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
08/23/2017 250 Letter re Receiver's Application, Dkt. Nos. 242-244 by David Levy (Sommer, Michael) (Entered: 08/23/2017)
08/23/2017 249 Letter to Judge Irizarry dtd: 08-23-2017 re: Receiver's application by Uri Landesman (Breslin, Eric) (Entered: 08/23/2017)
08/22/2017 248 Letter Regarding The Receiver's Application For Court Approval Of Heartland Bank Settlement by Joseph Mann (Fischer, Benjamin) (Entered: 08/22/2017)
08/22/2017 247 Letter re Receiver's Application, Dkt. No. 242 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 08/22/2017)
08/22/2017 246 Letter Regarding The Receivers Application For Court Approval Of Heartland Bank Settlement by Daniel Small (Levine, Seth) (Entered: 08/22/2017)
08/21/2017 245 ORDER Authorizing Receiver To Retain And Pay Houlihan Lokey Financial Advisors, Inc., ORDERED that the relief sought by the [236] Application and Notice are granted, and pursuant to the Application and the Notice, the Receiver is authorized to retain Houlihan, effective nunc pro tunc to December 19, 2016 in accordance with the terms of the Agreement and the Addendum; and further ORDERED that the Receiver may make the payments to Houlihan set forth in her Declaration and in the Notice, and may make such other future payments as provided for in the Agreement and the Addendum without further Order of this Court. (SEE attached for details). Ordered by Chief Judge Dora Lizette Irizarry on 8/18/2017. (Layne, Monique) (Entered: 08/21/2017)
08/15/2017 244 MEMORANDUM in Support re 242 MOTION for Settlement Approving Stipulation and Proposed Order Settlement Between the Receiver and Hartland Bank filed by Receiver. (Cyganowski, Melanie) (Entered: 08/15/2017)
08/15/2017 243 AFFIDAVIT/DECLARATION in Support re 242 MOTION for Settlement Approving Stipulation and Proposed Order Settlement Between the Receiver and Hartland Bank filed by Receiver. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit) (Cyganowski, Melanie) (Entered: 08/15/2017) (Exhibits)
08/15/2017 242 MOTION for Settlement Approving Stipulation and Proposed Order Settlement Between the Receiver and Hartland Bank by Receiver. (Cyganowski, Melanie) (Entered: 08/15/2017)
08/15/2017 241 NOTICE by Receiver re 172 Stipulation Withdrawal of Stipulation and Proposed Order Regarding Information Sharing Between Platinum Entities (Cyganowski, Melanie) (Entered: 08/15/2017)
08/15/2017 240 NOTICE by Receiver re 112 Letter, Notice of Withdrawal of Application to Expand Scope of Receivership (Cyganowski, Melanie) (Entered: 08/15/2017)
08/15/2017 239 NOTICE by Receiver of Adoption of Prior Receiver's Application to Retain and Pay Deloitte Tax LLP (Attachments: # 1 Proposed Order Ex. A) (Cyganowski, Melanie) (Entered: 08/15/2017) (Exhibits)
08/15/2017 238 NOTICE by Receiver of Adoption of Prior Receiver's Application to Retain and Pay Pricewaterhousecoopers LLP (Attachments: # 1 Proposed Order Ex. A) (Cyganowski, Melanie) (Entered: 08/15/2017) (Exhibits)
08/10/2017 237 STATUS REPORT /The Receivers Initial Status Report to the Court by Receiver (Cyganowski, Melanie) (Entered: 08/10/2017)
08/08/2017 236 NOTICE by Receiver of Adoption of, and Addendum to, Application to Retain Houlihan Lokey Financial Advisors, Inc.(Attachments: # 1 Exhibit 1., # 2 Exhibit A., # 3 Proposed Order Exhibit 2) (Cyganowski, Melanie) (Entered: 08/08/2017) (Exhibits)
07/27/2017 235 Letter to Chief Judge Irizarry from Michael T. Scott, on behalf of Reed Smith LLP, requesting that the application dated June 30, 2017 made by former receiver Bart M. Schwartz be withdrawn by the newly appointed receiver--if not withdrawn, requesting that it be denied it its entirety. (Carosella, Christy) (Entered: 07/28/2017)
07/27/2017 234 NOTICE by Receiver re 208 Letter /Receiver's Notice of Withdrawal of Application to Retain and Pay Reed Smith LLP(Cyganowski, Melanie) (Entered: 07/27/2017)
07/25/2017 233 Letter by United States Securities and Exchange Commission (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8) (Jacobson, Neal) (Entered: 07/25/2017) (Exhibits)
07/21/2017 232 ORDER approving retention of Goldin Associates LLC as financial advisor to the Receiver. So Ordered by Chief Judge Dora Lizette Irizarry on 7/21/2017. (Carosella, Christy) (Entered: 07/21/2017)
07/21/2017 231 ORDER approving retention of Ottenbourg, P.C. as counsel for the Receiver. So Ordered by Chief Judge Dora Lizette Irizarry on 7/21/2017. (Carosella, Christy) (Entered: 07/21/2017)
07/19/2017 230 Letter re: Receiver's Applications, Dkt. Nos. 219 & 220 by Jeffrey Shulse (Mann, Michael) (Entered: 07/19/2017)
07/18/2017 229 Letter re Receiver's Applications, Dkt. Nos 219 & 220 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 07/18/2017)
07/18/2017 228 Letter re Receiver's applications Dkt. Nos. 219 & 220 by Joseph Mann (Fischer, Benjamin) (Entered: 07/18/2017)
07/17/2017 227 Letter re Receiver's applications Dkt. No. 219 & Dkt. No. 220 by Joseph Sanfilippo (O'Brien, Kevin) (Entered: 07/17/2017)
07/14/2017 226 Letter re: Receiver's Applications, Dkt. Nos. 219 & 220 by Daniel Small (Levine, Seth) (Entered: 07/14/2017)
07/14/2017 225 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 07-07-17, before Judge Irizarry. Court Reporter/Transcriber N. Canales, Telephone number 718-613-2509. Email address: cnlsnic@aol.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 8/4/2017. Redacted Transcript Deadline set for 8/14/2017. Release of Transcript Restriction set for 10/12/2017. (Canales
07/14/2017 224 Letter re Receiver's applications Dkt. No. 219 & Dkt. No. 220 by David Levy (Fodeman, Morris) (Entered: 07/14/2017)
07/12/2017 223 Letter to Judge Irizarry dtd: 7-12-2017 re: Receiver's applications by Uri Landesman (Breslin, Eric) (Entered: 07/12/2017)
07/12/2017 222 NOTICE of Change of Firm Address by Adam Caleb Ford (Ford, Adam) (Entered: 07/12/2017)
07/10/2017 ORDER denying 166 Motion for Leave to Electronically File Document under Seal -- Counsel is directed to electronically file the original document on the public docket. So Ordered by Chief Judge Dora Lizette Irizarry on 7/10/2017. (Carosella, Christy) (Entered: 07/10/2017)
07/07/2017 221 Minute Entry for proceedings held before Chief Judge Dora Lizette Irizarry:Status Conference held on 7/7/2017. (Court Reporter Nicole Canales.) (Carosella, Christy) (Entered: 07/12/2017)
07/11/2017 220 MOTION to Appoint Expert Goldin Associates LLC as Financial Advisor to the Receiver by Court-Appointed Receiver. (Attachments: # 1 Proposed Order Ex. A, # 2 Declaration of Marc S. Kirschner) (Cyganowski, Melaine) (Entered: 07/11/2017) (Exhibits)
07/11/2017 219 MOTION to Appoint Counsel /Application for Order Approving the Retention of Otterbourg P.C. Nunc Pro Tunc to the Appointment date by Court-Appointed Receiver. (Attachments: # 1 Proposed Order Ex. A, # 2 Declaration of Richard G. Haddad) (Cyganowski, Melaine) (Entered: 07/11/2017) (Exhibits)
07/10/2017 218 ORDER AUTHORIZING ARABELLA SETTLEMENT AGREEMENT: the Receiver's application is granted, and pursuant to the application, the Receiver's entry into the Arabella Settlement Agreement, attached as Exhibit A to the Declaration of Michael E. Baum is approved. SO Ordered by Chief Judge Dora Lizette Irizarry on 7/7/2017. (Ramesar, Thameera) (Entered: 07/10/2017)
07/07/2017 217 ORDER granting 42 Motion to Intervene; granting 42 Motion to Stay -- For the reasons set forth in the ATTACHED WRITTEN MEMORANDUM AND ORDER, the Government's (represented by the Office of the U.S. Attorney for the Eastern District of New York) motion to intervene and to stay civil proceedings is granted. The SEC action is stayed pending the resolution of the criminal proceeding against the Individual Defendants. Nothing contained in this Electronic Order or the Attached Memorandum and Order is to be construed as affecting the responsibilities and actions of the Receiver in disposing of the receivership assets. SO ORDERED by Chief Judge Dora Lizette Irizarry on 7/7/2017. (Irizarry, Dora) (Entered: 07/07/2017)
07/06/2017 216 ORDER granting in part and denying in part 173 Motion to Appoint Receiver. ; ORDER re 170 Letter filed by Bart Schwartz -- The SEC's motion for the appointment of a new receiver in this matter is granted; however, the Court reserves decision as to whether to approve the SEC's proposed changes to the original order appointing a receiver. The Court accepts the resignation of the original receiver, Mr. Schartz, effective immediately. Ms. Melanie L. Cyganowksi is hereby appointed as Receiver effective immediately. Mr. Schwartz is directed to assist in a swift and smooth transition of the Receivership. Because the Court had some concerns regarding the new restrictions in the 'Proposed Second Order Appointing Receiver' [174-1], the Court forwarded the red-line version of the document to Ms. Cyganowski and requested she briefly note any concerns she might have concerning the proposed changes, their impact on the Receiver's authority, and any undue delay they may cause and fax it to chambers. The fax received by the Court in response to that request is attached hereto. The Court will discuss concerns with the terms of the proposed new Receiver Order at the status conference scheduled for tomorrow. Until this Court rules on these proposed revisions, Ms. Cyganowski is to assume all authority previously held by Mr. Schwartz as Receiver under the existing Receiver Order 6 . SO ORDERED. Ordered by Chief Judge Dora Lizette Irizarry on 7/6/2017. (Irizarry, Dora) (Entered: 07/06/2017)
07/06/2017 215 NOTICE of Appearance by Suzanne P. Pope on behalf of Joseph Sanfilippo (aty to be noticed) (Pope, Suzanne) (Entered: 07/06/2017)
07/06/2017 214 NOTICE of Appearance by Tracy L Dayton on behalf of Daniel Small (aty to be noticed) (Dayton, Tracy) (Entered: 07/06/2017)
07/06/2017 213 NOTICE of Appearance by John T. Piggins on behalf of Arabella Exploration, LLC, Arabella Operating, LLC (notification declined or already on case) (Piggins, John) (Entered: 07/06/2017)
07/05/2017 212 MOTION for Leave to File a Substitute Exhibit to Docket Number 211-1 by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit) (Jacobson, Neal) (Entered: 07/05/2017)
07/05/2017 211 REPLY in Support re 173 MOTION to Appoint Receiver Application for an Order to Show Cause for Entry of a Second Amended Order Appointing Receiver and Appointment of a Substitute Receiver filed by United States Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit) (Jacobson, Neal) (Entered: 07/05/2017)
07/05/2017 ORDER granting 210 Motion for Leave to Appear Pro Hac Vice. The attorney shall register for ECF (registration is available online at the EDNY homepage). Once registered, the attorney shall file a notice of appearance and ensure that s/he receives electronic notification of activity in this case. Counsel may appear by telephone at the conference scheduled for July 7, 2017. If they wish to do so, the Court must advised via e-filed letter and counsel shall contact my courtroom deputy for call-in information. So Ordered by Chief Judge Dora Lizette Irizarry on 7/5/2017. (Carosella, Christy) (Entered: 07/05/2017)
07/05/2017 ORDER re 209 Letter filed by Uri Landesman -- The request is granted. So Ordered by Chief Judge Dora Lizette Irizarry on 7/5/2017. (Carosella, Christy) (Entered: 07/05/2017)
07/05/2017 210 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0207-9651236. by Arabella Exploration, LLC, Arabella Operating, LLC. (Attachments: # 1 Affidavit w/certificate of good standing) (Piggins, John) (Entered: 07/05/2017)
07/03/2017 209 Letter requesting Landesman be excused from July 7 court appearance by Uri Landesman (Breslin, Eric) (Entered: 07/03/2017)
06/30/2017 NOTICE AND STANDING ORDER --- A number of "interested parties," consisting of purported creditors or victims of the defendants as a result of the securities and wire fraud alleged in this case, through their attorneys, have added themselves to the docket of this case, without seeking leave of the Court to do so. In some cases, the attorneys are admitted to practice in this Court, in others, the attorneys have sought leave to appear pro hac vice and those applications have been denied by order entered today. ANY PERSON, PERSONS, OR ENTITIES WHO ALLEGE TO BE CREDITORS OR VICTIMS ARE HEREBY PROHIBITED FROM ADDING THEMSELVES TO THE DOCKET OF THIS CASE. SUCH PERSONS SHOULD COMMUNICATE EITHER WITH THE SEC OR THE U.S. ATTORNEY'S OFFICE OF THIS DISTRICT AS THEY REPRESENT THE AGGRIEVED IN THIS CASE. None of these parties have been given leave by the Court to intervene in this action. Indeed, some never sought leave to do so. Moreover, by inappropriately adding themselves to the docket, they have created problems with the ECF system in this case. Finally, other individuals have faxed letters to chambers without first seeking permission to do so. FAXING TO CHAMBERS IS BY PERMISSION OF THE COURT ONLY. While the Court is mindful that there are victims in this case, the Court will not tolerate any violations of Court rules or procedures. NO FILINGS OR APPEARANCES WILL BE PERMITTED, UNLESS THEY ARE PERSONS WHO ARE NAMED IN THE COMPLAINT AND WHO HAVE BEEN GIVEN EXPLICIT PERMISSION OF THE COURT TO APPEAR. THE COURT WILL NOT ENTERTAIN ANY MOTION TO INTERVENE BASED SOLELY ON THE FACT THAT THE PROPOSED INTERVENOR IS A VICTIM OR CREDITOR. AGGRIEVED PERSONS SHALL CONTACT THE SEC AND THE U.S. ATTORNEY'S OFFICE FOR THE EASTERN DISTRICT OF NY AND THOSE ENTITIES ARE DIRECTED TO PRESENT THOSE POSITIONS TO THE COURT AND DEFENDANTS. SO ORDERED by Chief Judge Dora Lizette Irizarry on 6/30/2017. (Irizarry, Dora) (Entered: 06/30/2017)
06/30/2017 ORDER denying 181 Motion for Leave to Appear Pro Hac Vice ; denying 188 Motion for Leave to Appear Pro Hac Vice ; denying 189 Motion for Leave to Appear Pro Hac Vice -- The motions for leave to appear pro hac vice are DENIED. First, the affidavits are deficient. In one case, DE #188, the movant did not provide the requested information. As to all, the affiants purport to have been duly sworn and deposed in the State of New York, County of Kings, but the affidavit is notarized in another state by a notary of that state. This is not a proper affidavit and violates New York State law. Most importantly, none of these parties purport to represent persons named in the complaint and they have not been given permission to intervene in this case. SO ORDERED by Chief Judge Dora Lizette Irizarry on 6/30/2017. (Irizarry, Dora) (Entered: 06/30/2017)
06/30/2017 ORDER granting 190 Motion for Leave to Appear Pro Hac Vice --- Ms. Suzanne P. Pope's motion for admission pro hac vice on behalf of defendant Sanfilippo is granted. The attorney shall register for ECF. Registration is available online at the NYED's Website homepage. Once registered, the attorney shall file a notice of appearance and ensure that she receives electronic notification of activity in this case. Also, the attorney shall ensure that the $150 admission fee be submitted to the Clerks Office via filing the event Pro Hac Vice Filing Fee . SO ORDERED by Chief Judge Dora Lizette Irizarry on 6/30/2017. (Irizarry, Dora) (Entered: 06/30/2017)
06/30/2017 ORDER VACATING ORDER granting 181 Motion for Leave to Appear Pro Hac Vice. On further review of Mr. Nystrom's motion for leave to appear pro hac vice and in consultation with the District Court, the 6/29/2017 Order granting Mr. Nystrom's motion is sua sponte vacated. Mr. Nystrom's application is deficient in that his supporting affidavit is captioned in the State of New York but was notarized in the Commonwealth of Massachusetts. The District Court will decide the outstanding pro hac vice motions submitted by Mr. Nystrom and by other counsel. Ordered by Magistrate Judge Vera M. Scanlon on 6/30/2017. (Stackhouse, Noreen) (Entered: 06/30/2017)
06/30/2017 ORDER granting SEC's 207 Motion for Leave to File --- The SEC is granted leave to file a reply to defendants' papers NO LATER THAN 5:00 PM, WEDNESDAY, JULY 5, 2017. TWO HARD COURTESY COPIES MUST BE PROVIDED TO CHAMBERS NO LATER THAN 9:00 AM THURSDAY, JULY 6, 2017. SO ORDERED by Chief Judge Dora Lizette Irizarry on 6/30/2017. (Irizarry, Dora) (Entered: 06/30/2017)
06/30/2017 208 Letter seeking an Order Authorizing the Receiver to Retain and Pay Reed Smith by Bart Schwartz (Attachments: # 1 Declaration Exhibit 1 Declaration of Daniel M. Burnstein, # 2 Proposed Order Exhibit 2 Proposed Order) (Barenholtz, Celia) (Entered: 06/30/2017) (Exhibits)
06/30/2017 207 MOTION for Leave to File Reply in Further Support of Motion for Entry of Second Amended Order Appointing Receiver and Appointing Substitute Receiver by United States Securities and Exchange Commission. (Jacobson, Neal) (Entered: 06/30/2017)
06/30/2017 206 Letter seeking retention of Deloitte Tax LLP by Bart Schwartz (Attachments: # 1 Declaration Exhibit 1 Declaration of Michael D. Klett, # 2 Proposed Order Exhibit 2 Proposed Order) (Barenholtz, Celia) (Entered: 06/30/2017) (Exhibits)
06/30/2017 205 Letter MOTION for Leave to File Statement of Position Concerning the SEC's Application to Appoint a New Receiver by Beechwood Re Limited, Beechwood Bermuda International Ltd.. (Attachments: # 1 Statement of Position by Non-Parties Beechwood Re Limited and Beechwood Bermuda International Ltd. Concerning the SEC's Application for Appointment of New Receiver) (Fier, Seth) (Entered: 06/30/2017) (Exhibits)
06/30/2017 204 Letter to the The Honorable Dora L. Irizarry regarding the Receiver's Proposed Order, Dkt. No. 172 by Mark Nordlicht, Platinum Management (NY) LLC (Burck, William) (Entered: 06/30/2017)
06/30/2017 203 Letter to the The Honorable Dora L. Irizarry respectfully responding to the Receiver's June 23, 2017 Stipulation and Proposed Order Regarding Information Sharing Between Platinum Entities, Dkt. No. 172 by David Levy (Fodeman, Morris) (Entered: 06/30/2017)
06/30/2017 202 Letter re: Receiver Resignation by Jeffrey Shulse (Mann, Michael) (Entered: 06/30/2017)
06/30/2017 201 RESPONSE to Motion re 173 MOTION to Appoint Receiver Application for an Order to Show Cause for Entry of a Second Amended Order Appointing Receiver and Appointment of a Substitute Receiver filed by Bruce Bullen, Patricia Faris, Elizabeth Garatoni, Michael Garatoni, Garatoni Family Foundation, Allen Kaplan, Mary G. DeSimone Irrevocable Trust, Faris Philip, Robb Charitable Lead Trust, John Smith, Lori Smith, Courtney Solcher, Felicia Solcher, Gerry Solcher, Sally Solcher, Whitney Solcher, Steven Singer 2006 Revocable Trust, Teresa L. Perlstein Revocable Trust, The Garatoni Holdings Investment Partnership, The Perry and Ruby Stevens Charitable Foundation, The World Traveler Revocable Trust, William J. Perlstein Revocable Trust, Anthony Wright. (Nystrom, William) (Entered: 06/30/2017)