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)


View Dockets:1-50 | 51-100 | 101-150 | 151-200 | 201-250 | 251-300 | 301-350 | 351-400
 401-432

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Date Court Document Number Description
05/30/2017 150 Letter to Hon. Dora L. Irizarry re: May 19, 2017 joint letter from the SEC and Receiver (Dkt. No. 142) by Joseph Mann (Fischer, Benjamin) (Entered: 05/30/2017)
05/30/2017 149 Letter Responding to May 19, 2017 Joint Letter from the SEC and the Receiver by Daniel Small (Levine, Seth) (Entered: 05/30/2017)
05/30/2017 148 First MOTION for Hearing to lift stay so employees can sue to obtain payment for past services by Alexander Novak. (Novak, Alexander) (Entered: 05/30/2017)
05/30/2017 147 Letter to Hon. Dora L. Irizarry re: May 19, 2017 joint letter from the SEC and Receiver (Dkt. No. 142) by David Levy (Sommer, Michael) (Entered: 05/30/2017)
05/29/2017 146 Letter re Receiver application for a status conference by Uri Landesman (Breslin, Eric) (Entered: 05/29/2017)
05/26/2017 145 Letter Responding to Plaintiff's May 19, 2017 Letter, Dkt. No. 142 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 05/26/2017)
05/24/2017 144 Letter submitting Cooley's First Fee Application by Bart Schwartz (Attachments: # 1 Exhibit 1 First Quarterly Fee Application, #2 Exhibit A SFAR, # 3 Exhibit B Total Fees, Hours, and Rates, # 4 Exhibit C Invoices, # 5 Exhibit D Certification of Alan Levine) (Barenholtz, Celia) (Entered: 05/24/2017) (Exhibits)
05/24/2017 143 Letter submitting Receiver and Guidepost's First Fee Application by Bart Schwartz (Attachments: # 1 Exhibit 1 First Quarterly Fee Application, # 2 Exhibit A SFAR, # 3 Exhibit B Total Fees, Hours, and Rates, # 4 Exhibit C Total Hours Worked, # 5 Exhibit D Time Records, # 6 Exhibit E Expenses) (Barenholtz, Celia) (Entered: 05/24/2017) (Exhibits)
05/19/2017 142 Letter Joint Letter of the Securities and Exchange Commission and the Receiver Updating the Court on the Receivership and Requesting a Status Conference by United States Securities and Exchange Commission (Jacobson, Neal) (Entered: 05/19/2017)
05/15/2017 141 Letter regarding the first quarterly fee applications to this Court to be submitted by the Receiver, Guidepost Solutions LLC, and Cooley LLP for allowance of compensation by Bart Schwartz (Barenholtz, Celia) (Entered: 05/15/2017)
05/15/2017 140 MOTION for Leave to Electronically File Document under Seal Application for Permission to File Certain Portions of the First Application of Cooley LLP for Allowance of Compensation and Reimbursement of Expenses Under Seal by Bart Schwartz. (Barenholtz, Celia) (Entered: 05/15/2017)
05/15/2017 139 MOTION for Leave to Electronically File Document under Seal Receiver's Application for Permission to File Certain Portions of the First Joint Interim Application of the Receiver and Guidepost Solutions, LLC for Allowance of Compensation and Reimbursement of Expenses Incurred Under Seal by Bart Schwartz. (Barenholtz, Celia) (Entered: 05/15/2017)
05/11/2017 138 Letter addressed to Magistrate Judge Vera M. Scanlon in regard to the May 1, 2017 order directing that the Receiver file his First Quarterly Status Report under seal by Bart Schwartz (Barenholtz, Celia) (Entered: 05/11/2017)
05/02/2017 137 Letter in response to Receiver's Request [Dkt. No. 128] by Joseph Sanfilippo (O'Brien, Kevin) (Entered: 05/02/2017)
05/02/2017 136 Letter in Response to Receiver's Request (Dkt. No. 128) by Jeffrey Shulse (Mann, Michael) (Entered: 05/02/2017)
05/02/2017 135 Letter in Response to Receiver's Request, Dkt. No. 128 by Joseph Mann (Fischer, Benjamin) (Entered: 05/02/2017)
05/02/2017 134 Letter in Response to Receiver's Request, Dkt. No. 128 by Daniel Small (Levine, Seth) (Entered: 05/02/2017)
05/02/2017 133 Letter to Judge Irizarry dtd: 5-2-2017 re: Receiver's applications by Uri Landesman (Breslin, Eric) (Entered: 05/02/2017)
05/02/2017 132 Letter re Receiver's Request, Dkt. No. 128 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 05/02/2017)
05/01/2017 ORDER granting 129 Motion for Leave to Electronically File Document under Seal. The Receiver's application for permission to file under seal certain portions of his First Quarterly Status Report is granted for the privacy interests described in the motion. The Receiver is directed to file the original document under seal as a separate entry. Instructions on filing sealed documents on ECF are located at www.nyed.uscourts.gov. Ordered by Magistrate Judge Vera M. Scanlon on 5/1/2017. (Stackhouse, Noreen) (Entered: 05/01/2017)
05/01/2017 131 Letter in Response to Receiver Request, Dkt. No. 128 by David Levy (Sommer, Michael) (Entered: 05/01/2017)
04/28/2017 130 Letter addressed to Chief Judge Dora L. Irizarry submitting the public version of the Receiver's First Quarterly Status Report by Bart Schwartz (Attachments: # 1 Exhibit 1 Receiver's First Quarterly Status Report Redacted) (Barenholtz, Celia) (Entered: 04/28/2017)
04/27/2017 129 MOTION for Leave to Electronically File Document under Seal Receiver's Application for Permission to File The First Quarterly Status Report Under Seal by Bart Schwartz. (Barenholtz, Celia) (Entered: 04/27/2017)
04/25/2017 128 Letter on behalf of the Receiver requesting the Court's approval of the Arabella Settlement Agreement by Bart Schwartz (Attachments: # 1 Declaration Declaration of Bart M. Schwartz, # 2 Declaration Declaration of Michael E. Baum, # 3 Exhibit A to Declaration of Michael E. Baum - Mediation Settlement Agreement, # 4 Exhibit B to Declaration of Michael E. Baum - Excerpts from Hoisager Deposition Transcript, # 5 Exhibit C to Declaration of Michael E. Baum - F-10 Excerpts, # 6 Exhibit D to Declaration of Michael E. Baum - SOFA Excerpt, # 7 Exhibit E to Declaration of Michael E. Baum - E Guaranty of Professional Fees, # 8 Exhibit F to Declaration of Michael E. Baum - Amendment to Guaranty of Professional Fees, # 9 Exhibit G to Declaration of Michael E. Baum - Participation Agreement, # 10 Declaration Declaration of Stephen B. O'Connell, # 11 Proposed Order Proposed Order Authorizing The Arabella Settlement Agreement) (Barenholtz, Celia) (Entered: 04/25/2017) (Exhibits)
04/18/2017 127 Letter in Further Response to Receiver Request, Dkt. No. 112 by David Levy (Fodeman, Morris) (Entered: 04/18/2017)
04/14/2017 126 Letter providing additional information to aid the Court's consideration of the Receiver's March 23, 2017 letter requesting that this Court expand the scope of the current receivership by Bart Schwartz (Attachments: # 1 Exhibit A Letter from FIS VPM Inc) (Barenholtz, Celia) (Entered: 04/14/2017)
04/04/2017 125 Letter in Further Response to Receiver Request, Dkt. No. 112 by David Levy (Fodeman, Morris) (Entered: 04/04/2017)
04/03/2017 124 Letter Regarding Mr. Small's Partial Opposition to the Government's Application to Intervene and Stay Civil Proceedings by Daniel Small (Levine, Seth) (Entered: 04/03/2017)
03/31/2017 123 Letter for Chief Judge Dora L. Irizarry by Bart Schwartz (Barenholtz, Celia) (Entered: 03/31/2017)
03/30/2017 122 Letter in Response to the Receivers Request to Expand the Scope of the Receivership by Daniel Small (Levine, Seth) (Entered: 03/30/2017)
03/30/2017 121 Letter in Response to the Receiver's Request to Retain Houlihan Lokey by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 03/30/2017)
03/30/2017 120 Letter in Response to the Receiver's Request to Expand the Scope of the Current Receivership by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 03/30/2017)
03/29/2017 119 Letter in Response to Receiver Request, Dkt. No. 112 by David Levy (Fodeman, Morris) (Entered: 03/29/2017)
03/29/2017 118 Letter in Response to Receiver Request, Dkt. No. 111 by David Levy (Sommer, Michael) (Entered: 03/29/2017)
03/29/2017 117 Letter in Response to the Receiver's Request to Retain PricewaterhouseCoopers LLP by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 03/29/2017)
03/28/2017 116 Letter in Response to Receiver's requests by Joseph Mann (Fischer, Benjamin) (Entered: 03/28/2017)
03/28/2017 115 Letter in Response to the Receiver's Request to Retain PricewaterhouseCoopers LLP by Daniel Small (Levine, Seth) (Entered: 03/28/2017)
03/28/2017 114 Letter in Response to Receiver's requests by Joseph Sanfilippo (Ford, Adam) (Entered: 03/28/2017)
03/28/2017 113 Letter in Response to Receiver's requests by Uri Landesman (Breslin, Eric) (Entered: 03/28/2017)
03/23/2017 NOTICE TO ALL PARTIES - CLARIFICATION OF COURT'S ORDER ISSUED FEBRUARY 17, 2017 - CONSEQUENCES FOR FAILURE TO RESPOND --- Given the high volume of Receiver applications to the Court, the likelihood of receiving more such applications in the future, and to expedite this case, ALL Parties must state their positions to such applications within seven (7) calendar days of any Receiver filing. To further clarify the Court's Order issued on February 17, 2017, the parties are hereby on NOTICE that any silence or failure to object or comment on an application will be construed as consent to the application. If a Party does not state its position within seven (7) calendar days, that Party waives any recourse to state or change its position thereafter. The Court will not tolerate gamesmanship, lack of diligence, or failure to adhere to Court Orders, rules and procedures. SO ORDERED by Chief Judge Dora Lizette Irizarry on 3/23/2017. (Irizarry, Dora) (Entered: 03/23/2017)
03/23/2017 112 Letter on behalf of the Receiver respectfully requesting that this Court expand the scope of the current receivership by Bart Schwartz (Attachments: # 1 Declaration Exhibit 1 Declaration of Daniel M. Burstein in Support of the Receiver's Application for an Order Adding Entities to the Receivership, # 2 Proposed Order Exhibit 2 Second Amended Order) (Barenholtz, Celia) (Entered: 03/23/2017)
03/23/2017 111 Letter on behalf of the Receiver requesting the Court's approval to retain and pay Houlihan Lokey as a valuation and investment banking advisory firm by Bart Schwartz (Attachments: # 1 Declaration Exhibit 1 Declaration of Robert P. Rittereiser in Support of the Receiver's Application to Approve Retention of Houlihan Lokey Financial Advisors, Inc., # 2 Exhibit Exhibit 2 Houlihan Lokey Retention Agreement, # 3 Proposed Order Exhibit 3 Proposed Order) (Barenholtz, Celia) (Entered: 03/23/2017)
03/22/2017 110 Letter on behalf of the Receiver seeking the Court's permission to retain PricewaterhouseCoopers LLP to provide limited professional tax services for the Receivership Entities by Bart Schwartz (Attachments: # 1 Declaration Exhibit 1 Declaration of Michael D. Klett in Support of the Receiver's Application for an Order Authorizing the Retention of Pricewaterhousecoopers for Tax Filing Services, # 2 Exhibit Exhibit 2 PwC Engagement Letter, # 3 Proposed Order Exhibit 3 Proposed Order) (Barenholtz, Celia) (Entered: 03/22/2017)
03/14/2017 109 NOTICE of Appearance by Craig Smyser on behalf of Richard Schmidt (notification declined or already on case) (Smyser, Craig) (Entered: 03/14/2017)
03/13/2017 ORDER granting 107 Motion for Leave to Appear Pro Hac Vice. Mr. Smyser is permitted to argue or try this case in whole or in part as counsel or advocate. By 3/17/2017, counsel shall register for ECF and provide his address to the Clerk's Office. Registration is available online at the EDNY's homepage. Once registered, counsel shall file a notice of appearance and ensure that he receives electronic notification of activity in this case. This admission does not apply retroactively. Ordered by Magistrate Judge Vera M. Scanlon on 3/13/2017. (Stackhouse, Noreen) (Entered: 03/13/2017)
03/08/2017 108 ORDER AUTHORIZING RECEIVER TO PROVIDE DIP FINANCING FOR NORTHSTAR OFFSHORE GROUP. LLC, Accordingly, it is hereby ORDERED that the Receiver's application is granted, and the Receiver, in his discretion, is authorized to expend funds up to the amount of $5,000,000.00 for the purpose of entering into a post-petition financing agreement with Northstar Offshore Group, LLC. Ordered by Chief Judge Dora Lizette Irizarry on 3/6/2017. Returned to chmbrs. (Layne, Monique) (Entered: 03/08/2017)
03/08/2017 107 MOTION for Leave to Appear Pro Hac Vice Craig Smyser Filing fee $ 150, receipt number 0207-9348969. by Richard Schmidt. (Attachments: # 1 Exhibit Certificates of Good Standing, # 2 Affidavit in Support, # 3 Exhibit 1, # 4 Proposed Order) (Doyle, Tyler) (Entered: 03/08/2017)
03/08/2017 106 ORDER ON CONSENT IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF. So Ordered by Chief Judge Dora Lizette Irizarry on 3/7/2017. (Lee, Tiffeny) (Entered: 03/08/2017)
03/03/2017 ORDER denying 28 Motion for Leave to Appear Pro Hac Vice -- While Mr. Craig Smyser, Counsel for third party Richard Schmidt, Black Elk Litigation Trustee has paid the pro hac vice fee in support of his motion for admission pro hac vice filed on January 12, 2017, Mr. Smyser has failed to file a Certificate of Good Standing in the Bar of the State of Texas. He filed a notice of appearance within days of making the motion for pro hac vice admission without having been admitted. Moreover, Mr. Smyser improperly attached a response to a pending motion to his motion for admission. He may neither file any documents in this case nor otherwise appear until such time as he is properly admitted. SO ORDERED by Chief Judge Dora Lizette Irizarry on 3/3/2017. (Irizarry, Dora) (Entered: 03/03/2017)
03/03/2017 ORDER granting 104 Motion for Extension of Time to File -- On March 2, 2017, Defendants requested an extension of time to answer the Complaint. Plaintiff and all Defendants consented to this request. Normally, motions for extensions of time to answer are referred to the Magistrate Judge. However, given that the Motion for Leave to Intervene and to Stay Civil Proceedings ("Motion to Stay") 42 is sub judice, this Court has decided to entertain this motion. The motion is GRANTED. Defendants shall answer, move with respect to, or otherwise respond to the Complaint within 30 days after the Court's ruling on the Motion to Stay. SO ORDERED by Chief Judge Dora Lizette Irizarry on 3/3/2017. (Irizarry, Dora) (Entered: 03/03/2017)
03/03/2017 105 Letter Requesting Entry of Proposed Order on Consent Imposing Preliminary Injunction by United States Securities and Exchange Commission (Attachments: # 1 Exhibit Exhibit A) (Jacobson, Neal) (Entered: 03/03/2017)
03/02/2017 104 Letter MOTION for Extension of Time to File Answer or Otherwise Respond to Complaint by Joseph Mann. (Fischer, Benjamin) (Entered: 03/02/2017)
02/24/2017 103 Letter re: Plaintiff's Motion For Preliminary Injunction by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 02/24/2017)
02/24/2017 102 NOTICE of Appearance by Daniel Rickert Koffmann on behalf of Mark Nordlicht, Platinum Management (NY) LLC (notification declined or already on case) (Koffmann, Daniel) (Entered: 02/24/2017)
02/24/2017 101 NOTICE of Appearance by William Anthony Burck on behalf of Mark Nordlicht, Platinum Management (NY) LLC (notification declined or already on case) (Burck, William) (Entered: 02/24/2017)