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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 401-432

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Date Court Document Number Description
01/25/2017 ORDER -- On January 23, 2017, pursuant to Rule 24 of the Federal Rules of Civil Procedure, the United States ("the Government") moved to intervene and stay the proceedings in this civil action pending resolution of the criminal matter captioned United States v. Mark Nordlicht, et al., 16-CR-640. The Government has indicated in its papers that defendant Landesman does not oppose the motion. Apparently, Defendant Shulse opposes the motion but has not set forth the basis for his opposition. Defendant SanFilippo has not responded at all. The corporate and other four named defendants have not taken a position pending their review of the Government's papers. Accordingly, it is hereby ORDERED that ALL defendants to this action, EXCEPT Landsman, are to respond to the Government's motion and state their positions NO LATER THAN February 3, 2017. Defendants must explain their position if they oppose the Government's motion. Moreover, the parties are directed to provide chambers with two hard courtesy copies immediately upon filing any documents. SO ORDERED by Chief Judge Dora Lizette Irizarry on 1/25/2017. (Carosella, Christy) (Entered: 01/25/2017)
01/25/2017 50 NOTICE of Appearance by Barry W. Rashkover on behalf of Jeffrey Shulse (aty to be noticed) (Rashkover, Barry) (Entered: 01/25/2017)
01/24/2017 49 NOTICE of Appearance by David M. Rody on behalf of Jeffrey Shulse (aty to be noticed) (Rody, David) (Entered: 01/24/2017)
01/24/2017 48 NOTICE of Appearance by Benjamin Sean Fischer on behalf of Joseph Mann (aty to be noticed) (Fischer, Benjamin) (Entered: 01/24/2017)
01/24/2017 47 Letter from Celia Goldwag Barenholtz on behalf of the Receiver by Bart Schwartz (Barenholtz, Celia) (Entered: 01/24/2017)
01/24/2017 46 AFFIDAVIT/DECLARATION in Support re 21 Joint MOTION for Order to Show Cause Reply Declaration of Receiver Bart M. Schwartz filed by Bart Schwartz. (Attachments: # 1 Exhibit K to Reply Declaration of Bart M. Schwartz, # 2 Exhibit L to Reply Declaration of Bart M. Schwartz) (Barenholtz, Celia) (Entered: 01/24/2017)
01/24/2017 45 AFFIDAVIT/DECLARATION in Support re 21 Joint MOTION for Order to Show Cause Declaration of Christopher D. Lindstrom filed by Bart Schwartz. (Barenholtz, Celia) (Entered: 01/24/2017)
01/24/2017 44 REPLY in Support re 21 Joint MOTION for Order to Show Cause SECURITIES AND EXCHANGE COMMISSIONS AND RECEIVERS JOINT REPLY IN FURTHER SUPPORT OF THEIR EMERGENCY MOTION FOR (I) AN ORDER MODIFYING THE PLATINUM TRO AND RECEIVER ORDER, (II) ORDER TO SHOW CAUSE, AND (III) TEMPORARY RESTRAINING ORDER filed by Bart Schwartz, United States Securities and Exchange Commission. (Barenholtz, Celia) (Entered: 01/24/2017)
01/23/2017 43 NOTICE of Appearance by Winston M. Paes on behalf of United States Attorney's Office for the Eastern District of New York (aty to be noticed) (Paes, Winston) (Entered: 01/23/2017)
01/23/2017 42 MOTION to Intervene , MOTION to Stay by United States Attorney's Office for the Eastern District of New York. (Attachments: # 1 Memorandum in Support, # 2 Proposed Order) (Cooley, Alicyn) (Entered: 01/23/2017)
01/23/2017 41 NOTICE of Appearance by Sonia Marquez on behalf of Jeffrey Shulse (aty to be noticed) (Marquez, Sonia) (Entered: 01/23/2017)
01/23/2017 40 NOTICE of Appearance by Michael D. Mann on behalf of Jeffrey Shulse (aty to be noticed) (Mann, Michael) (Entered: 01/23/2017)
01/23/2017 39 MOTION for Leave to Appear Pro Hac Vice of Jeff Potts Filing fee $ 150, receipt number 0207-9227827. by Richard Schmidt. (Attachments: # 1 Affidavit, # 2 Proposed Order) (Smyser, Craig) (Entered: 01/23/2017)
01/23/2017 38 MOTION for Leave to Appear Pro Hac Vice of Justin Waggoner Filing fee $ 150, receipt number 0207-9227816. by Richard Schmidt. (Attachments: # 1 Affidavit, # 2 Proposed Order) (Smyser, Craig) (Entered: 01/23/2017)
01/20/2017 ORDER re 26 -- On January 12, 2017, the Receiver in this case moved the Court to lift a litigation stay in an ancillary proceeding in Illinois Circuit Court, Cook County, Chancery Division. The SEC consented to this motion. Accordingly, the named defendants to this action are to respond to this motion NO LATER THAN January 31, 2017. The Receiver is reminded to consult all parties in this case and indicate their positions with respect to any applications or requests made by the Receiver to the Court. So Ordered by Chief Judge Dora Lizette Irizarry on 1/20/2017. (Carosella, Christy) (Entered: 01/20/2017)
01/19/2017 37 AFFIDAVIT/DECLARATION in Opposition re 21 Joint MOTION for Order to Show Cause by Craig Smyser filed by Richard Schmidt. (Smyser, Craig) (Entered: 01/19/2017)
01/19/2017 36 RESPONSE in Opposition re 21 Joint MOTION for Order to Show Cause filed by Richard Schmidt. (Smyser, Craig) (Entered: 01/19/2017)
01/19/2017 35 NOTICE of Appearance by Melissa S. Geller on behalf of Uri Landesman (aty to be noticed) (Geller, Melissa) (Entered: 01/19/2017)
01/19/2017 34 NOTICE of Appearance by Eric R Breslin on behalf of Uri Landesman (aty to be noticed) (Breslin, Eric) (Entered: 01/19/2017)
01/19/2017 33 FILING FEE: $ 150.00, receipt number 4653110363 re Pro Hac Vice Motion as to Craig Smyser. (Ramesar, Thameera) (Entered: 01/19/2017)
01/17/2017 ORDER granting 32 Motion on Consent to Reset Response and Reply Dates on Court's January 11, 2017 Order to Show Cause -- On January 16, 2017, the SEC requested, on consent, an extension of time for the Bankruptcy Litigation Trustee's response and the SEC and Receiver's reply to the Court's Order to Show Cause. The request is GRANTED. Accordingly, it is hereby ORDERED that the Bankruptcy Litigation Trustee, Richard Schmidt, and the named defendants to this action respond to this application NO LATER THAN 5:00 p.m. on January 19, 2017. The SEC and Receiver shall reply NO LATER THAN 5:00 p.m. on January 24, 2017. Two hard courtesy copies of all papers submitted must be forwarded to chambers IMMEDIATELY upon filing. So Ordered by Chief Judge Dora Lizette Irizarry on 1/17/2017. (Carosella, Christy) (Entered: 01/17/2017)
01/16/2017 32 Letter Motion on Consent to Reset Response and Reply Dates on Court's January 11, 2017 Order to Show Cause by United States Securities and Exchange Commission (Jacobson, Neal) (Entered: 01/16/2017)
01/13/2017 31 AFFIDAVIT/DECLARATION in Support re 26 Consent MOTION for More Definite Statement Motion For an Order LiftingThe Litigation Stay filed by Bart Schwartz. (Seidner, Abigail) (Entered: 01/13/2017)
01/13/2017 30 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0207-9204786. by David Levy. (Attachments: # 1Affidavit, # 2 Certificate of Good Standing - DC, # 3 Certificate of Good Standing - VA) (McCarthy, Katherine) (Entered: 01/13/2017)
01/12/2017 29 NOTICE of Appearance by Craig Smyser on behalf of Richard Schmidt (aty to be noticed) (Smyser, Craig) (Entered: 01/12/2017)
01/12/2017 28 MOTION for Leave to Appear Pro Hac Vice by Craig Smyser counsel for 3rd Party Richard Schmidt, Litigation Trustee. (Rodriguez, Lori) (Entered: 01/12/2017)
01/12/2017 27 AFFIDAVIT/DECLARATION in Support re 26 Consent MOTION for More Definite Statement Motion For an Order LiftingThe Litigation Stay filed by Bart Schwartz. (Barenholtz, Celia) (Entered: 01/12/2017)
01/12/2017 26 Consent MOTION for More Definite Statement Motion For an Order LiftingThe Litigation Stay by Bart Schwartz. (Barenholtz, Celia) (Entered: 01/12/2017)
01/11/2017 25 NOTICE of Appearance by Monica Ann Friedman on behalf of David Levy (aty to be noticed) (Friedman, Monica) (Entered: 01/11/2017)
01/11/2017 ORDER TO SHOW CAUSE -- On January 9, 2017, an application was made to the Court by the SEC and Receiver, inter alia, for an order modifying the orders entered on December 19, 2016, issuing a Temporary Restraining Order and appointing a Receiver, to enjoin a certain bankruptcy proceeding relating to this case and otherwise restraining the Bankruptcy Litigation Trustee from interfering with the duties of the Receiver and authorizing the Receiver to take certain action. [See Docket Entry #21] Accordingly, it is hereby ORDERED that the Bankruptcy Litigation Trustee, Richard Schmidt, and the named defendants to this action respond to this application NO LATER THAN 5:00 p.m. January 17, 2017. Service shall be made by delivering the papers any of the following methods: (a) on the SEC by fax to (212) 336-1324, email at JacobsonN@sec.gov, or hand delivery or overnight courier service to the Commission's counsel, Neal Jacobson, Esq., at the Securities and Exchange Commission, Brookfield Place, 200 Vesey Street, Suite 400, New York, NY 10281, and (b) on the Receiver by email at cbarenholtz@cooley.com or overnight courier service on the Receiver's counsel Celia Goldwag Barenholtz, Esq.,Cooley LLP, 1114 Avenue of the Americas, New York, NY 10036. NO LATER THAN January 24, 2017, at 5:00 p.m., the SEC and Receiver shall serve, by the most expeditious means available, their reply papers upon the Bankruptcy Litigation Trustee or his counsel, and the named defendants. Two hard courtesy copies of all papers submitted must be forwarded to chambers IMMEDIATELY upon filing. An Order to Show Cause hearing shall be held on January 31, 2017, PROMPTLY at 11:00 AM in Courtroom 4A South of the Brooklyn Federal Courthouse, 225 Cadman Plaza East. Any attorney appearing on this matter or filing papers must be admitted to practice before this Court and be in good standing with the Court. So Ordered by Chief Judge Dora Lizette Irizarry on 1/11/2017. (Carosella, Christy) (Entered: 01/11/2017)
01/10/2017 ORDER granting 19 Motion for Leave to Appear Pro Hac Vice. The attorney shall register for ECF, registration is available online at the NYEDs homepage. Once registered, the attorney shall file a notice of appearance and ensure that s/he receives electronic notification of activity in this case. Also, the attorney shall ensure that the $150 admission fee be submitted to the Clerks Office. Ordered by Magistrate Judge Vera M. Scanlon on 1/10/2017. (Quinlan, Krista) (Entered: 01/10/2017)
01/09/2017 Motions terminated, docketed incorrectly: 20 Joint MOTION for Temporary Restraining Order Emergency MOTION for Order to Show Cause . (Layne, Monique) (Entered: 01/26/2017)
01/09/2017 24 MEMORANDUM in Support re 21 Joint MOTION for Order to Show Cause filed by Bart Schwartz, United States Securities and Exchange Commission. (Barenholtz, Celia) (Entered: 01/09/2017)
01/09/2017 23 AFFIDAVIT/DECLARATION in Support re 21 Joint MOTION for Order to Show Cause DECLARATION OF NEAL JACOBSON PURSUANT TO LOCAL RULE 6.1(d) in SUPPORT OF JOINT EMERGENCY MOTION filed by United States Securities and Exchange Commission. (Barenholtz, Celia) (Entered: 01/09/2017)
01/09/2017 22 AFFIDAVIT/DECLARATION in Support re 21 Joint MOTION for Order to Show Cause filed by Bart Schwartz. (Attachments: #1 Exhibit A to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 2 Exhibit B to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 3 Exhibit C to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 4 Exhibit D to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 5 Exhibit E to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 6 Exhibit F to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 7 Exhibit G to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 8 Exhibit H to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 9 Exhibit I to DECLARATION OF RECEIVER BART M. SCHWARTZ, # 10 Exhibit J to DECLARATION OF RECEIVER BART M. SCHWARTZ) (Barenholtz, Celia) (Entered: 01/09/2017) (Exhibits)
01/09/2017 21 Joint MOTION for Order to Show Cause by Bart Schwartz, United States Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Barenholtz, Celia) (Entered: 01/09/2017)
01/09/2017 20 #VALUE!
01/09/2017 19 Notice of MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0207-9189045. by Bart Schwartz. (Attachments: # 1 Affidavit in Support Affidavit of Alan Levine in Support of Motion to Admit Counsel Pro Hac Vice, # 2 Exhibit Certificate of Good Standing, # 3 Proposed Order) (Levine, Alan) (Entered: 01/09/2017)
01/09/2017 18 NOTICE of Appearance by Alan Levine on behalf of Bart Schwartz (aty to be noticed) (Levine, Alan) (Entered: 01/09/2017)
01/06/2017 17 NOTICE of Appearance by Shriram Harid on behalf of Mark Nordlicht, Platinum Credit Management, L.P., Platinum Management (NY) LLC (aty to be noticed) (Harid, Shriram) (Entered: 01/06/2017)
01/06/2017 16 NOTICE of Appearance by Jeffrey Alan Brown on behalf of Mark Nordlicht, Platinum Credit Management, L.P., Platinum Management (NY) LLC (aty to be noticed) (Brown, Jeffrey) (Entered: 01/06/2017)
01/05/2017 15 NOTICE of Appearance by Kevin J. O'Brien on behalf of Joseph Sanfilippo (aty to be noticed) (O'Brien, Kevin) (Entered: 01/05/2017)
01/03/2017 14 NOTICE of Appearance by Morris J. Fodeman on behalf of David Levy (aty to be noticed) (Fodeman, Morris) (Entered: 01/03/2017)
01/03/2017 13 NOTICE of Appearance by Michael S. Sommer on behalf of David Levy (aty to be noticed) (Sommer, Michael) (Entered: 01/03/2017)
01/03/2017 12 NOTICE of Appearance by Abigail Belknap Seidner on behalf of Bart Schwartz (aty to be noticed) (Seidner, Abigail) (Entered: 01/03/2017)
01/03/2017 11 NOTICE of Appearance by Celia Goldwag Barenholtz on behalf of Bart Schwartz (aty to be noticed) (Barenholtz, Celia) (Entered: 01/03/2017)
01/03/2017 10 NOTICE of Change of Office Address by Jess A. Velona (Velona, Jess) (Entered: 01/03/2017)
01/03/2017 9 NOTICE of Appearance by Jess A. Velona on behalf of All Plaintiffs (notification declined or already on case) (Velona, Jess) (Entered: 01/03/2017)
12/30/2016 ORDER re 8 Letter filed by United States Securities and Exchange Commission -- The request is granted in its entirety. TRO Defendants' response is now due by February 10, 2017. SEC's reply is now due by February 17, 2017. Two hard courtesy copies of all submissions must be submitted to chambers promptly. The preliminary injunction hearing is adjourned to March 3, 2017 at 10:00 AM in courtroom 4 A South. The substantive relief in the TRO and the order appointing Receiver shall remain in effect, including the Receiver's ability to retain counsel and professionals upon the Court's approval. So Ordered by Chief Judge Dora Lizette Irizarry on 12/30/2016. (Carosella, Christy) (Entered: 12/30/2016)
12/23/2016 8 Letter Motion on Consent to Adjourn Hearing on Motion for Preliminary Injunction by United States Securities and Exchange Commission (Jacobson, Neal) (Entered: 12/23/2016)
12/22/2016 NOTICE of Rescheduled Hearing: The Preliminary Injunction Hearing is rescheduled for January 6, 2017 at 2:30 PM in Courtroom 4 A South before Chief Judge Dora Lizette Irizarry. (Carosella, Christy) (Entered: 12/22/2016)
12/22/2016 ORDER REASSIGNING CASE. Case reassigned to Chief Judge Dora Lizette Irizarry for all further proceedings. Judge Kiyo A. Matsumoto 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 12/22/2016. (Davis, Kimberly) (Entered: 12/22/2016)
12/21/2016 7 NOTICE of Appearance by Andrew J. Levander on behalf of Mark Nordlicht, Platinum Credit Management, L.P., Platinum Management (NY) LLC (aty to be noticed) (Levander, Andrew) (Entered: 12/21/2016)
12/19/2016 6 ORDER APPOINTING RECEIVER, ORDERED, ADJUDGED AND DECREED THAT: 1. This Court hereby takes exclusive jurisdiction and possession of the assets, of whatever kind and wherever situated, of the Receivership Entities (the 'Receivership Assets'). 2. Until further Order of this Court, Bart Schwartz is hereby appointed to serve without bond as receiver for the receivership estate of the Receivership Entities. (See attached order for details). Ordered by Judge Kiyo A. Matsumoto on 12/19/2016. (Layne, Monique) (Entered: 12/19/2016)
12/19/2016 5 ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, ORDER APPOINTING RECEIVER, AND GRANTING OTHER RELIEF. (See attached Order for details). Ordered by Judge Kiyo A. Matsumoto on 12/19/2016. (Layne, Monique) (Main Document 5 replaced on 12/22/2016) (Williams-Jackson, Sandra). (Entered: 12/19/2016)
12/19/2016 4 In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: http://www.uscourts.gov/uscourts/FormsAndFees/Forms/AO085.pdf. You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (Bowens, Priscilla) (Entered: 12/19/2016)
12/19/2016 3 Summons Issued as to All Defendants. (Bowens, Priscilla) (Entered: 12/19/2016)
12/19/2016 2 Unsigned Order to Show Cause by United States Securities and Exchange Commission (Bowens, Priscilla) (Entered: 12/19/2016)
12/19/2016 1 COMPLAINT against All Defendants Was the Disclosure Statement on Civil Cover Sheet completed -no,, filed by United States Securities and Exchange Commission. (Attachments: # 1 Civil Cover Sheet, # 2 Memorandum in Support, # 3 Declaration Jacobson, # 4 Declaration Velona, # 5 Proposed Order Platinum Receiver) (Bowens, Priscilla) (Additional attachment(s) added on 12/19/2016: # 6 Declaration Jess Velona, # 7 Exhibit 1, # 8 Exhibit 2, # 9 Exhibit 3, # 10 Exhibit 4, # 11 Exhibit 5, # 12 Exhibit 6, # 13 Exhibit 7, # 14 Exhibit 8, # 15 Exhibit 9, # 16 Exhibit 10, # 17 Exhibit 11) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 18 Exhibit 14, # 19 Exhibit 15, # 20 Exhibit 16, # 21 Exhibit 17, # 22 Exhibit 18, # 23 Exhibit 19, # 24Exhibit 20, # 25 Exhibit 21, # 26 Exhibit 22, # 27 Exhibit 23, # 28 Exhibit 24, # 29 Exhibit 25, # 30 Exhibit 26, # 31 Exhibit 27) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 32 Exhibit 28, # 33 Exhibit 29, # 34 Exhibit 30, # 35Exhibit 31, # 36 Exhibit 32, # 37 Exhibit 33, # 38 Exhibit 34, # 39 Exhibit 35, # 40 Exhibit 36, # 41 Exhibit 37, # 42 Exhibit 38, #43 Exhibit 39, # 44 Exhibit 40, # 45 Exhibit 41, # 46 Exhibit 42, # 47 Exhibit 43, # 48 Exhibit 44, # 49 Exhibit 45) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 50 Exhibit 46, # 51 Exhibit 47, # 52 Exhibit 48, # 53 Exhibit 49, # 54Exhibit 50, # 55 Exhibit 51, # 56 Exhibit 52, # 57 Exhibit 53, # 58 Exhibit 54, # 59 Exhibit 55) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 60 Exhibit 56, # 61 Exhibit 57, # 62 Exhibit 58) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 63 Exhibit 59, # 64 Exhibit 60) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 65 Exhibit 61, # 66 Exhibit 62, # 67 Exhibit 63, # 68 Exhibit 64, # 69 Exhibit 65, # 70 Exhibit 66, # 71 Exhibit 67, # 72 Exhibit 68) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 73 Exhibit 69, # 74 Exhibit 70, # 75Exhibit 71, # 76 Exhibit 72, # 77 Exhibit 73, # 78 Exhibit 74, # 79 Exhibit 75) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 80 Exhibit 12) (Bowens, Priscilla). (Additional attachment(s) added on 12/19/2016: # 81 Exhibit 13) (Bowens, Priscilla). (Entered: 12/19/2016) (Exhibits)