CLOSED , EFILE |
Case title: USA v. UBS AG |
Date Filed: 05/20/2015 Date Terminated: 01/10/2017 |
Assigned to: Judge Stefan R. Underhill | ||
Defendant (1) |
||
UBS AG
TERMINATED: 01/10/2017 |
represented by |
David P. Burns
Gibson, Dunn & Crutcher - DC 1050 Connecticut Ave., N.W. Washington, DC 20036-5303 202-887-3786 Fax: 202-530-9637 Email: DBurns@gibsondunn.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained F. Joseph Warin Gibson, Dunn & Crutcher - DC 1050 Connecticut Ave., N.W. Washington, DC 20036-5303 202-887-3609 Fax: 202-530-9608 Email: fwarin@gibsondunn.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained Meredith C. Braxton 280 Railroad Avenue Suite 205 Greenwich, CT 06830 203-661-4610 Fax: 203-661-4611 Email: braxtonlaw@optonline.net ATTORNEY TO BE NOTICED Designation: Retained |
Pending Counts |
Disposition |
|
FRAUD BY WIRE, RADIO, OR TELEVISION
(1) |
Defendant shall be on probation for 3 years; special assessment of $400.00 shall be paid immediately; fine $203,000,000 due 10 days of sentencing | |
Highest Offense Level (Opening) |
||
Felony | ||
Terminated Counts |
Disposition |
|
None | ||
Highest Offense Level (Terminated) |
||
None | ||
Complaints |
Disposition |
|
None |
Plaintiff |
||
USA | represented by |
Sandra Leigh Moser
U.S. Department of Justice, Fraud-DC 1400 New York Ave., N.W., 4th Floor Room 3404 Washington, DC 20005 202-353-0822 Email: sandra.moser2@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Retained Gary A. Winters U. S. Department of Justice /Criminal Fraud Fraud Section, Criminal Division 1400 New York Avenue, N.W. Washington, DC 20005 202-598-2382 Email: gary.winters@usdoj.gov ATTORNEY TO BE NOTICED |
Date Filed | # | Docket Text |
---|---|---|
05/20/2015 | 1 | INFORMATION as to UBS AG (1) Count 1. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 2 | WAIVER OF INDICTMENT by UBS AG. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 3 | ORAL MOTION for Attorneys David Burns and Joseph Warin to be Admitted Pro Hac Vice. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 4 | ORAL MOTION requesting Kristen Moran as the United States Probation Officer by UBS AG to prepare the Presentence Report. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 5 | Minute Entry for proceedings held before Judge Robert N. Chatigny: granting 3 ORAL Motion to Appear pro hac vice as to UBS AG (1)( Certificates of Good Standing due by 7/19/2015); granting 4 ORAL Motion that Kristen Moran, USPO prepare the presentence report as to UBS AG (1); Motion Hearing as to UBS AG held on 5/20/2015 re 3 ORAL MOTION for Attorney(s) David Burns and Joseph Warin to be Admitted Pro Hac Vice filed by UBS AG, 4 ORAL MOTION Requesting Kristen Moran as the United States Probation Officer filed by UBS AG ; Initial Appearance as to UBS AG held on 5/20/2015; Waiver/Plea Hearing as to UBS AG held on 5/20/2015; Plea entered by UBS AG (1) Guilty Count 1. Total Time: 1 hour and 1 minute(Court Reporter Warner, Darlene.) (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 6 | PLEA AGREEMENT as to UBS AG. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 7 |
PROPOSED
ORDER OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT
as stated on the record as to UBS AG. First Disclosure-PSI due 7/20/15;
Objections Due 8/3/15; 2nd-Disclosure PSI due 8/13/15; Sentencing
Memorandum due 8/20/15; Response due 8/25/15. PROPOSED Sentencing date
set for 8/31/2015 at 10:00 AM in North Courtroom, 450 Main St.,
Hartford, CT before Judge Robert N. Chatigny.
Signed by Judge Robert N. Chatigny on 5/20/15. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 8 |
ORDER
OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT as to
UBS AG. First Disclosure-PSI due 9/28/15; Objections Due 10/12/15;
2nd-Disclosure PSI due 10/22/15; Sentencing Memorandum due 10/29/15;
Response due 11/3/15. Sentencing set for 11/9/2015 at 11:00 AM in North
Courtroom, 450 Main St., Hartford, CT before Judge Robert N. Chatigny.
Signed by Judge Robert N. Chatigny on 5/20/15. (Glynn, T.) (Entered: 05/21/2015) |
05/20/2015 | 9 |
ELECTRONIC FILING ORDER as to UBS AG - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER
Signed by Judge Robert N. Chatigny on 5/20/15. (Attachments: # 1 E-FILE ATTACHMENT) (Glynn, T.) (Entered: 05/21/2015) |
05/21/2015 | 10 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. Sentencing set for 11/9/2015 at 11:00 AM in North Courtroom, 450 Main St., Hartford, CT before Judge Robert N. Chatigny. (Glynn, T.) (Entered: 05/21/2015) |
05/21/2015 | 11 | ATTORNEY APPEARANCE: Meredith C. Braxton appearing for UBS AG (Braxton, Meredith) (Entered: 05/21/2015) |
05/21/2015 | 12 | MOTION for Attorney(s) F. Joseph Warin to be Admitted Pro Hac Vice (paid $75 PHV fee; receipt number 0205-3610830). (Attachments: # 1 Affidavit of Joseph Warin, # 2 Text of Proposed Order)(Braxton, Meredith) (Entered: 05/21/2015) |
05/21/2015 | 13 | MOTION for Attorney(s) David P. Burns to be Admitted Pro Hac Vice (paid $75 PHV fee; receipt number 0205-3610856). (Attachments: # 1 Affidavit of David Burns, # 2 Text of Proposed Order)(Braxton, Meredith) (Entered: 05/21/2015) |
05/21/2015 | 14 | CERTIFICATE OF GOOD STANDING re 12 MOTION for Attorney(s) F. Joseph Warin to be Admitted Pro Hac Vice (paid $75 PHV fee; receipt number 0205-3610830) (Braxton, Meredith) (Entered: 05/21/2015) |
05/21/2015 | 15 | CERTIFICATE OF GOOD STANDING re 13 MOTION for Attorney(s) David P. Burns to be Admitted Pro Hac Vice (paid $75 PHV fee; receipt number 0205-3610856) (Braxton, Meredith) (Entered: 05/21/2015) |
05/22/2015 | 16 | ORDER granting 12 Motion to Appear Pro Hac Vice Attorney F. Joseph Warin for UBS AG (1); granting 13 Motion to Appear Pro Hac Vice Attorney David P Burns for UBS AG (1). Signed by Clerk on 5/22/15. (Sundie, T) (Entered: 05/22/2015) |
05/26/2015 | 17 | TRANSCRIPT of Proceedings as to UBS AG. Plea Hearing held on 05.20.15 before Judge Robert N. Chatigny. Court Reporter: Darlene A. Warner. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: To remove personal identifier information from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within seven (7) calendar days of this date. If no such Notice is filed, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available through PACER without redaction 90 days from today's date. The 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. The policy governing the redaction of personal information is located on the court website at www.ctd.uscourts.gov. Redaction Request due 6/16/2015. Redacted Transcript Deadline set for 6/26/2015. Release of Transcript Restriction set for 8/24/2015. (Warner, D.) (Entered: 05/26/2015) |
08/11/2015 | 18 | MOTION for Order Re: Authorizing Alternative Victim Notification Procedures by USA as to UBS AG. (Moser, Sandra) (Entered: 08/11/2015) |
09/02/2015 | 19 | ORDER granting 18 Motion for Order as to UBS AG (1). Signed by Judge Robert N. Chatigny on 9/2/15. (Glynn, T.) (Entered: 09/02/2015) |
09/15/2015 | 20 | Consent MOTION to Continue Sentencing by UBS AG. (Attachments: # 1 Text of Proposed Order)(Burns, David) (Entered: 09/15/2015) |
09/16/2015 | 21 | ORDER granting 20 Motion to Continue as to UBS AG (1). Signed by Judge Robert N. Chatigny on 9/16/2015. (Rickevicius, L.) (Entered: 09/16/2015) |
09/16/2015 | 22 | RESCHEDULED NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. RESET FROM 11/9/15 . Sentencing set for 5/9/2016 at 10:00 AM in North Courtroom, 450 Main St., Hartford, CT before Judge Robert N. Chatigny. (Glynn, T.) (Entered: 09/16/2015) |
09/16/2015 | 23 |
MODIFIED
ORDER OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT
as to UBS AG. First Disclosure-PSI due 3/28/16; Objections Due 4/11/16;
2nd-Disclosure PSI due 4/21/16; Sentencing Memorandum due 4/28/16,
Response due 5/3/16. Sentencing set for 5/9/2016 at 10:00 AM in North
Courtroom, 450 Main St., Hartford, CT before Judge Robert N. Chatigny.
Signed by Judge Robert N. Chatigny on 9/16/15. (Glynn, T.) (Entered: 09/16/2015) |
02/02/2016 | 24 |
ORDER OF TRANSFER in case as to UBS AG Case reassigned to Judge Stefan R. Underhill for all further proceedings
Signed by Judge Robert N. Chatigny on 2/2/16. (Johnson, D.) (Entered: 02/03/2016) |
03/17/2016 | 25 | ATTORNEY APPEARANCE Gary A. Winters appearing for USA (Winters, Gary) (Entered: 03/17/2016) |
03/18/2016 | 26 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. Phone Conference set for 3/23/2016 at 10:00 AM before Judge Stefan R. Underhill. (Landman, M) (Entered: 03/18/2016) |
03/23/2016 | 27 | Minute Entry for proceedings held before Judge Stefan R. Underhill: Phone Conference held on 3/23/2016. Total Time: 0 hours and 6 minutes. (Court Reporter Sharon Masse.) (Landman, M) (Entered: 03/23/2016) |
03/23/2016 | 28 |
(REVISED)
SENTENCING SCHEDULING ORDER as to UBS AG: 1st-Disclosure PSI due
10/18/2016; Objections due 11/1/2016; 2nd-Disclosure PSI due 11/11/2016;
Memo in aid of sentencing due 11/18/2016; Government Response due
11/23/2016; Sentencing set for 11/29/2016 at 10:00 AM in Courtroom One,
915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill.
Signed by Judge Stefan R. Underhill on 3/23/2016. (Landman, M) (Entered: 03/23/2016) |
10/18/2016 | 29 | PRESENTENCE INVESTIGATION REPORT (Draft Report) (SEALED - government and defense counsel) as to UBS AG. (available to USA, UBS AG) (Attachments: # 1 Information, # 2 Plea Agreement, # 3 Financial Information 1, # 4 Financial Information 2)(Montesi, J) (Entered: 10/18/2016) |
11/02/2016 | 30 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. Sentencing set for 11/29/2016 at 10:00 AM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. (Jaiman, R.) (Entered: 11/02/2016) |
11/10/2016 | 31 | PRESENTENCE INVESTIGATION REPORT (Final Report) (SEALED - government and defense counsel) as to UBS AG. (available to USA, UBS AG) (Attachments: # 1 Government's Letter, # 2 Defendant's Letter)(Montesi, J) (Entered: 11/10/2016) |
11/10/2016 | 32 | Sealed Sentencing Recommendation: as to UBS AG (Montesi, J) (Entered: 11/10/2016) |
11/23/2016 | 33 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. RESET FROM 11/29/2016 Sentencing set for 12/15/2016 01:30 PM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill (Jaiman, R.) (Entered: 11/23/2016) |
11/23/2016 | 34 | SENTENCING MEMORANDUM by UBS AG (Burns, David) (Entered: 11/23/2016) |
12/12/2016 | 35 | PRESENTENCE INVESTIGATION REPORT (Supplement) (SEALED - government and defense counsel) as to UBS AG. (available to USA, UBS AG) (Attachments: # 1 Chart)(Montesi, J) (Entered: 12/12/2016) |
12/13/2016 | 36 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. Phone Conference set for 12/13/2016 at 02:30 PM before Judge Stefan R. Underhill. (Landman, M) (Entered: 12/13/2016) |
12/13/2016 | 37 | Minute Entry for proceedings held before Judge Stefan R. Underhill: Phone Conference as to UBS AG held on 12/13/2016. Total Time: 0 hours and 13 minutes. (Court Reporter Sharon Masse.) (Landman, M) (Entered: 12/13/2016) |
12/13/2016 | 38 | NOTICE OF E-FILED CALENDAR as to UBS AG: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. RESET FROM 12/15/2016 Sentencing set for 1/5/2017 at 11:00 AM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. (Landman, M) (Entered: 12/13/2016) |
01/05/2017 | 39 | Minute Entry for proceedings held before Judge Stefan R. Underhill:Sentencing as to UBS AG held on 1/5/2017 35 minutes(Court Reporter Masse, S.)(Jaiman, R.) (Entered: 01/05/2017) |
01/09/2017 | 40 | TRANSCRIPT of Proceedings: as to UBS AG Type of Hearing: Sentencing Hearing. Held on 1-5-2017 before Judge Stefan R. Underhill. Court Reporter: S. Masse. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: To remove personal identifier information from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within seven (7) calendar days of this date. If no such Notice is filed, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available through PACER without redaction 90 days from today's date. The 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. The policy governing the redaction of personal information is located on the court website at www.ctd.uscourts.gov. Redaction Request due 1/30/2017. Redacted Transcript Deadline set for 2/9/2017. Release of Transcript Restriction set for 4/9/2017. (Masse, S.) (Entered: 01/09/2017) |
01/10/2017 | 41 |
JUDGMENT
with judge's signature redacted. as to UBS AG (1), Count(s) 1,
Defendant shall be on probation for 3 years; special assessment of
$400.00 shall be paid immediately; fine $203,000,000 due 10 days of
sentencing
Signed by Judge Stefan R. Underhill on 1/10/2017. (Jaiman, R.) (Entered: 01/10/2017) |
01/10/2017 | 42 | Unredacted document with JUDGE'S SIGNATURE as to defendant(s)UBS AG. Access to the pdf document is restricted pursuant to Federal Rule of Criminal Procedure 49.1(e). (Jaiman, R.) (Entered: 01/10/2017) |
01/10/2017 |
JUDICIAL
PROCEEDINGS SURVEY: The following link to the confidential survey
requires you to log into CM/ECF for SECURITY purposes. Once in CM/ECF
you will be prompted for the case number. Although you are receiving
this survey through CM/ECF, it is hosted on an independent website
called SurveyMonkey. Once in SurveyMonkey, the survey is located in a
secure account. The survey is not docketed and it is not sent directly
to the judge. To ensure anonymity, completed surveys are held up to 90
days before they are sent to the judge for review. We hope you will take
this opportunity to participate, please click on this link:
https://ecf.ctd.uscourts.gov/cgi-bin/Dispatch.pl?crsurvey (Jaiman, R.) (Entered: 01/10/2017) |
|
01/20/2017 | 43 | Statement of Reasons (SEALED - government and defense counsel) as to UBS AG. (available to USA, UBS AG) (Catanzarita, A) (Entered: 01/20/2017) |
01/24/2017 | 44 | PRESENTENCE INVESTIGATION REPORT (Revised) (SEALED - government and defense counsel) as to UBS AG. (available to USA, UBS AG) (Montesi, J) (Entered: 01/24/2017) |
RECAP cached this document on 11/28/16.