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
02/15/2018 306 Second MOTION for Attorney Fees /Interim Application for Goldin Associates, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred During the Period October 1, 2017 Through and Including December 31, 2017 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)
02/15/2018 305 Second 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, 2017 Through and Including December 31, 2017 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)
02/02/2018 304 NOTICE by Receiver re [302] Status Report /Notice of filing of Corrected Second Status Report of Receiver to the Court (Attachments: # (1) Exhibit 1.) (Cyganowski, Melanie)
01/29/2018 ORDER. In light of the Status Report at [303], the Status Conference previously scheduled for 2/1/2018 is adjourned to 4/9/2018 at 10:00 am in Courtroom 8D South. The parties are required to file a Proposed Joint Agenda 48 hours prior to the conference. Ordered by Judge Brian M. Cogan on 1/29/2018. (Weisberg, Peggy)
01/29/2018 303 STATUS REPORT by United States Securities and Exchange Commission, Letter re Proposed Joint Agenda by United States Securities and Exchange Commission (McGrath, Kevin)
01/29/2018 ORDER. The parties are reminded that a Proposed Joint Agenda must be filed 48 hours prior to the conference scheduled for 2/1/2018. Ordered by Judge Brian M. Cogan on 1/29/2018. (Weisberg, Peggy)
01/22/2018 302 STATUS REPORT /Second Status Report To The Court by Receiver (Attachments: # (1) Exhibit A., # (2) Exhibit B.) (Cyganowski, Melanie)
01/22/2018 301 ORDER re: [298] Motion for authorizing the receiver's application to retain and pay Leite, Tosto E Barros Advogados Associados. ( Ordered by Judge Brian M. Cogan on 1/18/2018 ) (Guzzi, Roseann)
01/11/2018 300 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on December 1, 2017, before Judge Cogan. Court Reporter/Transcriber Denise Parisi, Telephone number 718-613-2605. Email address: deniseparisi72@gmail.com. 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.File redaction request using event "Redaction Request - Transcript" located under "Other Filings - Other Documents". Redaction Request due 2/1/2018. Redacted Transcript Deadline set for 2/12/2018. Release of Transcript Restriction set for 4/11/2018. (Parisi, Denise)
01/05/2018 299 Notice of MOTION for Hearing re [298] Notice of MOTION for Hearing to Approve Procedures for the Retention and Payment of Additional Limited Scope Professionals /for Entry of an Order Authorizing the Retention and Payment of Leite, Tosto E Barros Advogados Associados by Receiver. (Attachments: # (1) Declaration, # (2) Memorandum in Support) (Cyganowski, Melanie)
01/03/2018 298 Notice of MOTION for Hearing to Approve Procedures for the Retention and Payment of Additional Limited Scope Professionals by Receiver. (Attachments: # (1) Declaration, # (2) Memorandum in Support) (Cyganowski, Melanie)
12/29/2017 297 ORDER APPROVING EXPANSION OF RECEIVERSHIP re [291] Notice of MOTION for Hearing to Expand Receivership Estate filed by Receiver. ( Ordered by Judge Brian M. Cogan on 12/28/17 ) (Guzzi, Roseann)
12/29/2017 296 ORDER Authorizing approving proposed procedures for the retention and payment of additional limited scope professionals.( Ordered by Judge Brian M. Cogan on 12/28/17 ) (Guzzi, Roseann)
12/27/2017 295 ORDER Approving First Application of Cooley LLP for Allowance of Compensation And Reimbursement of Expenses Incurred From December 19, 2016 through March 31, 2017. Ordered by Judge Brian M. Cogan on 12/27/2017. (Weisberg, Peggy)
12/26/2017 294 ORDER Authorizing the Receiver's Application to retain and pay limited scope legal professionals. ( Ordered by Judge Brian M. Cogan on 12/26/17 ) (Guzzi, Roseann)
12/21/2017 293 NOTICE by Receiver re [144] Letter/Notice of Proposed Order Approving First Interim Application of Cooley LLP for Allowance of Compensation and Reimbursement of Expenses Incurred From December 19, 2016 Through March 31, 2017 (Attachments: # (1) Proposed Order) (Cyganowski, Melanie)
12/20/2017 ORDER re: [284]. The Receiver is to submit a proposed order regarding Cooley's Fee Application. Any party objecting to the Application will then have five days to submit opposition. The Court will then rule promptly. Ordered by Judge Brian M. Cogan on 12/20/2017. (Weisberg, Peggy)
12/14/2017 292 Notice of MOTION for Hearing to Approve Procedures for the Retention and Payment of Additional Limited Scope Professionals by Receiver. (Attachments: # (1) Declaration, # (2) Memorandum in Support) (Cyganowski, Melanie)
12/14/2017 291 Notice of MOTION for Hearing to Expand Receivership Estate by Receiver. (Attachments: # (1) Declaration, # (2) Proposed Order) (Cyganowski, Melanie)
12/05/2017 290 ORDER Re: [283] ORDER APPROVING FIRST INTERIM APPLICATION OF GOLDIN ASSOCIATES, LLC FOR ALLOWANCE OF COMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURING THE PERIOD JULY 6, 2017 THROUGH SEPTEMBER 30, 2017. ( Ordered by Judge Brian M. Cogan on 12/4/2017 ) (Guzzi, Roseann)
12/05/2017 289 ORDER Re: [282] ORDER APPROVING FIRST JOINT INTERIM APPLICATIONOF THE RECEIVER AND OTTERBOURG P.C. FOR ALLOWANCE OFCOMPENSATION AND REIMBURSEMENT OF EXPENSES INCURRED DURINGTHE PERIOD JULY 6, 2017 THROUGH SEPTEMBER 30, 2017. ( Ordered by Judge Brian M. Cogan on 12/4/2017 ) (Guzzi, Roseann)
12/01/2017 Minute Entry for Status Conference held on 12/1/2017 before Judge Brian M. Cogan. All counsel present. Parties have until 12/22/2017 to file any motions. Any opposition to those motions shall be filed by 1/5/2018. The next Status Conference is set for 2/1/2018 at 9:45 AM in Courtroom 8D South. (Court Reporter Denise Parisi.) (Clarke, Melonie)
11/30/2017 288 STATUS REPORT / First Status Report To The Court by Receiver (Attachments: # (1) Exhibit A., # (2) Exhibit B.) (Cyganowski, Melanie)
11/30/2017 287 ORDER Approving the Receiver's fees and the retention of Conway Mackenzie Capital Advisors, LLC Nunc Pro Tunc to October 12, 2017 [279] Motion to Appoint Expert. (Ordered by Judge Brian M. Cogan on 11/30/2017 ) (Guzzi, Roseann)
11/28/2017 286 Letter re parties' Proposed Joint Agenda by United States Securities and Exchange Commission (McGrath, Kevin)
11/21/2017 285 MEMORANDUM OPINION dated 11/20/17 re: that by Order dated November 11, 2017, I granted the Receivers application to approve the retention of Houlihan Lokey Capital, Inc. (Houlihan), nunc pro tunc to September 11, 2017(the Application), overruling the opposition to the Application filed by a large group of non-insider Platinum Partners Credit Opportunities (PPCO) investors (the Objecting Investors). This Memorandum Opinion sets forth the basis for that Order. ( Ordered by Judge Brian M. Cogan on 11/20/2017 ) (Guzzi, Roseann)
11/20/2017 284 NOTICE by Receiver re [144] Letter, Regarding First Application Of Cooley LLP For Allowance Of Compensation And Reimbursement Of Expenses Incurred From December 19, 2016 Through March 31, 2017 (Cyganowski, Melanie)
11/15/2017 283 MOTION for Attorney Fees /Financial Advisor First Interim Application of Goldin Associates, LLC For Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 6, 2017 Through September 30, 2017 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)
11/15/2017 282 MOTION for Attorney Fees /Joint First Interim Application of the Receiver and Otterbourg P.C. For Allowance of Compensation and Reimbursement of Expenses Incurred During the Period July 6, 2017 Through September 30, 2017 by Receiver, Otterbourg P.C.. (Attachments: # (1) Exhibit A-SFAR, # (2) Exhibit B-Summary of Hours, # (3) Exhibit C-Project Code Summary, # (4) Exhibit D-Receiver Time, # (5) Exhibit E-Otterbourg Time, # (6) Exhibit F-Summary of Expense, # (7) Exhibit G-Receiver Expenses, # (8) Exhibit H-Otterbourg Expenses, # (9) Exhibit I-Certification, # (10) Proposed Order) (Cyganowski, Melanie)
11/15/2017 281 DECLARATION re [183] Letter,,,,,, /Declaration of Melanie L. Cyganowski, Adopting, in Part, Application of Bart M. Schwartz to Retain and Pay Certain Limited Scope Legal Professionals by Receiver (Attachments: # (1) Proposed Order) (Cyganowski, Melanie)
11/11/2017 CASE MANAGEMENT ORDER. This Court's Individual Practice Rule requiring a premotion conference prior to the filing of any motion shall not apply to administrative motions (e.g., scheduling requests, motions for extensions of time, and retention applications). Ordered by Judge Brian M. Cogan on 11/11/2017. (Cogan, Brian) (Entered: 11/11/2017)
11/11/2017 280 ORDER APPROVING THE RECEIVERS FEESAND THE RETENTION OF CONWAY MACKENZIE CAPITAL ADVISORS, LLCNUNC PRO TUNC TO OCTOBER 12, 2017. Ordered by Judge Brian M. Cogan on 11/11/2017. (Cogan, Brian)
11/11/2017 ORDER granting 275 Motion to Appoint Expert. Opinion to follow. Ordered by Judge Brian M. Cogan on 11/11/2017. (Cogan, Brian) (Entered: 11/11/2017)
11/10/2017 279 MOTION to Appoint Expert /Conway MacKenzie Capital Advisors, LLC. by Receiver. (Attachments: # (1) Declaration of Kenneth L. Latz, # (2) Exhibit A. to Declaration, # (3) Brief in Support of Motion, # (4) Proposed Order) (Cyganowski, Melanie)
11/02/2017 Case no longer referred to Magistrate Judge Vera M. Scanlon. (Weisberg, Peggy) (Entered: 11/02/2017)
10/30/2017 278 REPLY in Support re [275] MOTION to Appoint Expert /Application for Order Approving the Retention of Houlihan Lokey Capital, Inc. Nunc Pro Tunc to September 11, 2017 filed by Receiver. (Cyganowski, Melanie)
10/25/2017 277 DECLARATION of Melanie L. Cyganowski / Opposition Brief by Receiver (Cyganowski, Melanie)
10/20/2017 Set/Reset Hearing: Status Conference previously set for 10/26/2017 is reset to 12/1/2017 at 10:00 am in Courtroom 8D South. The parties are required to file a Proposed Joint Agenda 48 hours prior to the conference. (Weisberg, Peggy) (Entered: 10/20/2017)
10/16/2017 SCHEDULING ORDER: A Status Conference will be held on 10/26/2017 at 11:15 AM in Courtroom 8D South. The parties are required to file a Proposed Joint Agenda 48 hours prior to the conference. Ordered by Judge Brian M. Cogan on 10/16/2017. (Weisberg, Peggy) (Entered: 10/16/2017)
10/16/2017 ORDER REASSIGNING CASE. Case reassigned to Judge Brian M. Cogan for all further proceedings. Chief Judge Dora Lizette Irizarry no longer assigned to case Please download and review the Individual Practices of the assigned Judges, located on our website. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Ordered by Chief Judge Dora Lizette Irizarry on 10/16/2017. (Bowens, Priscilla) (Entered: 10/16/2017)
10/16/2017 276 ORDER re [254] Notice(Other) filed by Receiver - No parties to this action oppose or have any other comment regarding the Receiver's Proposed Second Amended Order Appointing Receiver [254]. The Court has duly considered the lone commentary for clarification of certain language in the third sentence of paragraph 30 by a purported "large group of non-insider Platinum Partners Credit Opportunities Fund investors" ("PPCO"). [267] The Court also has considered the Receiver's response and concurs with the Receiver that PPCO's concerns are not well founded. However, as the Receiver has no objection to adding the following language: "(e.g., pay out on a life insurance policy or realization of a litigation outcome purchase)" after the phrase "settlement of a transaction" in the third sentence of paragraph 30, that paragraph has been amended accordingly, and the proposed Second Amended Order Appointing Receiver is approved in the form attached to this Electronic Order. SO ORDERED by Chief Judge Dora Lizette Irizarry on 10/16/2017. (Irizarry, Dora) (Entered: 10/16/2017)
10/16/2017 275 MOTION to Appoint Expert /Application for Order Approving the Retention of Houlihan Lokey Capital, Inc. Nunc Pro Tunc to September 11, 2017 by Receiver. (Attachments: # (1) Notice of Motion, # (2) Proposed Order Ex. A, # (3) Declaration Ex. B) (Cyganowski, Melanie) (Entered: 10/16/2017)
10/12/2017 274 NOTICE of Appearance by Dylan Alexander Stern on behalf of Daniel Small (aty to be noticed) (Stern, Dylan) (Entered: 10/12/2017)
10/11/2017 273 ORDER re [238] Notice (Other) filed by Receiver, [110] Letter,, filed by Bart Schwartz --- The Attached Order Authorizes the Receiver to Retain and Pay Pricewaterhousecoopers LLP. SO ORDERED by Chief Judge Dora Lizette Irizarry on 10/11/2017. (Irizarry, Dora) (Entered: 10/11/2017)
10/11/2017 272 ORDER re [239] Notice (Other) filed by Receiver, [206] Letter filed by Bart Schwartz -- The Attached Order Authorizes the Receiver to retain and pay Deloitte Tax LLP. SO ORDERED by Chief Judge Dora Lizette Irizarry on 10/11/2017. (Irizarry, Dora) (Entered: 10/11/2017)
10/11/2017 271 ORDER granting [255] Motion for Leave to File -- The Attached Order Creating Protocols for Interested Parties to be Heard is SO ORDERED. Ordered by Chief Judge Dora Lizette Irizarry on 10/11/2017. (Irizarry, Dora) (Entered: 10/11/2017)
10/06/2017 ORDER granting 212 Motion for Leave to File -- There being no opposition to the SEC's request to substitute an exhibit to Docket No. 211-1, the request is granted. So Ordered by Chief Judge Dora Lizette Irizarry on 10/6/2017. (Irizarry, Dora) (Entered: 10/06/2017)
10/06/2017 ORDER denying 205 Motion for Leave to File -- This request was denied, along with other similar requests, by this Court via a standing order issued on June 30, 2017 denying the filing on the docket of motions by "interested parties," who were not named parties in the action. SO ORDERED by Chief Judge Dora Lizette Irizarry on 10/6/2017. (Irizarry, Dora) (Entered: 10/06/2017)
10/06/2017 ORDER terminating 139 Motion for Leave to Electronically File Document under Seal ; terminating 140 Motion for Leave to Electronically File Document under Seal -- These motions were made by the original receiver and are terminated in light of the appointment of a new receiver who has been tasked by the Court to review this entire matter de novo. The termination is without prejudice to renew if Receiver Cyganowski believes such applications are appropriate for the Court to consider. SO ORDERED by Chief Judge Dora Lizette Irizarry on 10/6/2017. (Irizarry, Dora) (Entered: 10/06/2017)
09/26/2017 270 NOTICE by Daniel Small of Withdrawal of David J. Lizmi (Levine, Seth) (Entered: 09/26/2017)
09/05/2017 269 DECLARATION re [255] MOTION for Leave to File Motion for Order Adopting Protocol, Objections due 8/31/2017, [254] Notice(Other) Reply Declaration in Further Support of Protocols and Amendments to Receiver Order by Receiver (Cyganowski, Melanie) (Entered: 09/05/2017)
09/01/2017 268 Letter regarding the Receiver's Proposed Orders (Dkt. Nos. 254 & 255) by Jeffrey Shulse (Mann, Michael) (Entered: 09/01/2017)
09/01/2017 267 DECLARATION re [255] MOTION for Leave to File Motion for Order Adopting Protocol, Objections due 8/31/2017, [254] Notice(Other) by Receiver (Attachments: # (1) Exhibit 1) (Cyganowski, Melanie) (Entered: 09/01/2017)
08/31/2017 266 Letter re Receiver's Applications, Dkt. Nos. 254 , 255 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 08/31/2017)
08/31/2017 265 Letter re: Receiver's Motion for an Order Approving the Proposed Protocols by Joseph Mann (Fischer, Benjamin) (Entered: 08/31/2017)
08/31/2017 264 Letter re: the Proposed Second Amended Order Appointing Receiver by Joseph Mann (Fischer, Benjamin) (Entered: 08/31/2017)
08/31/2017 263 Letter to Judge Irizarry dtd: 8-31-2017 re: Receivers Proposed Second Amended Order and Proposed Order Adopting Protocols by Uri Landesman (Breslin, Eric) (Entered: 08/31/2017)
08/31/2017 262 STIPULATION AND ORDER Regarding Settlement Between Receiver And Heartland Bank. The Court notes that none of the parties named in this case have objected to this proposed Order after having been provided time to do so. (See attached Order for details). Ordered by Chief Judge Dora Lizette Irizarry on 8/30/2017. Returned to chambers. (Layne, Monique) (Entered: 08/31/2017)
08/31/2017 261 Letter regarding the Receiver's Proposed Orders (Dkt. Nos. 254 & 255) by David Levy (Sommer, Michael) (Entered: 08/31/2017)
08/31/2017 260 Letter Regarding Receiver Applications by United States Securities and Exchange Commission (Jacobson, Neal) (Entered: 08/31/2017)
08/31/2017 259 Letter Regarding the Receiver's Proposed Orders (Dkt. Nos. 254 & 255) by Daniel Small (Levine, Seth) (Entered: 08/31/2017)
08/31/2017 258 Letter re the Proposed Second Amended Order Appointing Receiver by Joseph Sanfilippo (O'Brien, Kevin)
08/31/2017 257 Letter re Receiver's application for an order approving the proposed protocols by Joseph Sanfilippo (O'Brien, Kevin) (Entered: 08/31/2017)
08/24/2017 256 DECLARATION re [242] MOTION for Settlement Approving Stipulation and Proposed Order Settlement Between the Receiver and Hartland Bank by Receiver (Cyganowski, Melanie) (Entered: 08/24/2017)