michael lauer, lancer management group ii, llc

Transcription

Case 9:03-cv-80612-KAM Document 2655 Entered on FLSD Docket 10/31/2012 Page 1 of 35
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 03-80612 CIV-MARRA/HOPKINS
SECURITIES AND EXCHANGE COMMISSION
Plaintiff,.
v.
MICHAEL LAUER,
LANCER MANAGEMENT GROUP, LLC, and
LANCER MANAGEMENT GROUP II, LLC,
Defendants,
and
LANCER OFFSHORE, INC., LANCER PARTNERS, LP,
OMNIFUND, LTD., LSPV, INC., and LSPV, LLC,
Relief Defendants.
_________________________________
,/
NINETEENTH REPORT OF RECEIVER
Marty Steinberg, court-appointed receiver (the "Receiver") of Lancer Management
Group, LLC ("Lancer Management" or "LMG"), Lancer Management Group II, LLC ("Lancer
Management II" or "LMG II"), Lancer Offshore, Inc. ("Offshore"), Omnifund, Ltd.
("Omnifund"), LSPV, Inc., ("Offshore LSPV"), LSPV, LLC ("Partners LSPV"), G.H.
Associates, LLC ("GH"), and Alpha Omega Group, Inc. ("AOG") (collectively the
"Receivership Entities"), and formerly the responsible person for Lancer Partners, L.P.
("Partners," together with the Receivership Entities the "Lancer Entities") 1, hereby submits this
Nineteenth Report of Receiver pursuant to this Court's Case Management Order [DE 123] dated
1
Partners, Offshore, Omnifund, Offshore LSPV and Partners LSPV shall be hereinafter referred
to collectively as the "Funds."
Case No. 03-80612 CIV-MARRA
January 8, 2004, to update the Court and interested parties on the status of the receivership and
certain events that have occurred since the filing of the Eighteenth Status Report on April 30,
2012.
I.
GENERAL UPDATE
Since the filing of the Eighteenth Status Report, the Receiver and his professionals have
continued to take steps to maximize the return to creditors of the Lancer Entities. The Receiver
has continued to pursue litigation against the Funds' insiders and recipients of fraudulent
transfers from the Lancer Entities. The Receiver continues to discuss settlement of his claims
against the various defendants, and has pursued discovery.
Indeed, since the filing of the
Eighteenth Status Report, the Receiver has entered into numerous settlements with defendants in
the Receiver's litigation.
The Receiver has also pursued claims against certain Portfolio
Companies in which the Funds made investrnents. 2
The Receiver has resolved all issues relating to claims filed against the receivership
estates of the Receivership Entities, and the bankruptcy estate of Partners, including those
relating to claims between the Funds.
In Partners' Chapter 11 bankruptcy case, the United States Bankruptcy Court for the
Southern District of Florida ("Bankruptcy Court") confirmed on December 29, 2008 a joint plan
of liquidation ("Plan") filed by the Receiver, as responsible person for Partners, and the creditors
committees appointed in that case.
Under the Plan, Gerard McHale was appointed as the
liquidating trustee ("Liquidating Trustee") responsible for finalizing the liquidation and for the
2
The Receiver refers to companies in which the Funds held interests or against which the Funds
had claims collectively as the "Portfolio Companies."
2
Case No. 03-80612 CN-MARRA
ultimate distribution of most assets of Partners through a liquidating trust ("Liquidating Trusq.
In addition, under the Plan, the assets of Lancer Management II and LSPV, LLC were transferred
to the Liquidating Trust. The Liquidating Trustee is prosecuting the remaining two adversary
proceedings on behalf of Partners before the Bankruptcy Court. Under the Plan, the Receiver
serves as the Settlement Fund administrator of the $12.5 million settlement of litigation brought
against Partners' prepetition auditors and tax return preparers.
The Receiver has made
substantially all of the distributions to be made from the $12.5 million settlement.
The Receiver also serves as the Settlement Fund administrator for Class Members of a $6
million settlement reached in litigation brought against PricewaterhouseCoopers (Netherlands
Antilles), Pricewaterhouse Coopers International Ltd., and various related persons and entities
(the "PwC Class Settlement"), as well as a $5 million settlement reached in litigation brought
against Citco Fund Services (Curacao) N.V., The Citco Group Limited, Citco Acceptance
Corporation, Citco Fund Services U.S.A, Inc., Inter Caribbean Services Ltd., and various related
persons (the "Citco Class Settlement"). As of the date of this Status Report, the Receiver has
made most of the distributions from the PwC Class Settlement and the Citco Class Settlement
and is working to locate the remaining claimants who have failed to cash their distribution
checks.
n.
SEC LITIGATION
On January 18, 2007, the SEC filed with this Court (the "Court" or "District Court") a
comprehensive motion for summary judgment against Michael Lauer ("Lauer") with voluminous
exhibits in support. Lauer filed his response and the SEC filed its reply.
On September 24, 2008, the Court entered an Order and Opinion on Motion for Summary
Judgment (the "Summary Judgment Order").
By the Summary Judgment Order, the Court
3
granted the SEC's motion for summary judgment and entered summary judgment against Lauer
on all of the SEC's claims. The Court concluded that the SEC established all of the elements of
its securities law claims against Lauer as a matter of law.
The Court additionally concluded that the SEC is entitled to a judgment of disgorgement
against Lauer in the amount "by which Lauer profited from the wrongdoing" plus a civil penalty
under the securities laws.
On December 12, 2008, the Court held an evidentiary hearing
regarding the amount of disgorgement and prejudgment interest against Lauer.
On September 21, 2009, the Court entered a Judgment Granting Permanent Injunction
and Other Relief as to Lancer Management and Lancer Management II and Disgorgement as to
the Funds (the "Entity Judgment"). By the Entity Judgment, the Court granted the relief sought
by the SEC in accordance with the Receiver's stipulation as to these entities.
On September 22, 2009, the Court entered a Final Judgment Granting Permanent
Injunction and Other Relief Against Defendant Michael Lauer (the "Lauer Final Judgment"). By
the Lauer Final Judgment, the Court adjudged Lauer to be in violation of various securities laws
and regulations and permanently enjoined Lauer and "all persons in active concert or
participation" with Lauer from future misconduct. The Court further directed Lauer to pay
disgorgement in the amount of $43,688,249, "representing the ill-gotten gains he received as a
result of his violations of the federal securities laws", plus prejudgment interest of
$18,908,558.74, for a total of $62,596,807.75. The Court also ordered Lauer to pay a civil
penalty of $500,000, and ordered that the freeze on Lauer's assets under the control of the
Receiver continue until Lauer pays all disgorgement amounts. The Court closed the case against
Lauer and certified the Lauer Final Judgment for appeal.
4
On October 7, 2009, Lauer filed a Notice of Appeal indicating his intent to appeal the
Summary Judgment Order, the Lauer Final Judgment, and various other decisions of the Court
(the "Appeal"). On February 17, 2010, the U.S. Court of Appeals for the Eleventh Circuit
dismissed the Appeal for want of prosecution. On April22, 2010, the Eleventh Circuit reinstated
the Appeal. On April 19, 2012, the Eleventh Circuit Affirmed the Summary Judgment Order,
the Lauer Final Judgment and all other findings of the District Court that had been raised by
Lauer in the Appeal. On May 9, 2012, Lauer filed in the Eleventh Circuit his Request for
Rehearing En Bane of the Appeal. On June 20, 2012, the Eleventh Circuit denied Lauer's
Request for Rehearing En Bane. On August 29, 2012, Lauer filed in the Eleventh Circuit his
Notice of Filing a Petition for Writ of Certiorari with the Supreme Court, On October 29, 2012,
the Supreme Court denied Lauer's Petition for Writ of Certiorari.
On September 17, 2010, the Receiver filed his Motion for Order Authorizing First
Interim Distribution of Assets (DE 2404, "Motion to Authorize First Distribution"), requesting
authority from this Court to make a first interim distribution of $32 million of the Receivership
Estate's assets to investors and creditors of the Receivership Entities. On this same date, the
Receiver filed his Motion to Approve Procedure for Distributions (DE 2405, "Motion to
Approve Procedure"). On October 7, 2010, this Court entered its Orders Granting the Motion to
Authorize First Distribution and the Motion to Approve Procedure (DE's 2407 and 2408),
authorizing the Receiver to make a first interim distribution of $32 million of the Receivership
Estate's assets to the investors and creditors of the Receivership Entities.
On October 20, 2010, Michael Lauer filed his Emergency Motion for Court to Stay its
Order Granting Receiver's Motion Authorizing First Interim Distribution of Estate Assets
Pending Outcome of Appeal (DE 2413, the "Motion to Stay"). On this same date, this Court
5
entered its Order denying the Motion to Stay with respect to its request for emergency relief, but
reserved ruling on the merits of the Motion to Stay and held that it would consider the merits of
the Motion in the ordinary course (DE 2414). On November 4, 2010, the Receiver filed his
Opposition to the Motion to Stay (DE 2419). On November 23, 2010, this Court entered its
Order Denying the Motion to Stay (DE 2421). Thereafter, on January 28, 2011, the Receiver
began to make the first interim distribution to the investors and creditors of the Receivership
Entities. As of the date of this Status Report, the Receiver has completed almost all of the
distributions from the $32 million, and is working to locate those claimants who have not cashed
their distribution checks.
On April 16, 2012, the Receiver filed a Motion for Order Authorizing Second Interim
Distribution of Estate Assets (DE 2600, the "Motion to Authorize Second Distribution"),
requesting authority from this Court to make a second interim distribution of $6 million of the
Receivership Estate's assets to investors and creditors of the Receivership Entities. 3 On May 15,
2012, this Court entered its Order Granting the Motion to Authorize Second Distribution. As of
the date of this Status Report, the Receiver has mailed all checks related to the Second Interim
Distribution, and is working to locate those claimants who have not cashed their distribution
checks.
III.
CRIMINAL ACTION
On January 29, 2008, a grand jury of this Court returned an indictment against Lauer,
Martin Garvey ("Garvey"), Eric Hauser ("Hauser"), Laurence Isaacson ("Isaacson"), and Milton
3
The Lancer Partners' Liquidating Trust did not share in the second interim distribution for the
reasons stated in the Motion to Authorize Second Distribution.
6
Barbarosh ("Barbarosh") charging them with conspiracy to commit wire, mail and securities
fraud in violation of 18 U.S.C. § 371 and wire fraud in violation of 18 U.S.C. §§ 1342 and 1343,
thus initiating Case No. 08-20071-CR-JORDAN (the "Criminal Prosecution"). The indictment
is based on similar allegations and misconduct set forth in the SEC's complaint in this
Proceeding.
The trial in the Criminal Prosecution was originally set for the two-week period
beginning April 27, 2009, and was continued on numerous occasions. On February 12, 2010,
Lauer filed a Motion to Sever Co-Defendants Isaacson and Barbarosh from his criminal trial. On
February 26, 2010, Isaacson filed a Motion to Adopt Lauer's Motion to Sever. On April 13,
2010, the court presiding over the criminal trial (the "Criminal Court") entered its Order
Granting Lauer's Motion to Sever, severing Isaacson~s and Barbarosh' criminal trial from that of
Lauer and Garvey. As a result of the Order Granting the Motion to Sever, Isaacson's and
Barbarosh's trial began on April 26, 2010. Lauer's and Garvey's trial was postponed to a later
date, eventually commencing on or about March 1, 2011.
On April 22, 2009, the United States and Hauser filed in the Criminal Action a Plea
Agreement. Pursuant to the Plea Agreement, Hauser agreed to plead guilty to Count I of the
Indictment in the Criminal Action, which charges Hauser with conspiracy to commit wire, mail·
and securities fraud, in violation of 18 U.S.C. §371. The United States agreed to seek dismissal
of the remaining counts of the Indictment as to Hauser after sentencing. On October 19, 2009,
the Criminal Court entered its Judgment as to Hauser, sentencing him to be imprisoned for a
period of 5 years, to house arrest for an additional 3 years, and deferring a determination of
restitution until January 8, 2010. Thereafter, on January 19, 2010, the Criminal Court entered an
Amended Judgment as to Hauser with identical imprisonment and house arrest terms as the
7
original Judgment and ordering restitution in the amount of $752,935,448.00. On October 14,
2011, the Court entered an Amended Judgment in a· Criminal Case as to Hauser, wherein the
Court ordered that Hauser be imprisoned for a period of 30 days, beginning no later than
November 4, 2011, and upon release from imprisonment be on supervised release for two years,
and electronic monitoring for a period of six months.
On May 11, 2011, a Plea Agreement was entered as to Milton Barbarosh, where
Barbarosh agreed to plead guilty to Count I of the Indictment which charged him with
conspiracy to commit wire, mail and securities fraud, in violation of 18 U.S.C. § 371. On
October 24, 2011, the Court entered a Judgment in a Criminal Case as to Barbarosh, where the
Court ordered that Barbarosh be imprisoned for a period of 30 days, beginning no later than
January 9, 2012, and upon release from imprisonment be on supervised release for one year,
electronic monitoring for six months, and pay restitution in the amount of$150,000.00.
On July 20, 2010, after a full jury trial, Laurence Isaacson was found guilty on Count I of
the Indictment which charged the defendant with conspiracy to commit wire, mail and securities
fraud, in violation of 18 U.S.C. § 371, and found not guilty oil the remaining counts of the
Indictment. On September 1, 2011, the Court entered its Judgment in a Criminal Case as to
Isaacson, where the Court ordered that Isaacson be imprisoned for a period of 36. months,
beginning no later than December 2, 2011, and upon release from imprisonment be on
supervised release for three years, and pay restitution in the amount of $8,000,000.00.
On
September 13, 2011, Isaacson filed his Notice of Appeal of the conviction and sentence. On July
6, 2012, Isaacson filed his Motion for New Trial on the basis of newly discovered evidence. On
July 19, 2012, the United States Court of Appeals entered its Order Granting Isaacson's Motion
to Stay Appeal. On August 28, 2012, the District Court entered its Order Denying Isaacson's
8
Motion for New Trial. On September 7, 2012, Isaacson filed his Notice of Appeal of the Order
Denying his Motion for New Trial.
On April 18, 2011, the Court entered a Judgment of Acquittal as to Count VII as to Lauer
and Garvey. On April27, 2011, the jury rendered verdicts of not guilty on Counts I through VI
as to Lauer and Garvey. On May 4, 2011, the Court entered Judgments of Acquittal as to Lauer
and Garvey as to Counts 1 through 6 of the Indictment.
IV.
LITIGATION INVOLVING RECEIVERSIDP ENTITIES
Since the last status report, the Receiver has continued prosecuting litigation on behalf of
the Receivership Entities. The litigation can be categorized into claims against insiders and
claims seeking recovery of fraudulent transfers. 4 Attached as Exhibit "A" is a list of those
pending actions sorted by lead defendant. Attached as Exhibit "B" is a list of substantive
motions currently pending in the District Court.
A.
Citco Fund Services (USA), Inc. -Case Nos. 05-60080 CIV-MARRA
On December 19, 2005, Offshore and Omnifund filed their First Amended Complaint
against The Citco Group, Ltd., Citco Fund Services (Curacao) N.V., Citco Fund Services (USA)
Inc., InterCaribbean Services, Ltd., Anthony Stocks, Kieran Comoy and Declan Quilligan
(collectively, the "Citco Defendants") in cormection with Case No. 05-60080 (the ''Receiver
Citco Action").
On March 31, 2008, the Court entered an order on the Citco Defendants'
motions to dismiss the First Amended Complaint. The Court sustained the Receiver's claims
against Anthony Stocks, Kieran Comoy, Declan Quilligan, and InterCaribbean Services Ltd.
4
The claims brought by the Receiver against the insiders on behalf of the Receivership Entities
were also brought on behalf of Partners.
9
(collectively, the "Director Defendants") for gross negligence, breach of fiduciary duty, aiding
and abetting Lauer's breach of fiduciary duty, and breach of ERISA fiduciary duty. The Court
dismissed the Receiver's remaining claims of professional malpractice, aiding and abetting
breach of fiduciary duty, breach of contract, and claims under ERISA against the Director
Defendants. Additionally, the Court dismissed causes of action for breach of fiduciary duty,
aiding and abetting breach of fiduciary duty, gross negligence, breach of contract, and claims
under ERISA against The Citco Group Ltd., Citco Fund Services (Curacao) N.V. ("Citco N.V."i
and Citco Fund Services (USA), Inc. The Court dismissed these counts without prejudice and
granted the Receiver leave to amend his complaint.
On July 22, 2008, the Receiver filed his Second Amended Complaint, based in large part
on the Court's ruling in its March 31, 2008 order. The Defendants filed various motions to
dismiss the Second Amended Complaint. On June 15, 2010, the Court held a hearing on the
motions to dismiss. On March 30, 2011, the Court entered its Orders and Opinions on Motions
to Dismiss (DE's 190 and 191), dismissing Citco Group Limited and Citco Fund Services from
the Second Amended Complaint.
In the Orders and Opinions on Motions to Dismiss, the Court also dismissed various
counts against the remaining Defendants, while allowing some counts to proceed. Specifically,
the Court dismissed causes of action for professional malpractice, breach of fiduciary duty as to
Citco N.V. and breach of ERISA fiduciary duty as to Citco N.V. The Court found that the
Receiver could proceed against the director defendants with his breach of fiduciary duty Count.
The Court further found that the Receiver could proceed against Citco N.V. on breach of
5
Citco N.V. did not move to dismiss the Receiver's breach of contract claim against it in the
Amended Complaint.
10
contract, breach of duty of good faith and fair dealing as to the allegation that Citco N.V.
appointed conflicted high level employees to the Funds board, gross negligence, and aiding and
abetting Lauer's and the Citco-appointed directors breach of fiduciary duties.
As part of his efforts to obtain documents relevant to his action against the Citco
Defendants, the Receiver sought leave to intervene in a similar action brought by a group of
investors in Offshore and Omnifund, pending in the Southern District of New York, styled The
Pension Committee of the University of Montreal Pension Plan, et al. v. Bane of America
Securities, LLC, et al., 05 Civ. 09016 (SAS) (the "Group Action"). The Receiver sought to
modifY the confidentiality order entered into between the plaintiffs in the Group Action and the
Citco Defendants to obtain documents and other relevant discovery produced in that case. On
October 6, 2008, the Court presiding over the Group Action granted the Receiver's motion to
intervene, but stated that it would not consider the Receiver's motion to modifY the
confidentiality order until the Receiver's claims are permitted to proceed in the Receiver Citco
Action. Because some of the Receiver's claims were in fact proceeding in the Receiver Citco
Action, on November 4, 2008, the Receiver filed a motion for clarification/reconsideration of the
order entered in the Group Action. On December 31, 2008, the Court entered its order granting
in part the Receiver's motion for clarification/reconsideration. Specifically, the Court ordered
that the Receiver would be permitted to discover certain deposition transcripts relevant to the
Receiver Citco Action.
In addition, the Citco Defendants served the Receiver with a third-party subpoena in the
Group Action seeking documents relating to the scope and value of the Offshore Funds'
holdings. The Receiver undertook a review of documents that could be deemed responsive to the
subpoena, and consequently objected to producing certain documents based on attorney-client
11
and work product privileges, among other things. The Receiver agreed to produce certain nonprivileged, non-confidential documents to the Citco Defendants.
On March 26, 2010, the Receiver filed his corrected motion to consolidate this action
with the class action brought by a class of investors aginst various service providers of the
Lancer Entities, including certain of the Citco Defendants, styled Bruhl, et al. v.
PriceWaterhouseCoopers et al., 03-23044-CIV-MARRA-JOHNSON (the "Class Action"). The
Receiver requested that this Court consolidate these two actions because they have only one
remaining set of defendants and will require a trial with similar, if not identical, experts,
witnesses and docinnents. On October 7, 2010, this Court entered its Order on the motion to
consolidate, consolidating the two actions for purposes of discovery and motion practice where
the parties and the issues overlapped, but reserved ruling on whether the two cases should be
consolidated for trial.
On May 3, 2011, the Receiver attended a mediation with the Class Representatives in the
Class Action and the Citco Defendants. Due to these efforts, on or about July 22, 2011, the
Receiver and the Class Representatives reached a settlement with the Citco Entities in the
amount of $5 million. 6 On August 31, 2011, the Receiver filed a motion with this Court to
approve the settlement.
On October 13, 2011, this Court entered an order approving the
Receiver's agreement with the Citco Entities. 7 On October 18, 2011, the Court entered an Order
dismissing the Receiver Citco Action with prejudice. On February 2, 2012, the Receiver filed a
Motion for Order Authorizing Citco Distributions to Authorized Claimants (DE 800).
6
On
The Group investors had previously settled with the Citco Defendants in the Group Action.
7
The Court also has entered an Order Approving the Class Representatives settlement with the
Citco Entities.
12
February 28, 2012, this Court entered its Order Granting the Receiver's Motion for Order
Authorizing Citco Distributions (DE 804). The Receiver has made most of the distributions
from the Citco Class Settlement, and is working to locate those persons and entities who have
not yet cashed their distribution checks.
B.
PricewaterhouseCoopers- Case No. 04-23023-CIV-MARRA
On December 2, 2004, Offshore and Omnifund brought an action against
PricewaterhouseCoopers (Netherlands Antilles), PricewaterhouseCoopers International, Ltd.,
Andre Steffen, Gino Nivillac and Liliana Garcia (collectively, "PwC Defendants"), styled The
Receiver of Lancer Offshore, Inc. and Omnijimd, Ltd. v. PricewaterhouseCoopers (Netherlands
Antilles), PricewaterhouseCoopers International, Ltd., Andre Steffen, Gino Nivillac and Liliana
Garcia, Case No. 04-23023-CIV-MARRA ("PwC Receiver Action"). PwC was the auditor of
Offshore and Omnifund at all relevant times prior to the appointment of the Receiver. The
action alleged, among other things, that the PwC Defendants committed professional negligence
and gross negligence.
A class of investors in Offshore and Omnifund brought similar claims against the PwC
Defendants in the action styled Bruhl v. Price Waterhouse Coopers Int'l, et. al., Case No. 0323044-CIV-MARRA, pending in the District Court ("PwC Class Action").
In addition, a group of investors in Offshore and Omnifund brought similar claims
against the PwC Defendants in the action styled Pension Committee of the University of
Montreal Pension Plan, et al. v. Bane of America Securities, LLC, et al., Case No. 05-CV-
09016(SAS)(FM) ("PwC Group Action").
The parties in the various actions engaged in discovery and intense negotiations over a
period of several years. Eventually, the parties entered into a global settlement agreement which
provided that the PwC Defendants would pay $22.25 million to resolve all of the pending
13
actions, with the proceeds to be distributed to investors and creditors of Offshore and Omnifund
as more particularly described in the settlement agreement. The settlement agreement was
approved by the courts presiding over the actions, and the Receiver was tasked to serve as the
Settlement Fund administrator for the portion of the total settlement payment to be paid to the
Class.
On February 2, 2012, the Receiver filed a Motion for Order Authorizing PwC
Distributions to Authorized Claimants (DE 799). On February 28, 2012, this Court entered an
Order authorizing the Receiver to distribute the PwC settlement amounts to the Class. The
Receiver has made most of the distributions from the PwC Class Settlement, and is working to
locate those persons and entities who have not yet cashed their distribution checks.
C.
Insider Litigation- Case No. 05-60584-CIV-MARRA
On April 15, 2005, the Receiver filed a 49-page, eight-count complaint (the "Insider
Complaint") against Lauer and various other insiders, including Bruce Cowen ("Cowen"),
Garvey, Hauser, Barbarosh, James Kelly, James Raker ("Raker"), Heidi Carens ("Carens"), and
Judith Brisman ("Brisman''), among others, for breaches of their fiduciary duties to the Funds,
for aiding and abetting breaches of fiduciary duties, for negligence, and other tortious conduct.
The Receiver believes that he is entitled to damages against the insiders potentially in the full
amount of all allowed investor claims against the Funds.
Several defendants, including Lauer, Carens, Garvey, and Raker, moved to dismiss the
original Complaint. The motions to dismiss addressed various legal issues, including personal
jurisdiction, federal pleading requirements, and analysis of the ERISA statutes. The Receiver
analyzed the legal issues raised in the Defendants' motions to dismiss and conducted legal
research on the relevant issues, including federal pleading requirements, the ERISA statutes,
personal jurisdiction under the Florida long-arm statute and the federal receiver statutes. The
Receiver also considered additional federal and state causes of action to pursue against the
14
defendants. Although confident that he would defeat the motions to dismiss, the Receiver, on
May 19, 2006, filed an Amended Complaint.
Lauer, Carens and Garvey each filed a motion to dismiss the Amended Complaint on
various grounds, including jurisdiction, federal pleading requirements and analysis of the ERISA
Statutes. On September 26, 2007, the District Court entered orders denying these motions to
dismiss because they lacked merit.
In addition, John E. Schmidt, Executor for the Estate of James Kelly, and Shamrock
Partners, Ltd. filed a motion to dismiss the Amended Complaint for lack of personal jurisdiction
and failure to state a claim upon which relief can be granted. The District Court entered an 18
page order denying the motion on substantially all grounds.
The District Court, however,
granted the motion in part on the basis the Receiver did not allege that Kelly and Shamrock were
professionals, and therefore, did not. state a claim for professional malpractice. Based on the
court's ruling relating to the claim for professional malpractice, on April 16, 2008, the Receiver
filed a Second Amended Complaint against the defendants, which remains pending.
Thereafter, on April 6, 2009, Milton Barbarosh and Stenton Leigh Capital Corp. filed a
motion to dismiss the Second Amended Complaint on various grounds. The District Court
entered an order granting the motion to dismiss in part on the basis that the Receiver did not
allege that Milton Barbarosh and Stenton Leigh were professionals, and therefore, did not state a
claim for professional malpractice, but otherwise denied the motion.
In connection with the action against the insiders, the Receiver has explored settlement
opportunities with certain defendants. Thus far, the Receiver has reached a settlement with
Cowen and his wife, Kathryn Braithwaite ("Braithwaite"), which was approved by both the
Bankruptcy Court and the District Court. Cowen has made settlement payments to the Receiver
15
totaling $600,000.00. In his criminal proceeding, Cowen was ordered to pay restitution of
$2,833,888.62, with a credit for all settlement payments made to the Receiver. The United States
Department of Justice (the "DOJ") agreed that the Receiver would accept Cowen's restitution
payments for the ultimate benefit of the investors in the Funds. Based upon the DOJ' s restitution
agreement, all restitution payments made by Cowen will be maintained in a segregated account
for distribution to the investors based upon the claims process and distribution procedures
approved by the District Court. These segregated funds shall not be used to pay any professional
fees incurred in connection with the administration of the receivership estate. As of the date
hereof, the Receiver holds approximately $890,000 in the Cowen restitution account.
The
Receiver also has reached settlements with Milton Barbarosh and Stenton Leigh Capital Corp.,
John E. Schmidt, Executor of the Estate of James Kelly and Shamrock Partners Ltd., Eric
Hauser, Joseph Huard, George Levie, David Newman, Robert Maum and Heidi Carens. 8 As of
the Date of this Status Report, the only defendants remaining in the Insider Action are Lauer,
Garvey, and Carens.
On August 9, 2012, this Court entered its Order Granting as Follows Receiver's Motion
for Court to Lift Stay and Setting Trial Date and Related Deadlines, Referring Case to Mediation
& Referring Discovery Motions to United States Magistrate Judge (DE 623), wherein this Court
set various deadlines in the Insider Action as well as a Trial Date of May 6, 2013.
8
The Receiver is in the process of preparing the Motion to Approve Settlement Agreement with
respect to Heidi Carens.
16
To date, the Receiver has settled with 15 Insider defendants for total recoveries to the
estate of approximately $2,590,000.00. 9
D.
BVI Litigation
On or about July 10, 2009, the Receiver filed an action in the British Virgin Islands (the
"BVI") against a number of the foreign defendants (the "Foreign Defendants") that he sued in
the various U.S. fraudulent transfer actions (the "BVI Action"). The Receiver filed the BVI
Action because certain Foreign Defendants filed motions to dismiss before this Court on the
grounds that this Court did not have jurisdiction over them, while other Foreign Defendants had
not responded to the complaints.
This lack of response may be a result of the Foreign
Defendants' perception that this Court does not have jurisdiction over them.
Although the
Receiver believes that the Foreign Defendants are subject to the jurisdiction of this Court, the
Receiver filed the BVI Action in an attempt to forestall the jurisdictional arguments raised by the
Foreign Defendants, and to force the non-responsive Foreign Defendants to answer the claims.
The Receiver believed the Foreign Defendants would be hard pressed to contest the jurisdiction
of the BVI Court because, among other things, the subscription agreements contain certain
provisions by which investors consent to BVI jurisdiction and the Foreign Defendants had
interactions with the Receivership Entities and their agents through the BVI.
As of the date of this Status Report, the BVI Court has dismissed the BVI action with
regard to two of the BVI Defendants, Wise Global Fund, Ltd. and Swisstor & Co., and assessed
costs against the Receiver. The Receiver appealed the fmdings of the BVI Court, including the
dismissals of Wise Global Fund and Swisstor, submitted papers in support of same and made
9
Some Insider defendants that the Receiver has settled with were also defendants in the
fraudulent transfer litigation. For the purposes of this Status Report, these settlement numbers
were included in this Insider section and not in the Fraudulent Transfer section.
17
arguments before the BVI appeal Court. On or about March 12, 2012, the BVI Appeals Court
affirmed the ruling of the lower BVI Court. Due to the fmdings of the BVI Trial and BVI
Appeals Courts, the Receiver has dismissed the remaining defendants in the BVI.
E.
Fraudulent Transfer Actions - Receivership
The Receiver continues to prosecute 3 actions seeking recovery of fraudulent transfers
made by the Lancer Entities to approximately 12 remaining defendants (the "Fraudulent Transfer
Actions"). 10
As of the date of this Report, the Receiver believes he has achieved good service on all
remaining defendants. The Receiver has obtained numerous clerk's entries of defaults with
respect to many of the Defendants and also has filed a number of motions for final default
judgment with the Court.
To date, the Receiver has settled with 59 fraudulent transfer defendants for total
recoveries to the estate of approximately $6,422,629.00 and waiver or reduction of claims
against the estate of approximately $31,380,000.00.
v.
LITIGATION INVOLVING PARTNERS
A.
GGK and American Express -CASE NO.: 06-1478-BKC-JKO
On April 15, 2005, Partners filed an action against Goldstein Golub Kessler LLP
("GGK") and American Express Tax and Business Services ("Amex"), styled Lancer Partners,
L.P. v. GGK and Amex, Case No. 06-1478-BKC-JKO-A (the "Bankruptcy GGK Action"). The
action was originally filed in the District Court, which transferred it to the Bankruptcy Court in
10
The Receiver has negotiated settlements or is in settlement discussions with a number of the
remaining defendants.
18
May, 2006. GGK was Partners' auditor, and Amex was its tax preparer. The action alleged,
among other things, that GGK and Amex committed professional negligence and gross
negligence.
A class of investors in Partners brought similar claims against GGK and Amex in the
action styled Bruhl v. Price Waterhouse Coopers Int'l, et. al., Case No. 03-23044-CIV-MARRA,
pending in the District Court ("GGK Class Action").
The parties in both the Bankruptcy GGK Action and the GGK Class Action engaged in
discovery, exchanging various documents and discussing various timetables.
The parties
eventually participated in a mediation, which resulted in a settlement of both the Bankruptcy
GGKAction and the GGK Class Action in the total amount of$12,500,000. The necessary court
approvals of the settlement have been obtained, and GGK and Amex have paid the $12,500,000
due and owing under the settlement agreement. On September 30, 2009, the Receiver, as
settlement fund administrator, filed a motion with the District Court for an order authorizing
distributions to authorized claimants and the payment of certain administrative and related notice
expenses. On November 16, 2009, the Court entered an Order granting the Receiver's request
for authority to make distributions. As of the date of this Status Report, the Receiver has made
virtually all of the distributions required under the settlement agreement.
B.
Fraudulent Transfer Actions- Bankruotcy.
The Bankruptcy Court is currently presiding over two adversary proceedings to recover
pre-petition fraudulent transfers by Lancer Partners.
A number of motions for SUlllillary
judgment were filed by the parties in the two adversaries. The Court has entered orders on the
various motions, ruling as to a number of issues and setting some issues over for trial.
The Debtor has resolved 27 fraudulent transfer actions by agreement resulting in
approximately $4,937,000.00 in cash recoveries to the bankruptcy estate of Partners, plus
19
waivers of claims totaling approximately $6,677,000.00 for the estate.
VI.
CASH AND SECURITIES
A.
Cash
As of September 30, 2012, the Lancer Entities have collected a total of $141,881,098 11
consisting of: (i) initial cash deposits of$ 2,852,766; (ii) sales of securities of $80,631,105; (iii)
sales of other assets of $2,663,470; (iv) litigation and settlement recoveries of $14;944,383 (v)
GGK/Amex litigation and settlement recoveries of $12,500,000; (vi) PWC litigation and
settlement recoveries of $3,150,394; 12 (vii) Citco litigation and settlement recoveries of
$2,975,490 13 ; (viii) distributions received from the Lancer Partners Liquidating Trust by Lancer
Offshore of $10,893,584 (ix) distributions received from Lancer Offshore by the Lancer Partners
Liquidating Trust of$4,695,512 (x) short term and long term gains, interest and dividend income
of $6,364,873; and (xi) miscellaneous receipts of $209,521.
11
As discussed elsewhere herein, on December 29, 2008, the Bankruptcy Court entered an order
confirming the Joint Plan of Liquidation filed in Partners' bankruptcy case. The Joint Plan
provides for the transfer of the assets of Partners, LSPV, LLC and LMG II to Gerard McHale, as
the Liquidating Trustee of the Partners Liquidating Trust. The amounts set forth herein include
the sources and uses of cash as of September 30, 2012 for the Receivership Entities, and as of
June 30, 2010 for the Liquidating Trust, which is the last date through which the Receiver has
records for the Liquidating Trust. However, two transactions that related to the Lancer Partners
Liquidating Trust that occurred post June 30, 2010 have been included in this report: (1) a
distribution received from the Receivership Entities of $4,695,512 in February of 2011 and (2) a
distribution made by the Lancer Partners Liquidating Trust to the Receivership Entities on May
10, 2011 for $10,893,584. Also, this amount does not include the Contempt Funds or the
millennium Funds as defined below.
12
In addition to the $3,150,394 collected by the Receiver in connection with the PwC settlement,
counsel for the plaintiffs in the Group Action collected approximately $16.5 million for the
benefit of the plaintiff-investors in that action.
13
The terms of the settlement reached by the plaintiffs in the Group Action with the Citco
Entities is confidential by virtue of agreement between the Group and the Citco Entities.
20
·
As of September 30, 2012, the Lancer Entities have distributed a total of $114,502,811 14
consisting of: (i) expenses for publication of claims bar date $31, 736; (ii) professional fees and
costs in both the bankruptcy and receivership cases of $45,689,521; (iii) fees and costs of the
Examiner and her professionals 15 of $1,122,068; (iv) international service of process of
$163,725; (v) Connecticut state taxes of $2,321 and New York state taxes of $335; (vi) federal
taxes to the IRS for LMG, LMG II and Offshore of
$426,473;
(vii) expenses for the
preservation of assets of $61,660; (viii) auction expenses of $6,897; (ix) registered agent and
maintenance fees in the British Virgin Islands of $42,925; (x) United States Trustee fees of
$98,325 (xi) stock warrants exercised by the Receiver, pursuant to a Court order, of $525,000;
(xii) insurance premiums for the C-11 Mercedes of $4,620; (xiii) expense of securities filings of
$1,648; (xiv) licenses and fees of $960; (xv) interest expense of $1,064; (xvi) class counsel fee
relating to the GGK/Amex settlement payment of $3,188,192; administrative fees relating to the
Citco settlement payment of $44,807; and class counsel fees relating to the PWC settlement
payment of $819,654; (xvii) distributions of GGK settlement money to investors of $9,234,702;
(xviii) first interim distribution to creditors and investors of Offshore and Omnifund of
$30,895,919; (xix) second interim distribution to creditors and investors of Offshore and
Omnifund of $5,968,443; (xx) distributions of Citco settlement money to investors of
$2,747,353; (xxi) distributions ofPWC settlement money to investors of$2,184,104; (xxii) first
14
Seen. 11.
15
Before the SEC commenced the Receivership proceeding, the Examiner appointed in the
Partners bankruptcy case in Connecticut, and her professionals, were paid $300,439,76 pursuant
to orders entered by the United States Bankruptcy Court for the District of Connecticut, which at
the time was presiding over the Partners bankruptcy case.
21
interim distribution to Lancer Offshore by the Lancer Partners Liquidating Trust of$10,893,584
and (xxiii) miscellaneous expenses of$346,775.
As of September 30, 2012, the Lancer Entities held $26,518,625 in their accounts. 16
In addition to the money in the Funds' accounts, the Receiver is separately holding
$859,664.17 ($757,181.49 plus $102,482.68 of accrued interest) from the net proceeds of the
sale of the condominium apartment (160 West 66 Street, #56D, New York, NY) formerly owned
by TRSOR, Inc. and sold pursuant to this Court's December 2, 2003 Order Modifying the
Preliminary Injunction Order and the Omnibus Order dated April 2, 2004. The Receiver is also
holding $191,085.67 ($172,258.00 plus $22,773.19 of accrued interest less $3,945.52 of
withholding tax payments) in funds pursuant to Order Affirming in Part Magistrate Judge's
Report and Recommendation (the "Contempt Order") dated January 24, 2006. The Receiver is
also separately holding $175,402.06 ($164,251.00 plus $15,458.91 of accrued interest less
$4,307.85 of withholding tax payments) from the Millennium 3 Opportunity Fund distributions
pursuant to Court order.
16
Of this amount, approximately $8,139,008 is attributable to the Lancer Partners Liquidating
Trust (based on the balance of $14,337,080 as of June 30, 2010 and adjusted for the following
two transactions that the Receiver is aware of as they were consummated with the Receivership
Entities after June 30, 2010: (1) a distribution received by the Lancer Partners Liquidating Trust
from the Receivership Entities of $4,695,512 in February of2011 and (2) a distribution made by
the Lancer Partners Liquidating Trust to the Receivership Entities on May 10, 2011 for
$10,893,584); $17,029,950 to the Receivership Entities (excluding Partners LSPV and Lancer
Management II); $18,700 to the qualified settlement fund associated with the settlement of the
GGK/Amex litigation; $183,331 to the qualified settlement fund associated with the settlement
of Citco litigation; $1,001,000 to the account set up for Hauser's criminal restitution; and
$146,636 to the qualified settlement fund associated with the settlement of the PwC litigation;
see also n. 5. This amount does not include the TRSOR Funds, the Contempt Funds or the
Millennium Funds as defmed below.
22
VII.
CLAIMS
A.
Background
On January 8, 2004, the District Court entered the Case Management Order (the "CMO")
which, among other things, established a process for administering claims against the
Receivership Entities, including a bar date for filing claims. The CMO established April 1,
2004 (the "Receivership Bar Date") as the deadline for any party with a claim or demand against
any of the Receivership Entities to present a claim to the Receiver.
On December 22, 2005, the Receiver filed objections to claims as well as a Receivership
Claims Report and Request for Claims Hearing relating to those claims which the Receiver
believed should be disallowed, either in whole or in part, including claims against Partners.
Responses were filed by various parties that filed claims against Partners, LSPV, and LMG II.
On August 17, 2006, the District Court entered an Agreed Order on First Omnibus
Objections to Claims and Second Omnibus Objection to Claims Filed Against Lancer Partners,
L.P., LSPV, LLC and LMG II, LLC (the "Agreed Order"). The Agreed Order provides, in
pertinent part, that all investors with an allowed claim against Partners in the Bankruptcy Case,
regardless of whether such investor filed a claim in the Receivership Case, shall be deemed to
have an allowed claim against LSPV and LMG II in an amount equal to the investor's claim
allowed in the Bankruptcy Case against Partners arising out of the same investment in Partners.
Based on the review of the claims filed against the Receivership Entities by the Receiver
and his accountants, the Receiver's objections to claims, and the orders relating to objections to
23
claims, the Receiver estimates that the total outstanding claims against the Receivership Entities
is approximately $643,000,000. 17
R
Treatment of Intercompany Claims
The accountants' research evidenced potential disputes between the creditors of the
Receivership Entities and the creditors of Partners based on, among other things, the transfer of
securities between the Receivership Entities and Partners.
To resolve these disputes, the
Receivership Entities and Partners filed reciprocal motions for estimation and allowance of
claims filed by the Receivership Entities against Partners (the "Receivership Entities'
Bankruptcy Claims") and claims filed by Partners against the Receivership Entities (the
"Partners Receivership Claims") (together, the "Motions to Estimate"). Both the Bankruptcy
Court and the District Court approved the Motions to Estimate.
Based on the agreement set forth by the Motions to Estimate, the creditors of Partners and
the creditors of the Receivership Entities will share equally in the distribution of the assets of
both estates, excluding certain litigation recoveries, on a pro rata basis, based on each creditors'
allowed claims against the respective funds, and subject to an agreement between the redeeming
and non-redeeming creditors of Partners.
Regarding the excluded litigation recoveries, the
Receivership Entities Bankruptcy Claims will not share in the proceeds of Partners' litigation
claims against Partners' service providers, including GGK and Amex. Similarly, the Partners'
Receivership Claims will not share in the proceeds of the Receivership Entities' litigation claims
17
This amount does not include the Partners Receivership Claims, as described in more detail
herein.
24
against the Receivership Entities' service providers, and certain affiliated directors, including the
PwC Defendants and the Citco Defendants. 18
VIII.
ACCOUNTING MATTERS
A.
Forensic Investigation.
Since the last status report, the Receiver's accountants have continued to work in tandem
with the Receiver and his other professionals on forensic accounting projects for the
Receivership Entities and Partners.
Efforts have been focused on supporting the litigation
claims, investigation of specific transactiqns, and analysis and tracking of sales of securities and
other securities related activity. These efforts include assisting in the investigation of insiders
and search for assets; analysis of accounting records recovered from portfolio companies; tracing
of Lancer funds to portfolio company accounting records; and analysis of Lancer transactions
and preparation of schedules for use by counsel in litigation.
B.
Tax Returns.
At this time, all of the Lancer Entities are current in regard to their respective obligations
to file tax returns, or have filed for appropriate extensions. The Receiver's accountants and
counsel have both been communicating with the numerous federal, state and local taxing
authorities in an effort to avoid audits, and to abate late charges and penalties associated with the
returns.
18
Furthermore, the Partners' Receivership Claims will share in the proceeds of the action styled
Marty Steinberg, as court-appointed Receiver for Lancer Management Group, LLC, Lancer
Management Group II LLC, Lancer Offihore, Inc., Omnijimd, Ltd. LSPV, Inc., LSPV, LLC,
Alpha Omega Group, Inc. and G.H Associates LLC v. A Analyst Limited, et al., 04-60898CIV/MARRA, pending in the District Court, with respect to all defendants other than Citco
Global Custody (NA)NV and Citco Global Custody NV (Dublin).
25
IX.
INVESTOR COMMUNICATIONS
The Receiver regularly corresponds with individual investors primarily to respond to
inquires concerning the progress of the receivership and bankruptcy cases, the recovery of assets,
distributions, the status of litigation, discovery matters, tax issues, and general status reports.
X.
EXIT STRATEGY
As discussed above, the Receiver has sought and obtained authority from this Court to
make a first interim distribution of $32 million and a second interim distribution of $6 million of
estate assets to the investors and creditors of the Receivership Entities. As the Receiver collects
additional assets or otherwise concludes pending litigation, he intends to seek authority to make
further interim distributions, and ultimately, a fmal distribution.
In addition, in the bankruptcy case of Partners, the Bankruptcy Court on December 29,
2008, confmned the joint Plan filed by the Receiver, as responsible person for Partners, and the
creditors committees appointed in that case. Under the Plan, Gerard McHale was appointed as
the liquidating trustee responsible for fmalizing the liquidation and for the ultimate distribution
of most assets of Partners. The District Court also approved the transfer of assets from LMG II
and LSPV, LLC to Partners and the Liquidating Trustee for administration in accordance with
the Joint Plan since the claims of LMG II and LSPV, LLC were treated as claims against
Partners.
26
CONCLUSION
The Receiver shall continue to perform his responsibilities and duties consistent with the
Order Appointing Receiver, the Case Management Order, and all other directives of this Court.
RESPECTFULLY SUBMITTED this 31 '1 day of October, 2012.
64036.000002 EMF_us 42611464vl
27
LANCER RECEIVERSHIP
CASE NO. 03-80612MARRA/JOHNSON
MASTER SERVICE LIST
Christopher Martin
Senior Trial Counsel
U.S. Securities & Exchange Commission
801 Brickell Avenue~ Suite 1800
Miami, Fl33131
Michael Lauer
101 West End Ave., Apt. 8P
New York, New York 10023
[email protected]
[email protected]
Kenneth G. M. Mather, Esq.
Hinshaw & Culbertson
100 S. Ashley Drive, Suite 830
Tampa, Florida 33602~5348
James Sawka
Office of the Assistant United States Trustee
Gregoty L. McClelland
McClelland & Anderson LLP
1305 S. Washington Avenue, Suite 102
Lansing, 11148910
Paul Gentilozzi
Rocketsports, Inc.
3400 West Road
East Lansing, MI 48823
Trisha D. Sindler
51 SW 1st Avenue- Suite 1204
Miami, FL 33130
Jimmy Tsakni
Kjetil Myhrvold
TrygVesta Forsikring
Folke Bemadottesvei 50
P.O. Box 7070
NO- 5020 Bergen
Norway
Ms. Nina Fiskaaen
Controller, Nordea Liv Norge AS
Falke Bernadottes vei 38
5147 Fyllingsdalen
1201 Bergen-NORWAY
David Blaylock, Esq.
Glankler Brown, PLLC
6000 Poplar Avenue
Suite 400
Memphis, TN 38119
Mr. Morton Shennan
Miami, Fl33131
c/o Shari A. Brandt, Esq.
Richard Spears Kibbe & Orbe, LLP
One World Financial Center
New York, NY 10281
FrankP. Terzo
GmyRobinson, P.A.
1221 Brickell Avenue, Suite 1600
Miami, Florida33131
Sheldon Toll
Law Office of SHELDON S. TOLL PLLC
2000 Town Center, Suite 2100
Southfield, :MI 48075
Noah J. Schafler, Esq.·
The Law Offices ofDavid W. Rubin
600 Summer Street, Suite 201
Stamford, CT 06901
Kenneth B. Robinson, Esq.
Rice, Pugatcb, Robinson & Schiller, P.A.
101 NE Third Avenue, Suite 1800
Fort Lauderdale, FL 33301
Robert M. Dombroff, Esq.
Jonathan Alter, Esq.
Bingham McCutchen LLP
One State Street
Hartford, CT 06103
Barry E. Steiner
Ladenburg Thalman & Co.
4400 Biscayne Blvd., 14th Floor
Miami, FL 33137
[email protected]
'Reaa!Ei B. Ra i:l:eil; Bset.
T. Be .~Elsea, BstJ:
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Gae Setttfleast Third A ,eat-~e, 23th Fleer
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Jane Serene Raskin
Raskin & Raskin
866 S Dixie Hwy
Coral Gables, FL 33146
CounselforDeanM Willard
Jeshua W. Geh.ea
Gl:lmmiags & I:.eelb eed
1 •uatteea St., Suile Gel
}Teu IIaoBH, GT QGall
Jonathan M. Borg
Fiteny Hardin Kipp & Szuch LLP
7 Times Square
New York, NY 10036-7311
Thomas D. Goldberg
Day, Berry & Howard LLP
One Canterbury Green
Stamford, CT 06901
Barbara H.Katz
Law Office ofBarbara H. Katz
57 Truffibull Street ·
New Haven, CT 06510
Miehael R.1 iagasiH
I:. a Gffiees efl liehael R. P{~ia
3113seutkSef!ul eEiaBeule ani
Peatkeuse Suite 1299
I:.es Aageles, G • 9QQ31 GQ?:J
Return Mail
JosephP. Moodhe
Debevoise and Plimpton
919 Third Avenue
New York, NY 10022
Harold E. Schimkat
US Attorneys Office
99 North East 4th Street, 4th Floor
Miami, Fl33132
Special Counsel
U.S. Securities & Exchange Commission
801 Brickell Avenue- Suite 1800
} iatthe
560 Landsdowne Avenue
Westmount (Quebec)
H3Y2V6
GRminal Hi ooisien
119lHTe vefk 8Bii8Um
mashingten, RG. 29339
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Return Mail
Timothy W. Walsh
Piper Rudnick LLP
1251 Avenue of the Americas
New York, NY 10020-1104
+ha88eas B. Helea:is, GPA
816 "'iB95flll
Reehesterllls,l'H 18397 6899
Returned Mail
Cflfl:f } 1. CFalm±l'Hetsehee/e Jesef)k Ca:ltia, Esfl.
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Leonard H. Hecht
1270 Avenue of the Americas, Suite 214
New York, NY 10020
W. Todd Boyd, Esq.
Boyd Mustelier Smith & Parker, P.L.
100 S.E. Second Street. 36th Floor
Miami, Florida 33131
Laura E. Ward
DLA Piper LLP (US)
100 N. Tampa Street, Suite 2200
Tampa, FL 33602
Counsel for Stamford Resources (US) Ltd.
Leslie Cloyd
Berger Singennan, et al.
350 E. Las Olas Boulevard, Suite 1000
Fort Lauderdale, FL 33301-4215
Gerald McHale, Jr.
1601 Jackson Street, Suite 200
Fort Myers, FL 33901
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1399 HaflEet street
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KFP Investors Partnership
C/o James M. Nugent, Esq.
Harlow, Adams & Friedman, P.C.
One New Haven Avenue
Millford, CT 06460
Glayies G~~:~J:H:isgham
P.G. Ben 1796
El SegHnele, GA 99243
Returned mail
baaef, pre se
191 West End 1 e., 'f!t. 8P
1'1e • Ya~·. }le · ue~· 1QQ23
Scott M. Bennan, Esq.
Anne E. Beaumont, Esq.
Friedman, Kaplan,Siiler & Adelman LLP
1633 Broadway, 46th Floor
New York, NY 10019-6708
[email protected]/[email protected]
Paul Wallace
9701 S. Bexley Drive
Littleton, CO 80126
[email protected]
Gltristef!her 1' fartia
Senisf Tfial Ga11:11sel
Y.S. 8eeHFities &EmlflBHge GaHt:JBissies
891 Briekell • eaHe Suite 1899
1' 'liBRii, Fl 33131
David Cimo Esq.
Genovese Joblove & Battista, P.A.·
Bank ofTower, 36th Floor
100 S.E. 2nd Street
Miami, FL 33131
[email protected]
Bil!P1eGe •• en
} felaHtat=a ~ i\ilti} fanageFS !:.b.G.
meee efl13i11@ ·a ·ager.Het
1' 1F. Helga £)'P.itael
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Bra • 'B R:Helniek BerlaelE Ismels
Oae FinB:Heial Geater
Bestea,tY Q2lll
leerSer@EFBila .eem
Adam Moscowitz
David P. Milian, Esq.
Harley S. Tropin, Esq.
Kozyak Tropin & Throckmorton, P.A.
2525 Ponce de Leon Blvd., FL 9
Coral Gables 33134
[email protected]
Eric A. Henzy, Esq.
Reid and Riege, P.C.
One Financial Plaza
Hartford, CT 06103
[email protected]
Aaron Podhurst, Esq.
Podhurst, Orseck, Josefsburg,
Eaton, Meadow, Olin & Perwin, P.A.
25 West Flagler Street- Suite 800
[email protected]
Joel H. Bernstein, Esq.
Labaton Sucharow & RudoffLLP
140 Broadway 23rd Floor
New York NY 10005-1108
[email protected]
&eBeFle } fartinel!!, Est}.
GeiseR Iliehs Bieisea P. •
2§'§' \rageHAoeft\le, SaitePII
Gem!Cal:lles,H:. 33!317111
[email protected]
Returned Mail
Joseph Matthews, Esq.
Colson Hicks Eidson P.A.
255 Alahambra Circle, Suite PH
Coral Gables, FL 33134-7414
[email protected]
Carol Felicetta
Reid and Riege, P.C.
One Financial Plaza, 21'1 Floor
Hartford, CT 06103
Counsel for Equity Committee
[email protected]
David L. Snyder, Esq.
Neuberger, Quinn, Gielen, Rubin & Gibber
One South Street, 27th Floor
Baltimore, MA 21202-3282
dls®nqgrg.com/[email protected]
Rudolph F. Aragon, Esq.
White&Case
Wachovia Financial Center, Suite 4900
200 South Biscayne Boulevard
Miami, Florida 33131-2352
[email protected]
Sal at:ere •. Bat'BataBe, ESE!·
Fele} & 'bat'liBer
Gae 9e~ei~ beater
}§'() 117 • JeffeFSeH, Suite lQQQ
9etreit; HI 4822G :<!GIG
sBaFBataRe@fele Ia eem
Lewis N. Brown
Dyanne E. Feinberg,.Esq.
Gilbride, Heller & Brown, PA.
One Biscayne Tower, Suite 1570
Two South Biscayne Blvd.
[email protected]
afire I:.. JiftlflelE
r 1eKeHBSR Skeltea & HeHH 'b'bP
1Ql East Pfatt St., Suite 231§'
BrtltiHtere, Hd. 2ldQ2
anflre jifHBel:@Htsftllp.eem
Rielutfli B. JehBstea
Fasl:ea} fartffieau 9tt} 1euliH 'b'bP
Patent & 'Ffalle} 1arlt • geats
P.G. Be1< 29, +ereate 9emiaiea Gelltre
GG nrelliBgten St. W, 37th Fleer
+ereate, Galafie } f§'K IN!i Ganalla
[email protected] em
Mr. Dylan Wolff
Managing Director Norges Investor Value
P.O. Box 1863 Vika
OI240slo-NORWAY
[email protected]
Seth M. Schwartz, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
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John Hochman, Esq.
Schindler Cohen & Hochman LLP
100 Wall Street, 151hFloor
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Robert Pershes, Esq.
Buckingham, Doolittle & Bouroughs, LLP
5355 Town Center Road, Suite 90Q
Boca Raton, FL 33486
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Paul Steven Singerman
Berger Singennan
200 S. Biscayne Blvd., Suite 1000
[email protected]
ReB eft+. W.fight; Est}.
Gaffe~ & "'TigM, I:.bP
GFHBel Btij PIHi$, Pentkett!ie 2B
2!i!i5 S. Btijshere 9rioe
HiBHli, H:. 33133
F\ TigM@eeffe) • Tight.eem
William R. Maguire, Esq.
Jeffrey Greilsheimer, Esq.
Hughes Hubbard & Reed, LLP
One Battery Park Plaza
New York, NY 10004
[email protected]
[email protected]
Jacqueline Wilson
British Virgin Islands Financial Services Commission
Pasea Estate, Road Town
Tortola. British Virgin Islands
[email protected]
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William S. Fish, Esq.
William H. Champlin, Esq.
Hinckley, Allen & Snyder LLP
20 Church Street
Hartford, CT 06103
[email protected]/[email protected]
Robert E. Grossman/Scott S. Balber
Chadbourne & Parke LLP
30 Rockefeller Plaza
New York, NY 10112
[email protected]/
[email protected]
Counsel for Amatra and Ajial
Kristina M. Bakardjiev, Esquire
Goldstein, Tanen & Trench, P.A.
One Biscayne Tower, Suite 3700
2 South Biscayne Boulevard
Miami,FL3313l
kbakardj [email protected]
Drew M. Dillworth, Esq.
Steams Weaver Miller Weissler Albadeff Sitterson
150 West Flagler Street, Ste 2200
Miami, FL 33130
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Peter Vigeland
WilmerHale
399 Park Avenue
New York, NY 10022
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}1arie P. Sali4:!erg
Fele} & bat'Wter
w:ashiagtea IIarBel:IF, Ssite §'QQ
3QQQ K Street N.W.
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27 Reid Street, I"'-Aoor
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llamilten IR 11'9{
lEe [email protected]
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Hal M. Hirsch, Esq.
Greenberg Traurig, LLP
Met Life Building
200 Park Avenue
New York, NY 10166
Willi81B J. BMFett
Bareel: Fefi'8i!:i'!8ft8 KirseiHlalim PeFIHtan & l'HtgeJ.Berg bbP
333 W. Wael:er 9ri e, Suite 27QQ
GlMeage, H:. !iQ!iQG
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Barristers, Solicitors & Notaries Public
Tropic Isle Building, BVI
P.O. Box 3331
Road Town, Tortola
British Virgin Islands VG 1110
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P4iefltlel • . llattsiiBH, Es!:J:.
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230 Pafi: eeae
New York, NY 10169
} 1flreeEies G. llale
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RebeR 111Q!I'flB Peafee, P.A
1199 W. Palmette ParlE ReaEI, #3QO
BeeaRetee, Fb 3318§
171212 CANADA INC.
PHILIPPE GIRARD, PRESIDENT
333, SHERBROOKE EAST #808
MONTREAL H2X 4E3
QUEBEC, CANADA
ABERDEEN INVESTMENTS LTD.
C/0 JOHN GENNARO
305 COUNTRY CLUB LANE
SCOTCH PLAJNS, NJ 07076
c IQ cor R IEitZBtdlK
TWO WORd:J;) +R "rblB C:BN=FER, 31£1' Fb90R
}jBlH VQRK, NY 10281
\TnT: CHR-ISTIAN BERGERGN
ANDRE CHAGNON
C/0 NORMAND GREGOIRE
2001, MCGILL COLLEGE AVE., SUITE 1000
MONTREAL, QUEBEC IDA 1Gl
A..BU B a.l'HC bR HTEI=.> AS TRYSTBE ON BEHA±.F
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BANCO NOMINEES (!OM) LTD.
P.O.BOX34
12/13 HILL STREET
DOUGLAS IM99 lBW
ISLE OF MAN
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Pie~ er, SHe!S!i, Eeglislt & Klein, P.C.
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Selteef!f!l & Blifl:e, P. A.
1931 NeFtk FeBeral Higb:o.~
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ANNE CHANTAL PIGELET
344 RUE CHENAL
74700 SALLANCHES
FRANCE
ALTAR FUND, LTD. C/0 CBH (Bahamas) LTD.
ATTN: MS. URSULA ROLLE
ALLIANCE HOUSE, EAST BAY STREET
POBOXN-1724
NASSAUN.P.
BAHAMAS
I}};;U'HlGIJ:e B \NK OJS"FODY J?f.V.
IlERHIGB \-GIH 1§"9 1§"1
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,••qggJ?l.GGJ?iP!.JW SA
BI!PJ>J:.A"Rf> DOBS ~
11 R!JED.UGB!BB •.±. DlJFOUR
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BANQUE PRIVEE EDMOND DE ROTHSCHILD
EUROPE
20BOULEVARDEMMANUELSERVAIS
L-2535 LUXEMBOURG
CEDAR FUND
C/0 COMMERZBANK CAPITAL MARKETS
2 WORLD FINANCIAL CENTER, 31sT FLOOR
NEW YORK, NY 10281
ATTN: CHRISTIAN BERGERON
COMMERZBANKALTERNATIVE STRATEGIES
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ATTN: CHRISTIAN BERGERON
BOMBARDIER 1RUST (CANADA)
C/0 PATRICIA ROMANOVICI
BOMBARDIER INC.
800 RENE-LEVESQUE WEST
MONTREALQCH3B 1Y8
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BOMBARDIER INC.
MONTREAL QC H3B 1Y8
BOMBARDIER TRUST (U.K.)
BOMBARDIER INC.
MONTREAL QC H3B 1Y8
CLAUDE DEMOLE
PICTET & CIE BANQUIERS
ATTN: JURG EGLI
BD GEORGES FAVON 29
l204GENEVA
CACEIS BANK LUXEMBOURG
F/KJACAISB
ON BEHALF OF ISOFIN SICA V
5 ALLEE SCHEFFER
L-2520 LUXEMBOURG
CLEARWATER COMMERCIAL ENTERPRISES, INC.
COMPASS POINT
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HAMILTON HM 11
BERMUDA
CO:MM:ONFUND GLOBAL HEDGED PARTNERS
C/0 C011MONFUND ASSET MANAGEMENT
COMPANY, INC.
ATTN: JOHN W. AUCHINCLOSS,
GENERAL COUNSEL
15 OLD DANBURY ROAD
WILTON, CT 06896
CONDOR ALTERNATIVE FUND
C/0 JEAN FRANCOIS SCHlviiiT
GTFINANCE
30, PLACE De La MADELErnE
75008 PARIS, FRANCE'
Grn f:BB SI!GT:JRHCIES
C'{;JJ:.GT "~
bGT BAilK RT biBGIFfENSTI!H'f AC
POSTFACII
H. 919Q "6..£IJ,2;
FIRST 1RUST CORPORATION TTEE FBO JOSEPH
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DELPHI GLOBAL LTD.
OCTOGONE GESTION SA
26 RUE DE CANDOLLE
1205 GENEVA, SWITZERLAND
FONDATION J. ARMAND BOMBARDIER
C/0 LYNN LAVIOE
SUN LIFE BUILDING
1155 METCALFE- SUITE 2100
MONTREAL QC, H3B 2V6
CAHADA
DPt.ERSHi'IED C '\PITA±. J?iAJ?l• G94HIT T:.TD.
HIGtl!S II.n••qg
Cle J? iER:IDI:t'4l CROUP
73 FRGJ?IT STRBI!T
IW flb"FON 1R f 12, Bl!ffi 1Uf).A
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JP MORGAN HFS CUSTODY
CORONATION FUND MANAGERS
1 GEORGES DOCK
JP MORGAN HOUSE,
IFSC, DUBLIN 1,
IRELAND
FIRST TRUST CORPORATION TTEE FBO/PAUL
SIMON, ACCT # 031-038-12-834
POBOX 173301
DENVER CO 80217-3301
DBCTGN bH HIED
ClObCT,uwrz
bCT B <IJ'IK RT T:.IBCIITB"TSTBRT AG
POSTP .. CII
HALlliVEST SARL
C/0 D. HALARD
29 RUE BONAPARTE
75006 PARIS, FRANCE
FONDATION LUCIE & ANlJRE
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FUND NO:MINEES LTD.
C/O PAUL LEPAGE
P.O.BOX45
HIRZEL HOUSE
ST. PETER PORT, GUERNSEY
GREAT BRITAIN GYI 4AX
GT OPPORTUNITIES
30 PLACE DE LA MADELEINE
75008PARIS
France
HSBC PRIVATE BANK (SUISSE) SA
QUAI GENERAL GUISAN
P.O. BOX 3580
1211 GENEVA3
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CGUI:. Y f IN¥E£"R'IBT+£
C'D JP CQJJR±>F: . . U, PRESIDHT+
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JOANNE ST-GERMAIN
259 COROT STREET
NUN'S ISLAND, QUEBEC
CANADA IDE IK8
HUNNICUT & CO. DB PLAN
110 EAST 59TH STREET, 32ND FLOOR
NEW YORK, NY 10022
JOHN G BARRIE JR IRA
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JACQUELINE GREVY
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ATTN: MOHAMED A. ALMARZOOK
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P.O. BOX819
SAFAT 13009 KUWAIT
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NC SPECIAL OPPORTUNITIES FUND
ATIN: B 0 BOURSE
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LUXEMBOURG
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:MR. EMIL FRICK SCHAAN
C/OLGT, VADUZ
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FL-9490 VADUZ
LIECHTENSTEIN
HRS. GECibE bESCGAT
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JOAKIM LEHMKUHL
OCTOGONE GESTION SA
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MAESTRO TRADING, INC.
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13-15 DIMITROS ST.
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BNYMELLON
ATIN: DAVID JESKY
ONE MELLON CENTER, 1335
PITTSBURGH, PA 15258
MULTIVALOR INVEST INC.
ATTN: EMMANUEL VERNET
P.O. BOX 5310
CH 121
GENEVA 11, SWITZERLAND
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NOBILIS
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OKABENA MARKETABLE ALTERNATIVES FUND,
LLC
ATTN: CHRISTINEK.GALLOWAY
80 SOUTH EIGHTH STREET
MINNEAPOLIS, :MN 55402-4522
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1211 GENEVA 73
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RCA INTRUST
CLAUDIA REINHOLD
1604 ST. REGIS BLVD.
DORVAL, QUEBEC CANADAH9P 1H6
BQ'HISGIH'bB & CIE B Y'JQUH
29, N'ENUE BE HE82I¥1E
73"QQ8PW8
I'AANGll
Retum J iail 9 q I II2
REGIME DE RENTES DU MOUVEMENT
DESJARDINS
JEAN-FRANCOIS DELISLE
100, AVENUE DES CO:MMANDEURS
LEVIS (QUEBEC) CANADA G6V 7N5
SEVEN SEAS PORTFOLIO A LTD.
ADRIANA COLINA-MENGELLE
C/OMIFSA
86 RUE DE RHONE
P.O. BOX 3436
CH 1211 GENEVA3
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SIMISA INTERNATIONAL/ISCANDAR INC.
OCTOGONE GESTION SA
26 RUE DE CANDOLLE
SPGP
142, BOULEVARD HAUSSMAN
75008 PARIS
FRANCE
STARVEST FUNDS, LTD.
C/0 VINCENT CAMPAGNA
WAFRA INVESTJ\.1ENT ADVISORY GROUP, INC.
345 PARKAVE.,41STFLOOR
NEW YORK, NY 10154-0101
SUZANNE FONTAN
C/0 D. HALARD
29 RUE BONAPARTE
75006 PARIS, FRANCE
THE MORTON MEYERSON FM.111Y FOUNDATION
3401 ARMSTRONG AVE.
DALLAS, TEXAS 75205
TEAM HAAS USA, LTD. FACT INC,
1035 ANTIQUE LN
NORTHBROOK, IL 60062
sA "HT ~ f HP (_6£TJ i'E:N1·a RTG.
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SOJECCIII LTEE (1) FORMERLY KNOWN AS 90912601 QUEBEC INC., AN ASSIGNEE OF SOJECCI LTEE
MONTREAL, QUEBEC H3A lGI
CANADA
STATE STREET TRUSTEES (GUERNSEY) LIMITED-AS
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LIMITED
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CHANNEL ISLANDS
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C/ODIONBETHELUDEBORAHC. WATSON
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WESTBAY ST.
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NASSAU, BAHAMAS
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CIQ QBN?H£ NERI. Y'lbl
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THE ISRAEL HENRYBEREN CHARITABLE TRUST
2020 NORTII BRM.1BLEWOOD STREET
WICHITA, KS 67206
THE STAFFORD FUND, LTD., SUCCESSOR TO THE
STAFFORD OPPORTUNITY FUND, LTD.
CHARLES E. ABRECHf
FAIRWAY INVESTMENT PARTNERS, lliC.
622 GREENWICH STREET, SUITE 2-B
NEW YORK, NY 10014
THE MEYERSON 1999 CHARITABLE REMAINDER
TRUST
3401 ARMS1RONG AVE.
DALLAS, TEXAS 75205
TilE PENSION COMMITTEE OF THE REGIME DE
RERAITE DE LA CORPORATION DE ECOLE
POL ¥TECHNIQUE
C/0 BERNARD SANSCHAGRrn
ECOLEPOLYTEC~QUE
C.P. 6079, SUCCE. CENTER VILLA
MONTREALQC
CANADA, H3C 3A7
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WESTWIND FOUNDATION HOLDING, LTD.
SANDRA DAILEY
P.O. BOX 26 GT
GRAND CAYMAN, CAYMAN ISLANDS
WYATT INCORPORATED EMPLOYEES PROFIT
SHARING PLAN
RICHARD B. WYATT, TRUSTEE
4545 CAMPBELLS RUN ROAD
PITTSBURGH, PA 15205
VITTORIO MOSCA
C/0 FEDERICO MOSCA
57 EAST 75rn STREET, APT. 4
NEW YORK, NY 10021
L.H. LOGARITHM HOLDINGS SA
C/0 JACQUES :MERKT
15, RUE GENERAL-DUFOUR
CASE POSTALE 5556
1211 GENEVA 11
SWITZERLAND
LABISCOUTI TRUST
OCTOGONE GESTION
SA26 RUE DE CANDOLLE
DEUTSCHE BANK NOMINEES (JERSEY) LIMITED
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P.O.BOX819
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FIRST TRUST CORPORATION TTEE FBO/SHIRLEY
A SIMON
ACCT #031-038-12-835
P.O. BOX 173301
DENVER, CO 80217-3301
DAVID NATHAN :MEYERSON
PRIVATE FOUNDATION
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DALLAS, TX 75219
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165 CROSS AVENUE, SUITE 302
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ATTN: Mr. Simon Hiemstra!Mrs. Eva Slovenciakova
P.O. BOX 2052
3800 CB AMERSFOORT
THE NETIIERLANDS
Mr Kjetil Myhrvold
Vesta Eiendom AS
c/o Tryg Forsikring NUF
PO Box 7070
N-5020 Bergen NORWAY
[email protected]
ROBERT REYNOLDS
SLATKIN & REYNOLDS P.A.
ONE EAST BROWARD BLVD., SUITE 609
Fr. LAUDERDALE, FL 33301
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MARKS. GOLDMAN
CAROL VILLEGAS
LABATON SUCHAROW LLP
140 BROADWAY, 34TH FLOOR
NEW YORK, NY 10005
ANDREW L. JIRANEK, ESQ.
16 WILLOW AVENUE
BALTIMORE, MARYLAND 21286
BILL CHAMPLIN
TYLER COOPER & ALCORN, LLP
185 ASYLUM STREET
CITY PLACE, 35m FLOOR
HARTFORD, CT 06103
TilE CORBETT FAMILY CHARITABLE
FOUNDATION, INC.
RICHARD A CORBE'IT
509 GUSIANDO DE AVILA-SUITE 201
TAMPA, FL 33613
Citco Bank Nederland N.Y. Dublin Branch
Branch Officer
Custom House Plaza Block 3
Int'l Financial Services Center
P.O. Box 6639
Dublin , Ireland
GOULAM INVESTMENTS
C/0 JP GOURDEAU, PRESIDENT
6100DEACOM
APT. 8c
MONTREAL, CANADA H3S 2V6
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EMF 36145264 v2
Case 9:03-cv-80612-KAM Document 2655-1 Entered on FLSD Docket 10/31/2012 Page 1 of 2
EXHIBIT A
EXHIBIT "A" TO NINETEENTH STATUS REPORT
Ancilliary Actions and Adversary Proceedings
Ancilliary Actions brought by Receiver
Defendants' Name
I.
A.
B.
I
2
3
II.
A.
I
2
MICHAEL LAUER, et. al. (Insider Action:
Case No.
05·60584-CIV-MARRA
Fraudulent Transfer Actions
A ANALYST LIMITED. et. al.
ALPHA FIFTH GROUP. et al.
CABLE ROAD INVESTMENTS. LTD.• et. al.
04-60898-CIV·MARRA
04-60899-CIV-MARRA
05-60145-CIV-MARRA
Adversary Proceedings brought by Partners
Fraudulent Transfer Actions
MARTIN GARVEY
MICHAEL LAUER
07-01187-BKC-JKO (ap)
06-01469-BKC-JKO (ap)
Document No. 42624653vl
Page 1 of 1
EXHIBITB
EXHIDIT "B" TO NINETEENTH STATUS REPORT
Pending Motions
The following requests for relief are currently pending in the respective actions
delineated below. Those designated by an asterisk (*) are ripe for adjudication.
A.
THE ENFORCEMENT ACTION -SEC v. Michael Lauer, et at.
Case No. 03-80612-CIV-MARRA
I.
Soneet R. Kapila's 13th Interim Application for Allowance and Payment of
Compensation and Reimbursement of Expenses Incurred to Testifying Expert for
Receiver for the Period September I, 2011 throught April 30, 2012, filed August
10, 2012 (DE 2633).
2.
Receiver's Thirty-Sixth Interim Application for Authorization to Pay Receiver's
Attorneys' Fees and Costs from Receivership Funds, filed August 31, 2012 (DE
2644).
a.
B.
Receiver's Notice of Filing Corrected Page 8 to the Receiver's ThirtySixth Interim Application for Authorization to Pay Receiver's Attorneys'
Fees and Costs from Receivership Funds, filed September 4, 2012 (DE
2645).
3.
Receiver's Thirty-Sixth Interim Application for Authorization to Pay Receiver's
Fees and Costs from Receivership Funds, filed September 6, 2012 (DE 2646).
4.
*Receiver's Notice of Intention to Retain Craig V. Rasile, Esq. and DLA Piper
LLC (US) as Special Counsel for a Limited Purpose for the Receiver Effective
Nunc Pro Tunc to April 1, 2011, filed September 14,2012 (DE 2648).
THE BANKRUPTCY CASE -In re: Lancer Partners, L.P.
Case No. 06-11721-CIV-JK.O
This case was transferred to the United States Bankruptcy Court for the Southern
District of Florida pursuant to Order entered May 2, 2006 (DE 1428). The
District Court case number was 04-80211-CIV -MARRA.
C.
THE GROUP ACTION- Montreal Pension Plan v. Bane ofAmerica, et at.
This case has been transferred to the United States District Court, Southern District
of New York pursuant to Order entered October 12,2005 (DE 208).
D.
THE INSIDER ACTION- Receiver v. Michael Lauer, Martin Garvey, et al.
I.
*Martin Garvey's Motion for Court-Appointed Lancer Receiver's Settlement
Agreement with Defendant David Newman, filed March 2, 2012 (DE 610).
2.
3.
4.
a.
Receiver's Response to Martin Garvey's Motion for Court-Appointed
Lancer Receiver's Settlement Agreement with Defendant David Newman,
filed March 8, 2012 (DE 611).
b.
Martin Garvey's Reply in Support of Motion for Court-Appointed Lancer
Receiver's Settlement Agreement with Defendant David Newman, filed
March 19, 2012 (DE 613).
*Martin Garvey's Motion to Compel Lancer Receiver to Advance Litigation Fees
and Expenses Pursuant to Express Indemnification Bylaws of Lancer
Management Group LLC Which Require Fee Advancement "Prior to Final
Disposition of Action Suit or Proceeding", filed August 9, 2012 (DE 624).
a.
Receiver's Response to Martin Garvey's Motion to Compel Lancer
Receiver to Advance Litigation Fees and Expenses Pursuant to Express
Indemnification Bylaws of Lancer Management Group LLC Which
Require Fee Advancement "Prior to Final Disposition of Action Suit or
Proceeding", filed August 23, 2012 (DE 631).
b.
Martin Garvey's Reply in Support of His Motion to Compel Lancer
Receiver to Advance Litigation Fees and Expenses Pursuant to Express
Indemnification Bylaws of Lancer Management Group LLC Which
Require Fee Advancement "Prior to Final Disposition of Action Suit or
Proceeding", filed August 30, 2012 (DE 640).
c.
Receiver's Sur-Reply to Martin Garvey's Reply in Support of His Motion
to Compel Lancer Receiver to Advance Litigation Fees and Expenses
Pursuant to Express Indemnification Bylaws of Lancer Management
Group LLC Which Require Fee Advancement "Prior to Final Disposition
of Action Suit or Proceeding", filed September 11, 2012 (DE 650).
*Martin Garvey's Judicial Notice, filed August 29, 2012 (DE 638).
a.
Receiver's Memorandum of Law in Opposition to Defendant Martin
Garvey's Requests for Court to Take Judicial Notice, filed September 12,
2012 (DE 652).
b.
Martin Garvey's Reply to Receiver's Memorandum of Law in Opposition
to Defendant Martin Garvey's Requests for Court to Take Judicial Notice,
filed September 27, 2012 (DE 654).
a.
2012 (DE 652).
2
b.
5.
6.
7.
8.
9.
a.
2012 (DE 652).
b.
a.
2012 (DE 652).
b.
to Defendant Martin Garvey's Requests for Comito Take Judicial Notice,
*Martin Garvey's Judicial Notice, filed September 6, 2012 (DE 645).
a.
2012 (DE 652).
b.
a.
2012 (DE 652).
b.
3
E.
a.
2012 (DE 652).
b.
FRAUDULENT TRANSFER ACTIONS -BANKRUPTCY
These cases were transferred to the United States Bankruptcy Court for the Southern
District of Florida pursuant to Order entered May 2, 2006 (DE 1428).
F.
FRAUDULENT TRANSFER ACTIONS - RECEIVERSHIP
1.
2.
Receiver v. A Analyst Limited, et at. - Case No. 04-60898-CIV-MARRA
a.
Order Granting as Follows Receiver's Motion for Court to Lift Stay With
Regard to Certain Foreign Defendants and Setting Trial Date and Related
Deadlines, Referring Case to Mediation & Referring Discovery Motions to
United States Magistrate Judge, entered August 9, 2012 (DE 588).
b.
Motion to Withdraw and Enter Appearance of Counsel for Defendants,
filed October 26, 2012 (DE 603).
c.
Defendants' Motion for Protective Order and Incorporated Memorandum
of Law, filed October 26, 2012 (DE 604).
Receiver v. Alpha Fifth Group, et at. - Case No. 04-60899-CIV-MARRA
a.
Order Granting as Follows Receiver's Motion for Court to Lift Stay and
Setting Trial Date and Related Deadlines, Referring Case to Mediation &
Referring Discovery Motions to United States Magistrate Judge, entered
February 8, 2011 (DE 780).
b.
*Martin Garvey's Motion for Court-Appointed Lancer Receiver's
Settlement Agreement with Defendant David Newman, filed March 6,
2012 (DE 835).
(i)
Response to Martin Garvey's Motion for Court-Appointed Lancer
Receiver's Settlement Agreement with Defendant David Newman,
filed March 9, 2012 (DE 840).
(ii)
Reply in Support of Martin Garvey's Motion for Court-Appointed
Lancer Receiver's Settlement Agreement with Defendant David
Newman, filed March 19, 2012 (DE 846).
4
c.
d.
e.
*Martin Garvey's Motion for Court-Appointed Lancer Receiver to Outline
Dismissals and Settlements in this Proceeding, filed March 6, 2012 (DE
836).
(i)
Response to Martin Garvey's Motion for Court-Appointed Lancer
Receiver to Outline Dismissals and Settlements in this Proceeding,
filed March 21,2012 (DE 848).
(ii)
Reply in Support of Martin Garvey's Motion for Court-Appointed
Lancer Receiver to Outline Dismissals and Settlements in this
Proceeding, filed March 29, 2012 (DE 853).
*Martin Garvey's Motion to Compel Lancer Receiver to Advance
Litigation Fees and Expenses Pursuant to Express Indemnification Bylaws
of Lancer Management Group LLC Which Require Fee Advancement
"Prior to Final Disposition of Action Suit or Proceeding", filed August 9,
2012 (DE 895).
(i)
Receiver's Response to Martin Garvey's Motion to Compel Lancer
Receiver to Advance Litigation Fees and Expenses Pursuant to
Express Indemnification Bylaws of Lancer Management Group
LLC Which Require Fee Advancement "Prior to Final Disposition
of Action Suit or Proceeding", filed August 23, 2012 (DE 898).
(ii)
Martin Garvey's Reply in Support of His Motion to Compel
Lancer Receiver to Advance Litigation Fees and Expenses
Pursuant to Express Indemnification Bylaws of Lancer
Management Group LLC Which Require Fee Advancement "Prior
to Final Disposition of Action Suit or Proceeding, filed August 30,
2012 (DE 901).
(iii)
Receiver's Sur-Reply to Martin Garvey's Reply in Support of His
Motion to Compel Lancer Receiver to Advance Litigation Fees
and Expenses Pursuant to Express Indemnification Bylaws of
Lancer Management Group LLC Which Require Fee
Advancement "Prior to Final Disposition of Action Suit or
Proceeding, filed September 11, 2012 (DE 909).
(i)
Receiver's Memorandum of Law in Opposition to Defendant
Martin Garvey's Requests for Court to Take Judicial Notice, filed
September 12, 2012 (DE 911).
(ii)
Martin Garvey's Reply to Receiver's Memorandum of Law in
Opposition to Defendant Martin Garvey's Requests for Court to
Take Judicial Notice, filed September 27, 2012 (DE 914).
5
f.
g.
h.
1.
J.
(i)
September 12, 2012 (DE 911).
(ii)
(i)
September 12, 2012 (DE 911).
(ii)
(i)
September 12, 2012 (DE 911).
(ii)
(i)
September 12, 2012 (DE 911).
(ii)
(i)
September 12, 2012 (DE 911).
6
(ii)
k.
I.
3.
(i)
September 12, 2012 (DE 911).
(ii)
*Martin Garvey's Motion Requesting Information from the Receiver
Pertaining to Eric Hauser's Non-Defendant Status in this Instant Case,
filed August 30, 2012 (DE 902).
(i)
Receiver's Response to Martin Garvey's Motion Requesting
Information from the Receiver Pertaining to Eric Hauser's NonDefendant Status in this Instant Case, filed September 13, 2012
(DE 913).
(ii)
Martin Garvey's Reply to Receiver's Response to Martin Garvey's
Motion Requesting Information from the Receiver Pertaining to
Eric Hauser's Non-Defendant Status in this Instant Case, filed
September 27, 2012 (DE 915).
Receiver
MAR.RA
a.
b.
v. Cable Road Investments Ltd, et al.- Case No. 05-60145-CIV-
*Matrix Himalaya Fund's Motion to Dismiss Second Amended
Complaint, filed November 6, 2006 (DE 135).
(i)
Notice by Matrix Himalaya Fund oflntention to Reassert Motion
to Dismiss, filed March 16,2007, (DE 183).
(ii)
Memorandum of law In Opposition to Motion of Defendant Matrix
Himalaya Fund's to Dismiss the Complaint, filed November 17,
2007 (DE 201).
(iii)
Defendant Matrix Himalaya Fund's Reply to Receiver's
Memorandum of law In Opposition to Motion of Defendant Matrix
Himalaya Fund's to Dismiss the Complaint, filed February 25,
2008 (DE 217).
Order Granting as Follows Receiver's Motion for court to Lift Stay and
Setting Trial Date and Related Deadlines, Referring Case to Mediation &
7
(!
•
'
•
referring Discovery Motions to United States Magistrate Judge, entered
August 9, 2012 (DE 263).
8
64036.000002 EMF_US 42624697vl

michael lauer, lancer management group ii, llc

Transcription

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