CLOSED

U.S. District Court
Southern District of New York (Foley Square)
CRIMINAL DOCKET FOR CASE #: 1:01-cr-01180-RCC-1


Case title: USA v. Republic NY Securiti
Date Filed: 12/17/2001
Date Terminated: 01/09/2002
Assigned to: Judge Richard C. Casey

Defendant (1)
Republic New York Securities Corporation
Republic New York Securities Corporation
TERMINATED: 01/10/2002 		represented byAndrew Michael Lawler
Andrew M. Lawler, P.C
641 Lexington Avenue, 27th Floor
New York, NY 10022
(212)832-3160
Fax: (212)832-3158
Email: alawler@amlpc.com
LEAD ATTORNEY
Designation: Retained

Pending Counts
Disposition
18:371.F CONSPIRACY TO DEFRAUD THE UNITED STATES
(1)		 Restitution: $569,000,000. Special assessment: $800.
15:78J.F MANIPULATIVE AND DECEPTIVE DEVICES
(2)		 Restitution: $569,000,000. Special assessment: $800.

Highest Offense Level (Opening)
Felony

Terminated Counts
Disposition
None

Highest Offense Level (Terminated)
None

Complaints
Disposition
None

Plaintiff
USA

Date Filed #Docket Text
12/17/2001  CASE Assigned to Judge Richard C. Casey (jm) (Entered: 12/20/2001)
12/17/20011 NOTICE OF INTENT to File An Information by USA as to Republic NY Securiti (ac) (Entered: 12/26/2001)
12/17/20012 WAIVER OF INDICTMENT by Republic NY Securiti (ac) (Entered: 12/26/2001)
12/17/20013 INFORMATION - Felony as to Republic NY Securiti (1) count(s) 1, 2 (ac) (Entered: 12/26/2001)
12/17/2001  First Appearance as to Republic NY Securiti held Arraignment set for 12/17/01 for Republic NY Securiti ; before Judge Richard C. Casey . (ac) (Entered: 12/26/2001)
12/17/2001  Arraignment as to Republic NY Securiti held Republic NY Securiti (1) count(s) 1, 2 before Judge Richard C. Casey. Information filed. Deft present w/ Atty's Andrew Lawler, Richard Ziegler, Jennifer Kroman, and Ann Vitale. AUSA's Richard Owen and Brial Coad. Court reporter Bill Murray. The Court advised Deft of rights. The Deft waives the reading of the Information and enters a plea of guilty as charged to the Information. The Court sets sentencing for 12/28/01 at 11:30am. (ac) (Entered: 12/26/2001)
12/17/2001  PLEA entered by Republic NY Securiti . Court accepts plea. Guilty: Republic NY Securiti (1) count(s) 1, 2 (ac) (Entered: 12/26/2001)
12/17/2001  Sentencing set for 11:30 12/28/01 for Republic NY Securiti , Republic NY Securiti (1) count(s) 1, 2 (ac) (Entered: 12/26/2001)
12/20/20014 MEMORANDUM by USA as to Republic NY Securiti in support of [0-0] plea Guilty: Republic NY Securiti (1) count(s) 1, 2 (ph) (Entered: 12/27/2001)
12/27/20015 SEALED DOCUMENT as to Republic NY Securiti (wv) (Entered: 12/27/2001)
01/09/20026 ORDER as to Republic NY Securiti, that RNYSC shall make restitution soley as compensation for losses caused to purchasers and holders of the Princeton Notes as set forth below: (1) By the close of business on 1/10/02, RNYSC will pay to each of the parties listed on the attached Schedule 1, the combined value of the amounts in yen and dollars reflected in schedule 1, columns 2, 3, and 4 (the restitution), provided that payment of the Restitution Amount shall be reduced, pursuant to Title 18, United States Code, Section 3664(j)(2), by any sum paid to such parties by any affiliate of RNYSC. Such combined value shall be calculated on the basis of the exchange rate at the close of business Eastern Standard Time, published by Bloomberg, on 1/8/02. This amount reflects the total compensation for losses owed to each victim, discounted for each victim's projected pro-rata distribution from the Receivership Assets. The payment shall be made in yen or dollars as each victim previously directed. (2) The projected amount of compensation to be paid to each victim-investor from the Receivership Assets is reflected in Column 2 of the attached Schedule 2. In the event that the funds ultimately distributed to any victim-investor from the Receivership Assets are less that the amount reflected in column 2 , RNYSC will cause to be paid to that victim any shortfall up to the maximum of twenty-percent of the projected distribution (as reflected in column 3 of schedule 2). RNYSC shall discharges this obligation by causing, on or before 1/10/02, the issuance of an irrevocable letter of credit, in a form acceptance to the Government and substantially in the form of the draft standby letter of credit attached hereto as Exhibit A, in the aggregate amount of at least $14,578,786.74 in favor of those victim-investors listed on Schedule 2, by HSBC Bank USA or (ii) to RNYSC or any other person designated by RNYSC but only after each of the lawsuits referred to in the prior clause has been sttled or otherwise fully adjuducated and RNYSC has satisfied any outstanding judgments that may be entered against in those actions. ( Signed by Judge Richard C. Casey ); Copies mailed. (mr) (Entered: 01/10/2002)
01/09/2002  Sentencing held Republic NY Securiti (1) count(s) 1, 2 (ph) (Entered: 01/11/2002)
01/09/20029 FILED AMENDED JUDGMENT IN A CRIMINAL CASE: (For offenses committed on or after November 1,1987). The defendant Republic New York Securites Corporation pleaded guilty to counts 1 and 2. All open counts are dismissed on the motion of the United States. Restitution: $569 Million. Special assessment: $800. Docketed as a judgment #02,0073 on 2/25/02. ( Signed by Judge Richard C. Casey ) (ph) Modified on 02/26/2002 (Entered: 02/22/2002)
01/10/20027 FILED JUDGMENT IN A CRIMINAL CASE. (For offenses committed on or after November 1,1987). The defendant Republic NY Securiti (1) pleaded guilty to count(s) 1, 2. Restitution: $569,000,000. Special assessment: $800. Judgment and Commitment issued to U.S. Marshal. Docketed as a judgment #02,0073 on 1/14/02. ( Signed by Judge Richard C. Casey ) (ph) Modified on 01/15/2002 (Entered: 01/11/2002)
02/14/20028 TRANSCRIPT of record of proceedings as to Republic NY Securiti for dates of 12/17/01, 10:15 a.m., before Judge Richard C. Casey. (ph) (Entered: 02/15/2002)
08/02/200710 TRANSCRIPT of Proceedings as to Republic New York Securities Corporation held on 12/17/01 before Judge Richard C. Casey. (es) (Entered: 08/02/2007)