CLOSED , EFILE

U.S. District Court
United States District Court for the District of Connecticut (New Haven)
CRIMINAL DOCKET FOR CASE #: 3:15-cr-00079-SRU All Defendants


Case title: USA v. JP Morgan Chase & Co

Date Filed: 05/20/2015
Date Terminated: 01/10/2017

Assigned to: Judge Stefan R. Underhill

Defendant (1)
JP Morgan Chase & Co
TERMINATED: 01/10/2017
represented by Craig A. Raabe
Izard, Kindall & Raabe LLP
29 South Main Street
Suite 305
West Hartford, CT 06107
860-513-2939
Email: craabe@ikrlaw.com
TERMINATED: 11/22/2016
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

David B. Leland
Skadden, Arps, Slate, Meagher & Flom LLP - DC
1440 New York Ave., N.W.
Washington, DC 20005-2111
202-371-7000
Fax: 202-393-5760
Email: david.leland@skadden.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Jocelyn E. Strauber
Skadden, Arps, Slate, Meagher & Flom - NY
Four Times Square
New York, NY 10036-3897
212-735-3000
Fax: 212-735-2000
Email: jocelyn.strauber@skadden.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

John K. Carroll
Skadden, Arps, Slate, Meagher & Flom - NY
Four Times Square
New York, NY 10036-3897
212-735-3000
Fax: 212-735-2000
Email: john.carroll@skadden.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Nuala E. Droney
Robinson & Cole, LLP-HTFD
280 Trumbull St.
Hartford, CT 06103
860-275-8346
Fax: 860-275-8299
Email: ndroney@rc.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Patrick Fitzgerald
Skadden, Arps, Slate, Meagher & Flom - IL
155 North Wacker Dr.
Chicago, IL 60606
312-407-0700
Fax: 312-407-0411
Email: patrick.fitzgerald@skadden.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Warren Feldman
Skadden, Arps, Slate, Meagher & Flom - NY
Four Times Square
New York, NY 10036-3897
212-735-3000
Fax: 212-735-2000
Email: warren.feldman@skadden.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

James A. Wade
Robinson & Cole
280 Trumbull St.
Hartford, CT 06103
860-275-8270
Fax: 860-275-8299
Email: jwade@rc.com
ATTORNEY TO BE NOTICED
Designation: Retained

Kathleen Elizabeth Dion
Robinson & Cole, LLP-HTFD
280 Trumbull St.
Hartford, CT 06103
860-275-8231
Fax: 860-275-8299
Email: kdion@rc.com
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
ANTITRUST VIOLATIONS, Sherman Act Conspiracy
(1)
Defendant shall be placed on probation for 3 years; special assessment $400.00 due immediately; Fine $550,000,000 due within 15 days of judgement

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented by Bryan Bughman
United States Department of Justice - Antitrust NY
Antitrust Division
26 Federal Plaza
Room 3630
New York, NY 11201
212-335-8041
Fax: 212-335-8023
Email: bryan.bughman@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Carrie Ann Syme
United States Department of Justice - Antitrust NY
Antitrust Division
26 Federal Plaza
New York, NY 11201
212-335-8036
Fax: 212-335-8005
Email: carrie.syme@usdoj.gov
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Eric L Schleef
United States Dept of Justice-Antitrust
Antitrust Division
209 S. LaSalle St., Suite 600
Chicago, IL 60622
312-353-8209
Fax: 312-353-1046
Email: eric.schleef@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Joseph Muoio
United States Department of Justice - Antitrust NY
Antitrust Division
26 Federal Plaza
New York, NY 11201
212-335-8007
Fax: 212-335-8005
Email: joseph.muoio@usdoj.gov
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Designation: Retained

Date Filed # Docket Text
05/20/2015 1 INFORMATION as to JP Morgan Chase & Co (1) count(s) 1. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 2 ATTORNEY APPEARANCE: Craig A. Raabe appearing for JP Morgan Chase & Co (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 3 ATTORNEY APPEARANCE: Nuala E. Droney appearing for JP Morgan Chase & Co (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 4 MOTION to Seal Attachment to the Plea Agreement by USA as to JP Morgan Chase & Co. (Attachments: # 1 Proposed Order)(Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 5 NOTICE of Motion to Authorize Alternative Victim Notification Procedures Pursuant to 18 U.S.C. 3771(d)(2) by USA as to JP Morgan Chase & Co (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 6 MOTION and Memorandum to Authorize Alternative Victim Notification Procedures Pursuant to 18 U.S.C. 3771(d)(2) by USA as to JP Morgan Chase & Co. (Jaiman, R.) (Additional attachment(s) added on 5/21/2015: # 1 Proposed Order) (Jaiman, R.). (Entered: 05/21/2015)
05/20/2015 7 MOTION for Leave to Appear Pro Hac Vice Attorney: David B. Leland. Filing Fee $75.00. Receipt Number CTXB000005784. by JP Morgan Chase & Co. (Attachments: # 1 Affidavit)(Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 8 MOTION for Leave to Appear Pro Hac Vice Attorney: Patrick Fitzgerald. Filing Fee $75.00. Receipt Number CTXB00005784. by JP Morgan Chase & Co. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 9 MOTION for Leave to Appear Pro Hac Vice Attorney: John K. Carroll. Filing Fee $75.00. Receipt Number CTXB000005784. by JP Morgan Chase & Co. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 10 MOTION for Leave to Appear Pro Hac Vice Attorney: Jocelyn E. Struber. Filing Fee $75.00. Receipt Number CTXB000005784. by JP Morgan Chase & Co. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 11 MOTION for Leave to Appear Pro Hac Vice Attorney: Warren Feldman. Filing Fee $75.00. Receipt Number CTXB000005784. by JP Morgan Chase & Co. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 12 Minute Entry for proceedings held before Judge Stefan R. Underhill: Initial Appearance; Waiver/Plea Hearing; Motion Hearing as to JP Morgan Chase & Co held on 5/20/2015; granting 4 Motion to Seal Attachment to the Plea Agreement as to JP Morgan Chase & Co (1); granting 7 Motion for Leave to Appear Pro Hac Vice as to JP Morgan Chase & Co; granting 8 Motion for Leave to Appear Pro Hac Vice as to JP Morgan Chase & Co; granting 9 Motion for Leave to Appear Pro Hac Vice as to JP Morgan Chase & Co; granting 10 Motion for Leave to Appear Pro Hac Vice as to JP Morgan Chase & Co; granting 11 Motion for Leave to Appear Pro Hac Vice as to JP Morgan Chase & Co (1); re 4 MOTION to Seal Attachment to the Plea Agreement filed by USA, 8 MOTION for Leave to Appear Pro Hac Vice Attorney: Patrick Fitzgerald. Filing Fee $75.00. Receipt Number CTXB00005784. filed by JP Morgan Chase & Co, 7 MOTION for Leave to Appear Pro Hac Vice Attorney: David B. Leland. Filing Fee $75.00. Receipt Number CTXB000005784. filed by JP Morgan Chase & Co, 9 MOTION for Leave to Appear Pro Hac Vice Attorney: John K. Carroll. Filing Fee $75.00. Receipt Number CTXB000005784. filed by JP Morgan Chase & Co, 11 MOTION for Leave to Appear Pro Hac Vice Attorney: Warren Feldman. Filing Fee $75.00. Receipt Number CTXB000005784. filed by JP Morgan Chase & Co, 10 MOTION for Leave to Appear Pro Hac Vice Attorney: Jocelyn E. Struber. Filing Fee $75.00. Receipt Number CTXB000005784. filed by JP Morgan Chase & Co ; Plea entered by JP Morgan Chase & Co (1) Guilty as to Count 1. by JP Morgan Chase & Co. (IN OPEN COURT, THE DEFENDANT WAIVE INDICTMENT AND PLEAD GUILTY) 10 minutes(Court Reporter Catucci, S.) (Jaiman, R.) (Additional attachment(s) added on 5/21/2015: # 1 CORRECTED MINUTES) (Jaiman, R.). (Entered: 05/21/2015)
05/20/2015 13 PLEA AGREEMENT as to JP Morgan Chase & Co (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 14 Sealed Document: Attachment A to Plea Agreement by USA as to JP Morgan Chase & Co re 13 Plea Agreement - (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 15 ELECTRONIC FILING ORDER as to JP Morgan Chase & Co - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER
Signed by Judge Stefan R. Underhill on 5/20/2015. (Jaiman, R.) (Entered: 05/21/2015)
05/20/2015 WAIVER OF INDICTMENT IN OPEN COURT by JP Morgan Chase & Co (Blough, B.) (Entered: 06/02/2015)
05/22/2015 16 CERTIFICATE OF GOOD STANDING re 7 MOTION for Leave to Appear Pro Hac Vice Attorney: David B. Leland. Filing Fee $$75.00. Receipt Number CTXB000005784. (Raabe, Craig) (Entered: 05/22/2015)
05/22/2015 17 CERTIFICATE OF GOOD STANDING re 8 MOTION for Leave to Appear Pro Hac Vice Attorney: Patrick Fitzgerald. Filing Fee $75.00. Receipt Number CTXB00005784. (Raabe, Craig) (Entered: 05/22/2015)
06/02/2015 18 TRANSCRIPT of Proceedings: as to JP Morgan Chase & Co Type of Hearing: Waiver and Plea. Held on 5/20/15 before Judge Stefan R. Underhill. Court Reporter: Susan E. Catucci. 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 6/23/2015. Redacted Transcript Deadline set for 7/3/2015. Release of Transcript Restriction set for 8/31/2015. (Catucci, S.) (Entered: 06/02/2015)
07/08/2015 19 Memorandum in Support by USA as to JP Morgan Chase & Co re 6 MOTION and Memorandum to authorize Alternative Victim Notification Procedures Pursuant to 18 U.S.C. 3771(d)(2). Supplemental Memorandum (Muoio, Joseph) (Entered: 07/08/2015)
07/21/2015 20 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. Set/Reset Deadlines/Hearings as to JP Morgan Chase & Co: Telephone Conference set for 8/18/2015 11:00 AM in Chambers Room 411, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. The court will circulate dial-in information in advance of the call. (Freuden, S.) (Entered: 07/21/2015)
08/18/2015 21 Minute Entry for proceedings held before Judge Stefan R. Underhill:Status Conference as to JP Morgan Chase & Co held on 8/18/2015 Total Time: 0 hours and 15 minutes(Court Reporter Sue Catucci.)(Freuden, S.) (Entered: 08/19/2015)
09/11/2015 22 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. Phone Conference set for 9/21/2015 05:00 PM before Judge Stefan R. Underhill. The court will circulate dial-in information in advance of the call. (Landman, M) (Entered: 09/11/2015)
09/21/2015 23 Minute Entry for proceedings held before Judge Stefan R. Underhill: Phone Conference as to JP Morgan Chase & Co held on 9/21/2015. Total Time: 0 hours and 10 minutes (Court Reporter Sharon Masse.) (Landman, M) (Entered: 09/21/2015)
09/22/2015 24 ORDER granting 6 Motion for Alternative Crime Victim Notification as to JP Morgan Chase & Co (1). Signed by Judge Stefan R. Underhill on 9/22/2015. (Landman, M) (Entered: 09/22/2015)
04/18/2016 25 ORDER OF REFERRAL TO PROBATION FOR PRESENTENCE INVESTIGATION AND REPORT as to JP Morgan Chase & Co. First Disclosure-PSI due 7/22/2016 Objections Due 8/12/2016 2nd-Disclosure PSI due 8/26/2016 Sentencing Memorandum due 9/6/2016 Response due 9/13/2016 Sentencing set for 9/20/2016 02:00 PM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill
Signed by Judge Stefan R. Underhill on 4/18/2016. (Jaiman, R.) (Entered: 04/18/2016)
04/18/2016 26 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. Sentencing set for 9/20/2016 02:00 AM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill (Jaiman, R.) (Entered: 04/18/2016)
06/30/2016 27 Consent MOTION to Continue Sentencing until December 15, 2016, or such other later date as may be convenient for the Court by JP Morgan Chase & Co. (Droney, Nuala) (Entered: 06/30/2016)
07/07/2016 28 ORDER granting 27 Motion to Continue as to JP Morgan Chase & Co (1). Signed by Judge Stefan R. Underhill on 7/7/2016. (Landman, M) (Entered: 07/07/2016)
07/08/2016 29 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. RESET FROM 9/20/2016 at 2:00 p.m. , SET / RESET SENTENCING SCHEDULING DEADLINE as to JP Morgan Chase & Co: PSI due October 14, 2016, Objection to PSI due November 4, 2016, 2nd PSI due November 18, 2016, Memo in aid of sentencing due December 1, 2016, Government Response due December 8, 2016, Sentencing set for 12/15/2016 02:00 PM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. (Landman, M) (Entered: 07/08/2016)
10/13/2016 30 PRESENTENCE INVESTIGATION REPORT (Draft Report) (SEALED - government and defense counsel) as to JP Morgan Chase & Co. (available to USA, JP Morgan Chase & Co) (Attachments: # 1 Information, # 2 Plea Agreement)(Montesi, J) (Entered: 10/13/2016)
10/17/2016 31 ATTORNEY APPEARANCE: Kathleen Elizabeth Dion appearing for JP Morgan Chase & Co (Dion, Kathleen) (Entered: 10/17/2016)
10/17/2016 32 ATTORNEY APPEARANCE: James A. Wade appearing for JP Morgan Chase & Co (Wade, James) (Entered: 10/17/2016)
11/16/2016 33 PRESENTENCE INVESTIGATION REPORT (Final Report) (SEALED - government and defense counsel) as to JP Morgan Chase & Co. (available to USA, JP Morgan Chase & Co) (Attachments: # 1 Addendum)(Montesi, J) (Entered: 11/16/2016)
11/16/2016 34 Sealed Sentencing Recommendation: as to JP Morgan Chase & Co (Montesi, J) (Entered: 11/16/2016)
11/17/2016 35 MOTION for Craig A. Raabe to Withdraw as Attorney by JP Morgan Chase & Co. (Raabe, Craig) (Entered: 11/17/2016)
11/22/2016 36 ORDER granting 35 Motion to Withdraw as Attorney. Craig A. Raabe withdrawn from case as to JP Morgan Chase & Co (1). Signed by Judge Stefan R. Underhill on 11/22/2016. (Landman, M) (Entered: 11/22/2016)
12/01/2016 37 SENTENCING MEMORANDUM by JP Morgan Chase & Co (Droney, Nuala) (Entered: 12/01/2016)
12/01/2016 38 SENTENCING MEMORANDUM by USA as to JP Morgan Chase & Co (Bughman, Bryan) (Entered: 12/01/2016)
12/01/2016 41 MOTION for Downward Departure by USA as to JP Morgan Chase & Co. ORIGINALLY E-FILED IN ERROR AS PART OF DOCUMENT #39; REDOCKETED TO PROPERLY IDENTIFY AS A TWO PART DOCUMENT (Oliver, T.) (Entered: 12/08/2016)
12/07/2016 39 ATTORNEY APPEARANCE Bryan Bughman appearing for USA (Bughman, Bryan) (Entered: 12/07/2016)
12/08/2016 40 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. RESET FROM 12/15/2016 at 1:30 p.m. ; Sentencing set for 12/15/2016 at 02:00 PM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. (Landman, M) (Entered: 12/08/2016)
12/13/2016 42 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: 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 43 Minute Entry for proceedings held before Judge Stefan R. Underhill: Phone Conference as to JP Morgan Chase & Co 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 44 NOTICE OF E-FILED CALENDAR as to JP Morgan Chase & Co: 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 10:00 AM in Courtroom One, 915 Lafayette Blvd., Bridgeport, CT before Judge Stefan R. Underhill. (Landman, M) (Entered: 12/13/2016)
01/05/2017 45 Minute Entry for proceedings held before Judge Stefan R. Underhill:Sentencing as to JP Morgan Chase & Co held on 1/5/2017 and 12 minutes(Court Reporter Massse, S.)(Jaiman, R.) (Entered: 01/09/2017)
01/05/2017 46 Letter addressed to the Court Dated 1/4/2017 (Jaiman, R.) (Entered: 01/09/2017)
01/05/2017 48 ORDER granting 41 Motion for Departure as to JP Morgan Chase & Co (1). Signed by Judge Stefan R. Underhill on 1/5/2017. (Jaiman, R.) (Entered: 01/10/2017)
01/10/2017 47 TRANSCRIPT of Proceedings: as to JP Morgan Chase & Co Type of Hearing: Sentencing. 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 1/31/2017. Redacted Transcript Deadline set for 2/10/2017. Release of Transcript Restriction set for 4/10/2017. (Masse, S.) (Entered: 01/10/2017)
01/10/2017 49 JUDGMENT with judge's signature redacted. as to JP Morgan Chase & Co (1), Count(s) 1, Defendant shall be placed on probation for 3 years; special assessment $400.00 due immediately; Fine $550,000,000 due within 15 days of judgement
Signed by Judge Stefan R. Underhill on 1/10/2017. (Jaiman, R.) (Entered: 01/10/2017)
01/10/2017 50 Unredacted document with JUDGE'S SIGNATURE as to defendant(s)JP Morgan Chase & Co. Access to the pdf document is restricted pursuant to Federal Rule of Criminal Procedure 49.1(e). (Jaiman, R.) (Entered: 01/10/2017)
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(Jaiman, R.) (Entered: 01/10/2017)
01/20/2017 51 Statement of Reasons (SEALED - government and defense counsel) as to JP Morgan Chase & Co. (available to USA, JP Morgan Chase & Co) (Catanzarita, A) (Entered: 01/20/2017)
01/27/2017 52 PRESENTENCE INVESTIGATION REPORT (Revised) (SEALED - government and defense counsel) as to JP Morgan Chase & Co. (available to USA, JP Morgan Chase & Co) (Montesi, J) (Entered: 01/27/2017)