CLOSED , EFILE

U.S. District Court
United States District Court for the District of Connecticut (New Haven)
CRIMINAL DOCKET FOR CASE #: 3:15-cr-00076-SRU All Defendants


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:

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(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)



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