II held on 6/9/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Terri Turner, Telephone number 270 415 6417. 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 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 259 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 6) as to James S. Faller, II held on 6/8/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Terri Turner, Telephone number 270 415 6417. 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 8/24/2015. Redacted Transcript Deadline set for 9/3/2015. Release of Transcript Restriction set for 10/30/2015. (TT) (Entered: 07/29/2015) 07/29/2015 258 MOTION for Extension of Time to File Response/Reply as to 243 MOTION to contact witnesses, 246 Sealed Response to Sealed Motion, 247 Response to Motion, 241 SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 240 SEALED MOTION for Leave to Seal a Document. by James S. Faller, II. Responses due by 8/10/2015 (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 07/29/2015) 07/29/2015 257 RESPONSE to Motion by USA as to James S. Faller, II re 248 MOTION to rescind Protective Order Replies due by 8/17/2015. (Attachments: # 1 Proposed Order) (Voracek, Thomas) (Entered: 07/29/2015) 07/28/2015 256 Notice of Filing Official Transcript re 255, 253, 254. Please review the complete Notice for instructions. (DL) (Entered: 07/28/2015) 07/28/2015 255 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 5) as to James S. Faller, II held on 06/05/15, before Judge Joseph H. McKinley, Jr. Court Reporter Dena Legg, Telephone number 502 625 3778. 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 8/21/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015. (DL) (Entered: 07/28/2015) 07/28/2015 254 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 4) as to James S. Faller, II held on 06/04/15, before Judge Joseph H. McKinley, Jr. Court Reporter Dena Legg, Telephone number 502 625 3778. 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 8/21/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015. (DL) (Entered: 07/28/2015) 07/28/2015 253 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 3) as to James S. Faller, II held on 06/03/15, before Judge Joseph H. McKinley, Jr.. Court Reporter Dena Legg, Telephone number 502 625 3778. Transcript may be viewed at the court public

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 11 of 30 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 8/21/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015. (DL) (Entered: 07/28/2015) 07/28/2015 252 SEALED DOCUMENT (DL) (Entered: 07/28/2015) 07/27/2015 251 Notice of Filing Official Transcript re 249, 250. Please review the complete Notice for instructions. (AWW) (Entered: 07/27/2015) 07/27/2015 250 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 2) as to James S. Faller, II, held on 6/2/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Alan Wernecke, Telephone number 502 625 3779. 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 8/20/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015. (AWW) (Entered: 07/27/2015) 07/27/2015 249 FILING OF OFFICIAL TRANSCRIPT of Jury Trial (Volume 1) as to James S. Faller, II, held on 6/1/2015, before Judge Joseph H. McKinley, Jr. Court Reporter Alan Wernecke, Telephone number 502 625 3779. 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 8/20/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015. (AWW) (Entered: 07/27/2015) 07/21/2015 MOTIONS as to James S. Faller, II REFERRED to Magistrate Judge: 248 MOTION to rescind Protective Order (EAS) (Entered: 07/21/2015) 07/17/2015 248 MOTION to rescind Protective Order by James S. Faller, II. Responses due by 8/3/2015 (Attachments: # 1 Exhibit Affidavit of Vince Aprile, # 2 Exhibit Order in Bankruptcy Case, # 3 Exhibit Affidavit of Michael McClain, # 4 Proposed Order) (Faller, James) (Entered: 07/17/2015) 07/15/2015 247 RESPONSE to Motion by USA as to James S. Faller, II re 243 MOTION to contact witnesses Replies due by 8/3/2015. (Attachments: # 1 Proposed Order) (Gentry, Thomas) (Entered: 07/15/2015) 07/13/2015 246 **UNSEALED pursuant to DN 280 ** SEALED RESPONSE to Sealed Motion re 241 SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 240 SEALED MOTION for Leave to Seal a Document. Replies due by 7/30/2015. (Attachments: # 1 Proposed Order) (Gentry, Thomas) Modified to UNSEAL on 8/31/2015 (CDR). (Entered: 07/13/2015) 07/13/2015 245 **UNSEALED pursuant to DN 280 ** SEALED MOTION for Leave to Seal a Document by USA by USA as to James S. Faller, II. (Attachments: # 1 Proposed Order) (Gentry, Thomas) Modified to UNSEAL on 8/31/2015 (CDR). (Entered: 07/13/2015) 07/01/2015 244 ORDER by Chief Judge Joseph H. McKinley, Jr. on 6/30/2015 as to James S. Faller, II. The Court, on its own motion, does hereby extend the time for filing a motion for a new trial pursuant to Rule 33. IT IS HEREBY ORDERED that Defendant's motion for a new trial shall be filed within 14 days of the date the entire trial transcript is completed and filed in the record. cc: Counsel; James S. Faller, II (CDR) (Entered: 07/01/2015) 06/29/2015 243 MOTION to contact witnesses by James S. Faller, II. Responses due by 7/16/2015 (Attachments: # 1 Proposed Order, # 2 Exhibit Interview of Sullivan) (Faller, James) (Entered: 06/29/2015) 06/25/2015 242 SEALED NOTICE OF DOCKET CORRECTION RE: PDF re 241 SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 240 SEALED MOTION for Leave to Seal a Document. (Faller, James) Modified text on 6/25/2015 (CDRS). (Entered: 06/25/2015) 06/25/2015 241 **UNSEALED pursuant to DN 280 ** SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 240 SEALED MOTION for Leave to Seal a Document. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Proposed Order, # 5 Proposed

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 12 of 30 Order, # 6 Proposed Order) (Faller, James) (Main Document 241 replaced on 6/25/2015) (CDRS). Modified to UNSEAL on 8/31/2015 (CDR). (Entered: 06/25/2015) 06/25/2015 240 **UNSEALED pursuant to DN 280 ** SEALED MOTION for Leave to Seal a Document by James S. Faller, II. (Attachments: # 1 Proposed Order) (Faller, James) Modified to UNSEAL on 8/31/2015 (CDR). (Entered: 06/25/2015) 06/24/2015 239 ORDER by Chief Judge Joseph H. McKinley, Jr. on 6/24/2015 as to James S. Faller, II re 235 EX PARTE MOTION and 236 SEALED MOTION for Leave to Seal a Document. Defendant's ex parte motion is DENIED WITHOUT PREJUDICE, and Defendant is allowed to re file the instant motion on CM/ECF in order for the United States to be given the opportunity to respond. IT IS FURTHER ORDERED that Defendant's motion to seal his ex parte motion (DN 236 ) is DENIED as MOOT. cc: Counsel; James S. Faller, II (CDR) (Entered: 06/24/2015) 06/24/2015 238 Notice of Filing Official Transcript re 237. Please review the complete Notice for instructions. (AWW) (Entered: 06/24/2015) 06/24/2015 237 FILING OF OFFICIAL TRANSCRIPT of Initial Apperance and Arraignment as to James S. Faller, II held on 8/28/2013, before Magistrate Judge H. Brent Brennenstuhl. Court Reporter/Transcriber Alan Wernecke, Telephone number 502 625 3779. 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 7/20/2015. Redacted Transcript Deadline set for 7/30/2015. Release of Transcript Restriction set for 9/25/2015. (AWW) (Entered: 06/24/2015) 06/23/2015 236 SEALED MOTION for Leave to Seal a Document by James S. Faller, II. (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 06/23/2015) 06/23/2015 235 EX PARTE MOTION by James S. Faller, II. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Proposed Order, # 5 Proposed Order, # 6 Proposed Order) (Faller, James) (Entered: 06/23/2015) 06/17/2015 234 ORDER by Chief Judge Joseph H. McKinley, Jr. on 6/16/2015 as to James S. Faller, II. Jury trial held June 1, 2, 3, 4, 5, 8, 9, 10, 11, and 12, 2015. Official court reporters were Alan Wernecke, Dena Legg, and Terri Turner. A portion of the proceedings were also digitally recorded. IT IS HEREBY ORDERED that Defendant James S. Faller, II, is adjudicated not guilty as to Count 2 of the Indictment and is adjudicated guilty as to each of Counts 1, 3, 4, 5, 6, 7, 8, 9, 10 and 11 of the Indictment, re 223 Jury Verdict. Sentencing is set for 9/17/2015 at 9:00 AM CT in Bowling Green before Chief Judge Joseph H. McKinley Jr. (Presentencing deadlines set forth.) United States' oral motion that Defendant have no contact with any government witness in this case GRANTED. (See Order for specifics.) IT IS ORDERED that the matter of appointment of counsel is referred to U.S. Magistrate Judge Dave Whalin. IT IS FURTHER ORDERED that the Defendant's unopposed oral motion to extend time to file post trial motions is GRANTED. Defendant shall file any post trial motions under Criminal Rule 33 within twenty one (21) days after verdict. Defendant allowed to remain on bond pending further order of the Court. cc: Counsel (CDR) (Entered: 06/17/2015) 06/17/2015 233 ORDER ON EX PARTE HEARING for proceedings held before Magistrate Judge Dave Whalin: An Ex Parte Hearing as to James S. Faller, II held on 6/16/2015. Scott Wendelsdorf, Federal Defender, is appointed to represent the Defendant in the sentencing phase of this action. The Defendant's request for appointment otherwise is DENIED. IT IS FURTHER ORDERED that the official recording of this hearing shall be filed under seal. (Court Reporter digitally recorded.) cc: Counsel; Defendant (CDR) Modified on 11/12/2015 to correct typographical error (CDR). (Entered: 06/17/2015) 06/16/2015 232 CJA 23 Financial Affidavit by James S. Faller, II (CDR) (Entered: 06/17/2015) 06/16/2015 231 SEALED ORDER by Chief Judge Joseph H. McKinley, Jr on 6/15/2015 granting 227 Sealed Motion as to James S. Faller II (1) cc: Counsel; James Faller (CDRS) (Entered: 06/16/2015)

Case: 1:13-cr-00029-JHM-HBB As of: 01/18/2017 10:56 AM EST 13 of 30 06/16/2015 230 SEALED ORDER by Chief Judge Joseph H. McKinley, Jr. on 6/15/2015, re 226 SEALED MOTION for Leave to Seal a Document cc: Counsel; James Faller (CDRS) (Entered: 06/16/2015) 06/15/2015 228 TEXT ORDER by Magistrate Judge Dave Whalin on 6/15/2015 as to James S. Faller, II. An In Person Conference is scheduled for 6/16/2015 at 11:00 AM before Magistrate Judge Dave Whalin. Counsel for the United States is not required to attend. This Notice of Electronic Filing is the Official ORDER for this entry. No document is attached. cc: Counsel (AEH) (Entered: 06/15/2015) 06/15/2015 227 SEALED MOTION: Sealed pursuant to MOTION TO SEAL re 226 SEALED MOTION for Leave to Seal a Document. (Attachments: # 1 Proposed Order) (Faller, James) (Entered: 06/15/2015) 06/15/2015 226 SEALED MOTION for Leave to Seal a Document by James S. Faller, II. (Attachments: # 1 Proposed Order, # 2 Supplement, # 3 Proposed Order) (Faller, James) (Entered: 06/15/2015) 06/15/2015 225 Proceedings held before Chief Judge Joseph H. McKinley, Jr:Jury Trial as to James S. Faller, II held on 6/12/2015 (Court Reporter Terri Turner *and* ECRO Jessica Mercer.) (TLG) Modified on 6/16/2015 (EAS). (Entered: 06/15/2015) 06/12/2015 292 STIPULATION No. 11 regarding defendant's residence by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 291 STIPULATION No. 10 regarding United Citizens Bank of Southern Kentucky location by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 290 STIPULATION No. 9 regarding Bank of Columbia location by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 289 STIPULATION No. 8 regarding venue by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 288 STIPULATION No. 7 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 287 STIPULATION No. 6 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 286 STIPULATION No. 5 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 285 STIPULATION No. 4 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 284 STIPULATION No. 3 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 283 STIPULATION No. 2 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 282 STIPULATION No. 1 regarding exhibits by USA, James S. Faller, II. (CDR) (Entered: 09/02/2015) 06/12/2015 229 SEALED UNREDACTED JURY VERDICT re 223 Jury Verdict (CDRS) (Entered: 06/16/2015) 06/12/2015 224 Jury Instructions as to James S. Faller, II (TLG) Modified on 6/16/2015 to correct filed date from 6/15/2015 to 6/12/2015 (CDRS). (Entered: 06/15/2015) 06/12/2015 223 JURY VERDICT as to James S. Faller II (1) Guilty on Counts 1,3 6,7,8 11. Not guilty on Count 2. (TLG) Modified on 6/17/2015 to correct filed date from 6/15/2015 to 6/12/2015 (CDR). Modified text on 6/17/2015 (CDR). (Entered: 06/15/2015) 06/11/2015 Proceedings held before Chief Judge Joseph H. McKinley, Jr:Jury Trial as to James S. Faller, II held on 6/11/2015 (Court Reporter Terri Turner.) (DAK) (Entered: