Securities & Exchange Commission v. Platinum Management (NY) LLC, et al.

Platinum Receivership


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Court Docket

United States District Court
Eastern District of New York
Platinum Receivership
Case No. 1:16-cv-6848 (BMC)(VMS)


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Date Court Document Number Description
10/20/2020 544 STATUS REPORT /The Receiver's Thirteenth Status Report to the Court by Receiver (Attachments: # (1) Exhibit A, # (2) Exhibit B) (Cyganowski, Melanie)
10/09/2020 543 MOTION for Attorney Fees /CORRECTED Twelfth Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2020 through and including June 30, 2020 (related Dkt. No. 541, re-filed to correct Exhibit E) by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Proposed Order) (Cyganowski, Melanie)
10/08/2020 542 MOTION for Attorney Fees / Twelfth Interim Application of Goldin Associates, LLC for allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2020 Through and Including June 30, 2020 by Goldin Associates, LLC. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Proposed Order) (Cyganowski, Melanie)
10/08/2020 541 MOTION for Attorney Fees /Twelfth Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2020 Through and Including June 30, 2020 by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Exhibit I, # (10) Proposed Order) (Cyganowski, Melanie)
09/08/2020 540 DECLARATION /Supplemental Declaration of Marc S. Kirschner in Support of the Application of the Receiver for an Order Approving the Retention of Goldin Associates, LLC, Nunc Pro Tunc to the Appointment Date [220] by Court-Appointed Receiver (Cyganowski, Melanie)
07/20/2020 539 STATUS REPORT /The Receiver's Twelfth Status Report to the Court by Receiver (Attachments: # (1) Exhibit A., # (2) Exhibit B.) (Cyganowski, Melanie)
07/20/2020 538 ORDER granting [535] Motion for Approving Settlement Agreements with (1) CNO Financial Group, Inc. and Related Parties, and (2) Senior Health Insurance Company of Pennsylvania and Fuzion Analytics, Inc., and (B) Approving Use of Funds by Receiver. ( Ordered by Judge Brian M. Cogan on 7/17/2020 ) (Guzzi, Roseann
07/01/2020 537 MEMORANDUM in Support re [535] Notice of MOTION for Settlement /The Receivers Notice of Motion for Entry of an Order (A) Approving Settlement Agreements with (1) CNO Financial Group, Inc. and Related Parties, and (2) Senior Health Insurance Company of Pennsylvania and Fuzion Anal, [536] Affidavit in Support of Motion,, /Memorandum of Law in Support of the Receivers Motion for Entry of an Order (A) Approving Settlement Agreements with (1) CNO Financial Group, Inc. and Related Parties, and (2) Senior Health Insurance Company of Pennsylvania and Fuzion Analytics, Inc., and (B) Approving Use of Funds filed by Receiver. (Cyganowski, Melanie)
07/01/2020 536 AFFIDAVIT/DECLARATION in Support re [535] Notice of MOTION for Settlement /The Receivers Notice of Motion for Entry of an Order (A) Approving Settlement Agreements with (1) CNO Financial Group, Inc. and Related Parties, and (2) Senior Health Insurance Company of Pennsylvania and Fuzion Anal ytics, Inc. and (B) Approving Use of Funds filed by Receiver. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F, # (7) Exhibit G, # (8) Exhibit H, # (9) Proposed Order) (Cyganowski, Melanie)
07/01/2020 535 Notice of MOTION for Settlement /The Receivers Notice of Motion for Entry of an Order (A) Approving Settlement Agreements with (1) CNO Financial Group, Inc. and Related Parties, and (2) Senior Health Insurance Company of Pennsylvania and Fuzion Analytics, Inc., and (B) Approving Use of Funds by Receiver. (Cyganowski, Melanie)
06/04/2020 534 ORDER granting [531] Motion for Attorney Fees; APPROVING ELEVENTH INTERIM APPLICATION OF GOLDIN ASSOCIATES, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2020 THROUGH MARCH 31, 2020. ( Ordered by Judge Brian M. Cogan on 6/4/2020 ) (Guzzi, Roseann)
06/04/2020 533 ORDER granting [530] Motion for Attorney Fees; APPROVING ELEVENTH JOINT INTERIM APPLICATION OF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JANUARY 1, 2020 THROUGH MARCH 31, 2020. ( Ordered by Judge Brian M. Cogan on 6/4/2020 ) (Guzzi, Roseann)
05/12/2020 532 MANDATE of USCA as to [409] Notice of Appeal filed by Schafer and Weiner, PLLC. The parties in the above-referenced case have filed a stipulation withdrawing this appeal pursuant to FRAP 42. The stipulation is hereby "So Ordered". Issued as Mandate: 5/12/20, USCA #18-3293. (McGee, Mary Ann)
05/08/2020 531 MOTION for Attorney Fees /Eleventh Interim Application of Goldin Associates, LLC for allowance of Compensation and Reimbursement of Expenses Incurred During the Period January 1, 2020 Through and Including March 31, 2020 by Goldin Associates, LLC. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Proposed Order) (Cyganowski, Melanie)
05/08/2020 530 MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period January 1, 2020 Through and Including March 31, 2020 by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Exhibit G., # (8) Exhibit H., # (9) Exhibit I., # (10) Proposed Order) (Cyganowski, Melanie)
04/20/2020 529 STATUS REPORT /The Receivers Eleventh Status Report to the Court by Receiver (Attachments: # (1) Exhibit A, # (2) Exhibit B) (Cyganowski, Melanie)
03/09/2020 528 ORDER approving [523] Tenth Interim Application of the Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2019 Through and Including December 31, 2019. ( Ordered by Judge Brian M. Cogan on 3/9/2020 ) (Guzzi, Roseann)
03/09/2020 527 ORDER approving [522] Tenth Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2019 Through and Including December 31, 2019. ( Ordered by Judge Brian M. Cogan on 3/9/2020 ) (Guzzi, Roseann)
02/28/2020 526 Letter dated February 28, 2020 Re: settlement of litigation that the Receiver has reached by Receiver (Cyganowski, Melanie)
02/24/2020 525 ORDER Approving Receiver's Motion for Order Approving her Settlement with Schafer and Weiner, PLLC re: [520] Motion for Settlement. ( Ordered by Judge Brian M. Cogan on 2/24/2020 ) (Guzzi, Roseann)
02/24/2020 524 ORDER APPROVING PAYMENTS TO CERTAIN PROFESSIONALS re: [521] Motion to Approve Payments to Certain Professionals. ( Ordered by Judge Brian M. Cogan on 2/23/2020 ) (Guzzi, Roseann)
02/21/2020 523 Tenth MOTION for Attorney Fees Interim Application of the Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2019 Through and Including December 31, 2019 by Goldin Associates, LLC. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Proposed Order) (Cyganowski, Melanie)
02/21/2020 522 Tenth MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2019 Through and Including December 31, 2019 by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Exhibit G., # (8) Exhibit H., # (9) Exhibit I., # (10) Proposed Order) (Cyganowski, Melanie)
02/07/2020 521 Notice of MOTION for Attorney Fees /Motion to Approve Payments to Certain Professionals by Receiver. (Attachments: # (1) Declaration in Support, # (2) Exhibit A., # (3) Proposed Order, # (4) Memorandum in Support) (Cyganowski, Melanie)
02/06/2020 520 Notice of MOTION for Settlement of Melanie L. Cyganowski, as Receiver for Entry of an Order Approving Her Settlement with Schafer and Weiner, PLLC by Receiver. (Attachments: # (1) Declaration in Support, # (2) Exhibit A- Settlement Agreement, # (3) Proposed Order, # (4) Memorandum in Support) (Cyganowski, Melanie)
01/22/2020 ORDER. Hearing previously scheduled for 1/27/2020 is hereby cancelled. The Court is persuaded that compelling the Receiver to file a bankruptcy petition at this point would not be in the best interest of all parties. ORDER denying [490, 494]. Although SanFilippo's and Levy's acquittals undoubtedly entitle them to payment by the Platinum Partners entities, the Court will still not permit them to jump the line in front of other deserving creditors. Among other purposes, the receivership was instated in order to "conduct an orderly wind down including a responsible liquidation of assets and orderly and fair distribution of those assets to investors." The Receiver thus has broad authority to reasonably distribute funds by order of claim priority. The Court maintains that both SanFilippo and Levy are entitled to indemnification (see [417] 11/25/2018 Order Denying Motions to Compel Payment or Advancement of Legal Fees); however, these are just two unsecured claims among many and they must wait for any payment alongside the other unsecured creditors. Ordered by Judge Brian M. Cogan on 1/22/2020. (Clarke, Melonie)
01/21/2020 519 STATUS REPORT /The Receiver's Tenth Status Report to the Court by Receiver (Attachments: # (1) Exhibit A., # (2) Exhibit B.) (Cyganowski, Melanie)
01/19/2020 518 Letter submitted in response to Court's Order dated December 12, 2019 by Ira A. Sturm (Sturm, Ira)
01/17/2020 517 DECLARATION /Statement of The Joint Official Liquidators of Platinum Partners Value Arbitrage, L.P. (In Official Liquidation) In Opposition To Dismissal of Receivership, by Martin Trott and Christopher Smith, in their capacities as the duly appointed Joint Official Liquidators of Platinum Partners Value Arbitrage Fund, L.P. (Parlin, Barbra)
01/17/2020 516 DECLARATION of Melanie L. Cyganowski, as Receiver in Response to the Minute Order Entered December 12, 2019 by Receiver (Attachments: # (1) Memorandum of Law of Melanie L. Cyganowski, as Receiver in Response to the Minute Order Entered December 12, 2019) (Cyganowski, Melanie)
01/17/2020 515 Letter submitted respectfully in response to the Court's Order, dated December 12, 2019 by David Levy (Sommer, Michael)
01/17/2020 514 Letter in Response to the Court's Order, dated December 12, 2019 by Joseph Sanfilippo (O'Brien, Kevin)
01/17/2020 513 MEMORANDUM in Opposition re Order on Motion to Compel,,,,,,,, Set Hearings,,, Memorandum in Response to Court's December 12, 2019 Order filed by United States Securities and Exchange Commission. (Jacobson, Neal)
01/09/2020 ORDER granting [512] Motion to Withdraw as Attorney. Attorney Lisabeth Fryer terminated. Ordered by Judge Brian M. Cogan on 1/9/2020. (Weisberg, Peggy)
01/09/2020 512 Notice of MOTION to Withdraw as Attorney by Mark Nordlicht. (Fryer, Lisabeth)
12/30/2019 511 ORDER dated 12/26/19 APPROVING NINTH JOINT INTERIM APPLICATIONOF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCEOF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURREDDURING THE PERIOD JULY 1, 2019 THROUGHAND INCLUDING SEPTEMBER 30, 2019 re: [506] Motion for Attorney Fees. ( Ordered by Judge Brian M. Cogan on 12/26/2019 ) (Guzzi, Roseann)
12/30/2019 510 ORDER dated 12/26/19 Approving Ninth MOTION for Attorney Fees Interim Application of Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2019 Through and Including September 30, 2019 by Goldin Associates, LLC. re: [507] Motion for Attorney Fees. ( Ordered by Judge Brian M. Cogan on 12/26/2019 ) (Guzzi, Roseann)
12/26/2019 509 ORDER APPROVING EIGHTH JOINT INTERIM APPLICATION OF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD APRIL 1, 2019 THROUGH JUNE 30, 2019 [502] Motion for Attorney Fees. ( Ordered by Judge Brian M. Cogan on 12/23/2019 ) (Guzzi, Roseann)
12/26/2019 508 ORDER APPROVING EIGHTH INTERIM APPLICATION OF GOLDIN ASSOCIATES FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD APRIL 1, 2019 THROUGH JUNE 30, 2019 Re: [503] Motion for Attorney Fees. ( Ordered by Judge Brian M. Cogan on 12/23/2019 ) (Guzzi, Roseann)
12/24/2019 507 Ninth MOTION for Attorney Fees Interim Application of Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2019 Through and Including September 30, 2019 by Goldin Associates, LLC. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Proposed Order) (Cyganowski, Melanie)
12/24/2019 506 Ninth MOTION for Attorney Fees Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 1, 2019 Through and Including September 30, 2019 by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Exhibit G., # (8) Exhibit H., # (9) Exhibit I., # (10) Proposed Order) (Cyganowski, Melanie)
12/19/2019 505 NOTICE of Change of Notice of Email Change Once the filing has been made, you must login to www.pacer.gov and update your account. (Fryer, Lisabeth)
12/17/2019 ORDER granting [504]. The hearing on [490, 494] is adjourned to 1/27/2020 at 11:00 am in Courtroom 8D South. Any party to this case or creditor/investor with an interest in this case may submit a memorandum regarding the Court's 12/12/2019 Order by 1/17/2020, with any responses due 1/23/2019.Ordered by Judge Brian M. Cogan on 12/17/2019. (Weisberg, Peggy)
12/17/2019 ORDER granting [504]. The hearing on [490, 494] is adjourned to 1/27/2020 at 11:00 am in Courtroom 8D South. Any party to this case or creditor/investor with an interest in this case may submit a memorandum regarding the Court's 12/12/2019 Order by 1/17/2020, with any responses due 1/23/2020.Ordered by Judge Brian M. Cogan on 12/17/2019. (Weisberg, Peggy) Modified on 12/17/2019 (Weisberg, Peggy).
12/17/2019 504 Letter to The Honorable Brian M. Cogan respectfully requesting a two-week adjournment in connection with the Court's Order dated December 12, 2019, deferring the ruling and setting a schedule with respect to the pending applications for indemnification by David Levy (Sommer, Michael)
12/12/2019 ORDER deferring ruling on [490] [494]. A hearing will be held on these motions on 1/9/2020 at 3:30 pm in Courtroom 8D South. The sole issue to be argued is whether it would be appropriate for this Court to dismiss the case without prejudice to the right of the Receiver or creditors to file a bankruptcy petition against the company in light of the fact that this Court has been called upon to apply Bankruptcy Code concepts to substantial claims and procedures in this matter. See Eberhard v. Marcu, 530 F.3d 122, 132 (2d Cir. 2008); Esbitt v. Dutch-Am. Mercantile Corp., 335 F.2d 141, 143 (2d Cir. 1964). Any party in interest may address this issue by memorandum no later than 1/2/2020, with any responses due 1/7/2020. Ordered by Judge Brian M. Cogan on 12/12/2019. (Weisberg, Peggy) (Entered 12/12/2019)
11/26/2019 503 Eighth MOTION for Attorney Fees Interim Application of Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2019 Through and Including June 30, 2019 by Goldin Associates, LLC. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Proposed Order) (Cyganowski, Melanie)
11/26/2019 502 Eighth MOTION for Attorney Fees Joint Interim Application of the Receiver and Otterbourg P.C. for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period April 1, 2019 Through and Including June 30, 2019 by Otterbourg P.C., Receiver. (Attachments: # (1) Exhibit A., # (2) Exhibit B., # (3) Exhibit C., # (4) Exhibit D., # (5) Exhibit E., # (6) Exhibit F., # (7) Exhibit G, # (8) Exhibit H., # (9) Exhibit I., # (10) Proposed Order) (Cyganowski, Melanie)
11/06/2019 501 REPLY to Response to Motion re [494] MOTION to Compel Indemnification filed by David Levy. (Sommer, Michael)
11/06/2019 500 REPLY in Opposition re [497] Memorandum in Opposition,, filed by Joseph Sanfilippo. (O'Brien, Kevin)
11/05/2019 499 ORDER Confidentiality Agreement and Stipulated Protective Order re: [498] Motion for Protective Order. ( Ordered by Judge Brian M. Cogan on 11/4/2019 ) (Guzzi, Roseann)
11/04/2019 498 Letter MOTION for Protective Order dated November 4, 2019 by Receiver. (Attachments: # (1) Proposed Order) (Weinick, Erik)
10/30/2019 497 MEMORANDUM in Opposition re [494] MOTION to Compel Indemnification, [490] MOTION to Compel the SEC Receiver to Indemnify Joseph SanFilippp for his Reasonable Attorneys Fees and Defense Costs .Receivers Omnibus Memorandum of Law in Opposition to: (I) Defendant Joseph Sanfilippos Motion for the SEC Receiver to Indemnify him Promptly for his Reasonable Attorneys Fees and Defense Costs; and (II) Defendant David Leveys Motion to Compel Indemnification filed by Receiver. (Weinick, Erik)
10/30/2019 496 AFFIDAVIT/DECLARATION in Opposition re [494] MOTION to Compel Indemnification, [490] MOTION to Compel the SEC Receiver to Indemnify Joseph SanFilippp for his Reasonable Attorneys Fees and Defense Costs Declaration of Melanie L. Cyganowski, as Receiver in Opposition to: (I) Defendant Joseph Sanfilippos Motion for the SEC Receiver to Indemnify him Promptly for his Reasonable Attorneys Fees and Defense Costs; and (II) Defendant David Leveys Motion to Compel Indemnification filed by Receiver. (Weinick, Erik)
10/21/2019 495 STATUS REPORT /The Receiver's Ninth Status Report to the Court by Receiver (Attachments: # (1) Exhibit A., # (2) Exhibit B.) (Cyganowski, Melanie)
10/16/2019 494 MOTION to Compel Indemnification by David Levy. (Attachments: # (1) Memorandum in Support of Defendant David Levy's Motion to Compel Indemnification, # (2) Declaration of Michael S. Sommer in Support of Defendant David Levy's Motion to Compel Indemnification, # (3) Exhibit 1, # (4) Exhibit 2, # (5) Exhibit 3, # (6) Exhibit 4, # (7) Exhibit 5, # (8) Exhibit 6) (Sommer, Michael)