Securities and Exchange Commission v. Nadel et al

Filing 773

RESPONSE re #733 Order filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Cream, Anita)

SDNY CM/ECF Version 4.2

Page 1 of 16

CLOSED, ECF, PRIOR

U.S. District Court
Southern District of New York (Foley Square)
CRIMINAL DOCKET FOR CASE #: 1:09-cr-00433-JGK-1

Case title: USA v. Nadel
Magistrate judge case number: 1:09-mj-00169-UA

Date Filed: 04/28/2009
Date Terminated: 12/06/2010

Assigned to: Judge John G. Koeltl
Defendant (1)
Arthur G. Nadel
TERMINATED: 12/06/2010

represented by Barry A. Cohen
Cohen, Jayson & Foster
Post Office Box 172538
Tampa, Fl 33672
[phone]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained
Henry Edward Mazurek
Law Offices of Gerald L. Shargel
570 Lexington Ave. 16th Floor
New York, NY 10022
[phone]
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained
Mark B Gombiner
Federal Defenders of New York Inc.
(NYC)
52 Duane Street
10th Floor
New York, NY 10007
212-417-8700
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Public Defender or
Community Defender Appointment

Pending Counts

Disposition

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 2 of 16

15:78J.F MANIPULATIVE AND
DECEPTIVE DEVICES (SECURITIES
RAUD)
(1-6)

Imprisonment: 168 months, to run
concurrently on counts 1 through 15.
Supervised Release: 3 years to run
concurrently on counts 1 through 15.

18:1341.F FRAUDS AND SWINDLES
(MAIL FRAUD)
(7)

Imprisonment: 168 months, to run
concurrently on counts 1 through 15.
Supervised Release: 3 years to run
concurrently on counts 1 through 15.

18:1343.F FRAUD BY WIRE, RADIO,
OR TELEVISION
(8-15)

Imprisonment: 168 months, to run
concurrently on counts 1 through 15.
Supervised Release: 3 years to run
concurrently on counts 1 through 15.

Highest Offense Level (Opening)
Felony
Terminated Counts

Disposition

None
Highest Offense Level (Terminated)
None
Complaints

Disposition

15 U.S.C. 78j(b), 78ff; 17 C.F.R. 240.10b5; 18 U.S.C. 1343, 2 (MANIPULATIVE
AND DECEPTIVE DEVICES)
(REGISTRATION OF NATIONAL
SECURITIES EXCHANGE) (FRAUD BY
WIRE, RADIO, OR TELEVISION)

Interested Party
Wells Fargo Bank, N.A.

represented by Adam Michael Schachter
Stearns Weaver Miller Weissler Alhadeff
& Sitterson, P.A.
Museum Tower
150 West Flagler Street
Miami, FL 33130
(305)-789-3228
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Ana T. Barnett
Stearns Weaver Miller Weissler Alhadeff

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 3 of 16

& Sitterson, P.A.
Museum Tower, Suite 2200
Miami, FL 33130
(305)-789-3200
Fax: [phone]
PRO HAC VICE
ATTORNEY TO BE NOTICED
Kelly R. Melchiondo
Stearns Weaver Miller Weissler Alhadeff
& Sitterson, P.A.
Museum Tower, Suite 2200
Miami, FL 33130
[phone]
Fax: [phone]
Email: [e-mail]
PRO HAC VICE
ATTORNEY TO BE NOTICED

Plaintiff
USA

represented by Jeffrey Ehrlich Alberts
U.S. Attorney's Office, SDNY (St Andw's)
One St. Andrew's Plaza
New York, NY 10007
[phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Maria Elena Douvas
U.S. Attorney's Office, SDNY (St Andw's)
One St. Andrew's Plaza
New York, NY 10007
212-637-2327
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Reed Michael Brodsky
U.S. Attorney's Office, SDNY (St Andw's)
One St. Andrew's Plaza
New York, NY 10007
(212)-637-2492
Fax: [phone]

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 4 of 16

Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Date Filed

#

Docket Text

01/21/2009

1

COMPLAINT as to Arthur G. Nadel (1). In Violation of 15 U.S.C. 78j(b), 78ff; 17
C.F.R. 240.10b-5; 18 U.S.C. 1343, 2.(Signed by Magistrate Judge Henry B. Pitman)
(aba) [1:09-mj-00169-UA] (Entered: 01/27/2009)

01/27/2009

3

ENDORSED LETTER as to Arthur G. Nadel addressed to The Honorable Kevin N.
Fox from Reed M. Brodsky dated 1/27/09 re: In connection with the Complaint filed
and sealed in the above-captioned case on January 21, 2009, the Government
respectfully requests that the Court unseal the Complaint. The Federal Bureau of
Investigation arrested the defendant Arthur G. Nadel this morning. APPLICATION
GRANTED. THE COMPLAINT SHALL BE UNSEALED IMMEDIATELY. SO
ORDERED. (Signed by Magistrate Judge Kevin Nathaniel Fox on 1/27/09)(aba)
[1:09-mj-00169-UA] (Entered: 01/27/2009)

01/27/2009

Arrest of Arthur G. Nadel in Middle District of Florida. (aba) [1:09-mj-00169-UA]
(Entered: 02/10/2009)

02/10/2009

4

02/10/2009

11

NOTICE OF ATTORNEY APPEARANCE: Barry A. Cohen appearing for Arthur G.
Nadel. (aba) [1:09-mj-00169-UA] (Entered: 03/02/2009)

02/11/2009

9

MOTION for Barry A. Cohen, Todd Foster, and Michael L. Rubinstein to Appear Pro
Hac Vice. Document filed by Arthur G. Nadel. (aba) [1:09-mj-00169-UA] (Entered:
03/02/2009)

02/12/2009

5

MOTION to Remand Arthur G. Nadel. Document filed by USA as to Arthur G. Nadel.
(Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit
E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11
Exhibit K, # 12 Exhibit L, # 13 Exhibit M)(Douvas, Maria) [1:09-mj-00169-UA]
(Entered: 02/12/2009)

02/17/2009

Rule 5(c)(3) Documents Received as to Arthur G. Nadel from the U.S.D.C. Middle
District of Florida. (aba) [1:09-mj-00169-UA] (Entered: 02/10/2009)

Minute Entry for proceedings held before Judge Denise L. Cote:Detention Hearing as
to Arthur G. Nadel held on 2/17/2009. At the request of both the Government, by
Assistant U.S. Attorney Reed Brodsky, and Todd Foster, counsel for the defendant,
the continuation of the detention hearing previously scheduled for February 19, 2009
is adjourned to February 25, 2009 at 10 a.m. (aba) Modified on 3/2/2009 (aba). [1:09mj-00169-UA] (Entered: 03/02/2009)

02/18/2009

12

PETITION FOR REVIEW OF DETENTION ORDER by Arthur G. Nadel. (aba)
[1:09-mj-00169-UA] (Entered: 03/02/2009)

02/24/2009

6

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on February 13, 2009
before Judge Denise L. Cote. (mro) [1:09-mj-00169-UA] (Entered: 02/26/2009)

02/24/2009

10

ORDER granting 9 Motion for Barry A. Cohen, Todd Foster and Michael L.
Rubinstein to Appear Pro Hac Vice as to Arthur G. Nadel (1). (Signed by Magistrate

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 5 of 16

Judge Douglas F. Eaton on 2/24/09) (aba) [1:09-mj-00169-UA] (Entered: 03/02/2009)
02/25/2009

Minute Entry for proceedings held before Judge Denise L. Cote:Detention Hearing as
to Arthur G. Nadel held on 2/25/2009. Defendant present with attorney Todd
Foster.Assistant U.S. Attorney Maria Douvas. Paralegal Adeline Lo present.Court
reporter present.The parties advises the Court that they were unable to reach
agreement on bail. Additional argument heard by the Court. For the reasons set forth
on the record, the Court imposes bail as follows:$5 million bond. Confessions of
judgment or execution of forfeiture agreements with respect to all property the
defendant owns or co-owns with others. This would include his home and business
property. The confessions of judgment and forfeiture agreements shall be co-signed by
every co-owner. The bond should be secured by $1 million in cash and co-signed by 4
financially response people who have a close enough personal relationship to the
defendant that they can exercise moral suasion over him and who have substantial
personal assets that are not going to be subject to forfeiture in this litigation so that
they stand to lose substantial sums of money should the defendant flee. The defendant
shall cooperate with the Government to identify where each of the withdrawals went
to for the period since 10/1/08. The defendant shall cooperate with the receiver and the
SEC to trace all of the financial transactions, to uncover any assets and recover any
assets. Surrender of travel documents. Bail limits confined to the district in FL where
he lives, the SD of NY and travel in between. Prior approval for all travel by the U.S.
Attorneys Office, and that would include any trip leaving the house. Electronic
monitoring is imposed and no internet access. The defendant shall be released upon
meeting the conditions of bail. Defts submissions on the issue of irrevocable waiver of
extradition shall be due 2/27, Govts response due March 3. (aba) [1:09-mj-00169-UA]
(Entered: 03/12/2009)

02/26/2009

7

AFFIRMATION of Reed M. Brodsky in Support by USA requesting a 30-day
continuance from 2/27/09 to 3/30/09 as to Arthur G. Nadel (aba) [1:09-mj-00169-UA]
(Entered: 03/02/2009)

02/26/2009

8

ORDER TO CONTINUE IN THE INTEREST OF JUSTICE as to Arthur G. Nadel.
Time excluded from 2/26/09 until 3/30/09. (Signed by Magistrate Judge Douglas F.
Eaton on 2/26/09)(aba) [1:09-mj-00169-UA] (Entered: 03/02/2009)

03/03/2009

13

GOVERNMENT'S MEMORANDUM OF LAW IN RESPONSE TO DEFENDANT'S
MOTION FOR ACCEPTANCE OF AN IRREVOCABLE WAIVER OF
EXTRADITION. (dif) Modified on 3/10/2009 (ja). [1:09-mj-00169-UA] (Entered:
03/05/2009)

03/12/2009

14

MEMORANDUM OF LAW in Support by Arthur G. Nadel. (aba) [1:09-mj-00169UA] (Entered: 03/12/2009)

03/12/2009

15

ORDER as to Arthur G. Nadel. The defendant requested an opportunity to show that
an irrevocable consent to extradition signed by the defendant could provide support
for the defendant's release on bail. Having reviewed the parties' submissions, it is
hereby ORDERED that the defendant has failed to show that such consent would be
enforceable if defendant fled the country. SO ORDERED. (Signed by Judge Denise L.
Cote on 3/6/09)(aba) [1:09-mj-00169-UA] (Entered: 03/13/2009)

03/12/2009

16

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 2/25/09 at 9:30 a.m.
before Judge Denise L. Cote. (aba) [1:09-mj-00169-UA] (Entered: 03/27/2009)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

03/30/2009

17

Page 6 of 16

AFFIRMATION of Reed M. Brodsky in Support by USA requesting a 30-day
continuance from 3/30/09 to 4/29/09 as to Arthur G. Nadel (aba) [1:09-mj-00169-UA]
(Entered: 03/31/2009)

03/30/2009

ORDER TO CONTINUE IN THE INTEREST OF JUSTICE as to Arthur G. Nadel re:
8 Order to Continue - Interest of Justice. Time excluded from 3/30/09 until 4/29/09.
Follows oral order of 3/30/09. (Signed by Magistrate Judge Michael H. Dolinger on
3/30/09)(aba) [1:09-mj-00169-UA] (Entered: 03/31/2009)

04/15/2009

Minute Entry for proceedings held before Magistrate Judge Kevin Nathaniel
Fox:Substitution of Counsel Hearing as to Arthur G. Nadel held on 4/15/2009. Barry
Cohen, Esq and Henry Mazurek, Esq. Released from the Obligation to Represent
Arthur G. Nadel. Mark Gombiner, Esq, Assigned to Represent Arthur Nadel. (dif)
[1:09-mj-00169-UA] (Entered: 04/15/2009)

04/28/2009

18

04/28/2009

INDICTMENT FILED as to Arthur G. Nadel (1) count(s) 1-6, 7, 8-15. (jm) (Entered:
05/04/2009)
Case Designated ECF as to Arthur G. Nadel. (jm) (Entered: 05/04/2009)

05/15/2009

19

SPEEDY TRIAL ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT
as to Arthur G. Nadel. The dft may make a submission requesting modification of the
dft's bail conditions by 5/15/09. The Gov't should respond by 5/22/09. A bail hearing
is scheduled for 6/4/09 at 3 p.m. Another conference is scheduled for 6/25/09 at 4:30
p.m. Because an adjournment is needed to assure the effective assistance of counsel, to
allow the Gov't to produce discovery to the dft, and to allow counsel for dft to review
discovery and to decide what motions, if any to bring, the Court prospectively
excludes the time from today, 4/30/09, until 6/25/09 from Speedy Trial Act
calculations. ( Responses due by 5/22/2009, Bail Hearing set for 6/4/2009 at 03:00 PM
before Judge John G. Koeltl, Pretrial Conference set for 6/25/2009 at 04:30 PM before
Judge John G. Koeltl.). (Signed by Judge John G. Koeltl on 4/30/09)(ja) (Entered:
05/18/2009)

05/20/2009

20

ENDORSED LETTER: As to Arthur G. Nadel addressed to Judge John G. Koetl from
Mark B. Gombiner dated 5/13/2009. re: With the consent of the government, we
request that the bail modification hearing for Mr. Nadel, presently scheduled for June
4,2009, be adjourned until June 1,2009 and that the time for Mr. Nadel to file a written
submission in support of the application also be extended for one week from May
15,2009 until May 22,2009. The government's response would be due on May 29,
2009. ENDORSEMENT: Application Granted. Hearing adjourned to June 16, 2009 at
4:00 p.m. So Ordered. (Signed by Judge John G. Koeltl on 5/20/2009)(dnd) (Entered:
05/20/2009)

05/22/2009

21

MOTION for Bond. Document filed by Arthur G. Nadel. Return Date set for
6/16/2009 at 04:00 PM. (Gombiner, Mark) (Entered: 05/22/2009)

05/22/2009

22

MEMORANDUM in Support by Arthur G. Nadel re 21 MOTION for Bond..
(Attachments: # 1 Exhibit Receiver's Report, # 2 Affidavit Arthur Nadel Affirmation,
# 3 Exhibit Nadel Medical Records, # 4 Exhibit government discovery letter)
(Gombiner, Mark) (Entered: 05/22/2009)

05/22/2009

23

TRANSCRIPT of Proceedings (Arraignment) as to Arthur G. Nadel held on April 30,
2009 12:25 p.m. before Judge John G. Koeltl. (bw) (Entered: 05/27/2009)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 7 of 16

05/30/2009

24

MEMORANDUM in Opposition by USA as to Arthur G. Nadel re 21 MOTION for
Bond.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5
Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, #
11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N)(Douvas, Maria)
(Entered: 05/30/2009)

06/12/2009

25

REPLY MEMORANDUM OF LAW in Support as to Arthur G. Nadel re: 21
MOTION for Bond.. (Attachments: # 1 Exhibit Receiver's Second Interim Report, # 2
Exhibit Investor letter, # 3 Exhibit Criminal Complaint)(Gombiner, Mark) (Entered:
06/12/2009)

06/16/2009

Minute Entry for proceedings held before Judge John G. Koeltl:Initial Appearance as
to Arthur G. Nadel held on 6/16/2009. (jw) (Entered: 06/22/2009)

06/16/2009

Minute Entry for proceedings held before Judge John G. Koeltl:Bond Hearing as to
Arthur G. Nadel held on 6/16/2009 as to Arthur G. Nadel( Bond Hearing set for
6/25/2009 at 04:30 PM before Judge John G. Koeltl.) Government present by Maria
Douvas, AUSA. Deft Nadel, present with atty Marc Gombiner. Continued to 6/25/09
at 4:30pm, time excluded deft continued remanded. (jw) (Entered: 06/22/2009)

06/23/2009

26

ORDER as to Arthur G. Nadel. The Court has received the attached letter which it
forwards to the parties. The address and fax line are redacted. So Ordered. (Signed by
Judge John G. Koeltl on 6/22/09)(bw) (Entered: 06/23/2009)

06/25/2009

27

SEALED DOCUMENT placed in vault. (jri) (Entered: 06/25/2009)

06/25/2009

28

ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT: As to Arthur G.
Nadel. The conference presently scheduled for June 25, 2009 is adjourned to July 9,
2009 at 4:30 p.m. The court prospectively excludes the time from today, June 24,
2009, until July 9, 2009 from Speedy Trial Act calculations. The Court finds that the
ends of justice served by granting the continuance outweigh the best interest of the
defendant and the public in a speedy trial. This Order is entered pursuant to 18 U.S.C.
§ 3161(h)(7)(A). SO ORDERED. (Signed by Judge John G. Koeltl on 6/24/2009)
(dnd) (Entered: 06/25/2009)

07/07/2009

29

REPLY TO RESPONSE to Motion by Arthur G. Nadel re 21 MOTION for Bond..
(Gombiner, Mark) (Entered: 07/07/2009)

07/09/2009

30

ORDER as to Arthur G. Nadel. The Court requests that a representative of the receiver
be present for the bail hearing scheduled for July 9, 2009 at 4:30p.m. The Court asks
the Government to inform the receiver of this Order. (Signed by Judge John G. Koeltl
on 7/8/2009) (jar) (Entered: 07/09/2009)

07/10/2009

31

SPEEDY TRIAL ORDER: A conference is scheduled for August 19, 2009 at 4:30
p.m. The Court prospectively excludes the time from today, July 9, 2009, until August
19, 2009 from Speedy Trial Act calculations. The Court finds that the ends of justice
served by granting the continuance outweigh the best interest of the defendant and the
public in a speedy trial. This Order is entered pursuant to 18 U.S.C. § 3161(h)(7)(A).
(Signed by Judge John G. Koeltl on 7/9/2009)(jar) (Entered: 07/10/2009)

07/10/2009

32

ORDER: The conditions of the defendant's bail are adjusted as set forth on the record
at the conference in this matter on July 9, 2009. This Order is stayed until July 16,
2009 in order to allow the Government to determine whether it wishes to appeal the

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 8 of 16

Court's adjustment of the conditions of the defendant'sbail. (Signed by Judge John G.
Koeltl on 7/10/2009)(jar) (Entered: 07/10/2009)
07/20/2009

33

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on July 9, 2009 at 4:43 pm
before Judge John G. Koeltl. (eef) (Entered: 07/21/2009)

08/06/2009

34

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 6/16/09 before Judge
John G. Koeltl. (ldi) (Entered: 08/13/2009)

08/20/2009

35

ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT. As to Arthur G.
Nadel. A conference is scheduled for September 25, 2009 at 4:30 p.m. The Court
prospectively excludes the time from today, August 19, 2009, until September 25,
2009 from Speedy Trial Act calculations. The Court finds that the ends of justice
served by granting the continuance outweigh the best interest of the defendant and the
public in a speedy trial. This Order is entered pursuant to 18 U.S.C. § 3161(h) (7) (A).
SO ORDERED. (Signed by Judge John G. Koeltl on 8/19/2009)(dnd) (Entered:
08/20/2009)

08/27/2009

37

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 8/19/09 before Judge
John G. Koeltl. (ama) (Entered: 09/23/2009)

09/09/2009

36

ORDER as to Arthur G. Nadel. The Court has received the letter from Mr. Wiand, the
Receiver, dated September 2, 2009. The Court notes that the Receiver argues that the
production of the records would violate the order under which he was appointed,
although the Receiver is prepared to produce the documents provided that the cost of
duplication is borne by the parties in the criminal case pending in this Court. The
parties should attempt to resolve the matter by a mutually agreeable method of paying
for the duplication of the documents. If the issue is not resolved, the Court is prepared
to listen to all of the parties including the Receiver and the SEC at the next conference
scheduled in this matter on September 25, 2009 at 4:30 p.m. The Receiver and the
SEC can appear by telephone. So Ordered. (Signed by Judge John G. Koeltl on 9/9/09)
(bw) (Entered: 09/09/2009)

09/24/2009

38

FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT (LETTER)
- MOTION to Modify Conditions of Release. Document filed by Arthur G. Nadel.
Return Date set for 9/25/2009 at 04:00 PM. (Attachments: # 1 Exhibit transcript
excerpt, # 2 Exhibit Nadel letter to Receiver, # 3 Exhibit Order from Middle Dist. of
Florida, # 4 Exhibit Letter from Receiver)(Gombiner, Mark) Modified on 9/25/2009
(jar). (Entered: 09/24/2009)

09/24/2009

***NOTE TO ATTORNEY THAT THE ATTEMPTED FILING OF Document No.
38 as to Defendant(s) Arthur G. Nadel: HAS BEEN REJECTED. Note to Attorney
Mark Gombiner : Other than letters filed under a cover marked Sentencing
Memorandum, THE CLERK'S OFFICE DOES NOT ACCEPT LETTERS FOR
FILING either through ECF or otherwise, except where the judge has ordered that a
particular letter be docketed. Letters may be sent directly to a judge. (jar) (Entered:
09/25/2009)

09/25/2009

Minute Entry for proceedings held before Judge John G. Koeltl: Pretrial Conference as
to Arthur G. Nadel held on 9/25/2009. Deft present w/atty Mark Gombiner. AUSA
Reed Brodsky. Reporter Jerry Harrison. Pretrial conference. Adjourned to 10/16/2009
at 11:30am. Time excluded from 9/25/2009 to 10/16/2009. Deft continued detained in
lieu of bail. (bw) (Entered: 09/28/2009)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

09/25/2009

Page 9 of 16

ORAL ORDER as to Arthur G. Nadel. Time excluded from 9/25/09 until 10/16/09.
Pretrial Conference set for 10/16/2009 at 11:30 AM before Judge John G. Koeltl.(bw)
(Entered: 09/28/2009)

09/28/2009

39

ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT: As to Arthur G.
Nadel. A conference is scheduled for October 16, 2009 at 11:30 am. The Court
prospectively excludes the time from today, September 25, 2009, until October 16,
2009 from Speedy Trial Act calculations. The Court finds that the ends of justice
served by granting the continuance outweigh the best interest of thedefendant and the
public in a speedy trial. This Order is entered pursuant to 18 U.S.C. § 3161(h) (8) (A).
SO ORDERED. (Signed by Judge John G. Koeltl on 9/25/2009)(dnd) (Entered:
09/28/2009)

10/07/2009

40

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge John G. Koeltl from
Carol C. Wilkes dated 9/17/2009. re: As a victim of Arthur Nadel's "Ponzi", I am
thoroughly disgusted with him and his efforts to keep his acquisitions and money and
his wish to be free... ENDORSEMENT: This letter should be filed. SO ORDERED.
(Signed by Judge John G. Koeltl on 10/7/2009)(dnd) (Entered: 10/07/2009)

10/08/2009

41

SEALED DOCUMENT placed in vault. (nm) (Entered: 10/08/2009)

10/13/2009

42

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge Koeltl from AUSA
Reed Brodsky/Maria Douvas dated 10/8/09 re: the Government requests an additional
week until October 16, 2009 to respond to Nadel's October 2 supplemental letter
requesting a modification to the bail conditions, and to postpone the next conference
from October 16 to anytime on October 23. ENDORSEMENT: Application granted.
So Ordered. (Signed by Judge Kevin Thomas Duffy on 10/9/09)(bw) (Entered:
10/13/2009)

10/13/2009

Terminate Deadlines and Hearings as to Arthur G. Nadel: Terminated Pretrial
Conference set for October 16, 2009 at 11:30 am before Judge John G. Koeltl.. (bw)
(Entered: 10/13/2009)

10/14/2009

43

ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT: As to Arthur G.
Nadel. The parties are directed to appear for a conference on Friday, October 23, 2009
at 12:00pm before the Honorable John G. Koeltl. The Court prospectively excludes
the time from today until October 23, 2009 in calculating the speedy trial date under
18 U.S.C. 3161 in order to assure effective assistance of counsel and because the ends
of justice served by such a continuance outweigh the best interest of the public and the
defendant in a speedy trial pursuant to 18 U.S.C. § 3161(h)(7)(A). SO ORDERED.
(Signed by Judge John G. Koeltl on 10/13/2009)(dnd) (Entered: 10/14/2009)

10/16/2009

45

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 9/25/09 before Judge
John G. Koeltl. (ldi) (Entered: 10/19/2009)

10/17/2009

44

RESPONSE to Motion by USA as to Arthur G. Nadel re 38 MOTION to Modify
Conditions of Release.. (Brodsky, Reed) (Entered: 10/17/2009)

10/26/2009

46

ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT: As to Arthur G.
Nadel. For the reasons stated on the record at today's hearing, the defendant's
application for modification of his conditions of release is denied. Another conference
is scheduled for November 13, 2009 at 4:00pm. The Court excludes the time from
today, October 23, 2009, until November 13, 2009 from Speedy Trial Act calculations.

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 10 of 16

This Order is entered pursuant to 18 U.S.C. § 3161(h) (7) (A).SO ORDERED. (Signed
by Judge John G. Koeltl on 10/23/2009)(dnd) (Entered: 10/26/2009)
10/28/2009

47

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 9/25/09 before Judge
John G. Koeltl. (ldi) (Entered: 11/02/2009)

11/10/2009

48

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 10/23/2009 at 12:34 p.m.
before Judge John G. Koeltl. (mbe) (Entered: 11/13/2009)

11/13/2009

49

SPEEDY TRIAL ORDER as to Arthur G. Nadel. The parties are directed to appear for
a conference on Friday, December 11, 2009 at 10:00am before the Honorable John G.
Koeltl. The Court prospectively excludes the time from today until December 11,
2009 in calculating the speedy trial date under 18 U.S.C. 3161. (Signed by Judge John
G. Koeltl on 11/12/09)(bw) (Entered: 11/13/2009)

12/08/2009

50

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on 10/23/09 before Judge
John G. Koeltl. (djc) (Entered: 12/09/2009)

12/11/2009

Minute Entry for proceedings held before Judge John G. Koeltl:Pretrial Conference as
to Arthur G. Nadel held on 12/11/2009 as to Arthur G. Nadel( Pretrial Conference set
for 4/20/2010 at 04:30 PM before Judge John G. Koeltl.) Deft pres w/atty Mark
Gombiner. AUSA Reed Brodsky. Reporter Vincent Bologna. Pretrial conference.
Hearing on motions 3/26/2010 at 2:30pm. Final pretrial conference 4/20/2010 at
4:30pm. Trial date 4/26/2010. Time excluded from 12/11/2009 to 4/26/2010. Deft
contd detained. (jw) (Entered: 12/11/2009)

12/15/2009

51

ORDER: As to Arthur G. Nadel. As stated on the record at the conference on
December 11, 2009, motions are due by January 22, 2010. Responses are due by
February 12, 2010. Replies, if any, are due by February 26, 2010. A hearing on the
motions is scheduled for March 26, 2010, at 2:30 p.m. The Government's notice of its
intention to offer any Rule 404(b) evidence is due by March 26, 2010. Requests to
charge and proposed voir dire are due by April 7, 2010. Replies are due by April 9,
2010. Motions in limine are due by April 9, 2010. Responses are due by April 14,
2010. Replies, if any, are due by April 16, 2010. The final pre-trial conference is
scheduled for April 20, 2010 at 4:30 p.m. Trial is scheduled to begin on April 26, 2010
at 9:00 a.m. In order to assure the effective assistance of counsel, because of the
complexity of this case and the volume of discovery, and to allow the defendant to
make motions and the Court to decide them, at the conference on December 11, 2009,
the Court prospectively excluded the time from December 11, 2009, until April 26,
2010, from Speedy Trial Act calculations, and now confirms that exclusion. The Court
finds that the ends of justice served by granting the continuance outweigh the best
interest of the defendant and the public in a speedy trial. This Order is entered
pursuant to 18 U.S.C. § 3161(h) (7) (A). The time between the making of motions and
the Court's decision on the motions would be excludable independently under 18
U.S.C. § 3161 (h) (1) (D). SO ORDERED. (Signed by Judge John G. Koeltl on
12/14/2009)(dnd) (Entered: 12/15/2009)

12/17/2009

52

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge Koeltl from AUSAs
Reed Brodsky / Maria Douvas dated 12/15/09 re: the Government requests that the
Court reschedule the hearing on the defendant's pretrial motions from March 26, 2009
to any of the following dates: March 11, 12, 18, or 19. ENDORSEMENT: Hearing
will be held on Friday, March 12, 2010 at 2:30 p.m. So Ordered. (Signed by Judge

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 11 of 16

John G. Koeltl on 12/17/09)(bw) (Entered: 12/17/2009)
01/19/2010

53

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge John G. Koeltl from
Attorneys Mark B. Gombiner, Colleen P. Cassidy, dated January 15, 2010 re: We
propose the following schedule - Defense motions to be filed on February 5,
Government's response to be filed on February 26, Defense reply to be filed on March
12. ENDORSEMENT: Application Granted. So Ordered. (Signed by Judge John G.
Koeltl on 1/19/2010)(bw) (Entered: 01/19/2010)

01/26/2010

54

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on December 11, 2009 at
10:15 am before Judge John G. Koeltl. (eef) (Entered: 01/29/2010)

01/26/2010

55

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on December 11, 2009 at
10:15 am before Judge John G. Koeltl. (eef) (Entered: 02/01/2010)

02/04/2010

56

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge Koeltl from Attorney
Mark B. Gombiner dated February 2, 2010 re: The parties jointly request that the
motions schedule for this matter be continued sine die. ENDORSEMENT: The current
motion schedule is adjourned. The parties should advise the Court of the status of this
case by 2/16/10. So Ordered. (Signed by Judge John G. Koeltl on 2/3/2010)(bw)
(Entered: 02/04/2010)

02/24/2010

Minute Entry for proceedings held before Judge John G. Koeltl: Change of Plea
Hearing as to Arthur G. Nadel held on 2/24/2010. Defendant present w/atty Mark
Gombiner. AUSA Reed Brodsky. Reporter present. Defendant changes plea of not
guilty and pleads guilty to all 15 counts of indictment. Sentence date 6/11/2010 at
10:00am. PSI ordered. Defendant continued detained. (bw) (Entered: 04/23/2010)

02/24/2010

Change of Not Guilty Plea to Guilty Plea as to Arthur G. Nadel (1) Count 1-6,7,8-15.
(bw) (Entered: 04/23/2010)

02/24/2010

Minute Entry for proceedings held before Judge John G. Koeltl: Plea entered by
Arthur G. Nadel (1) Guilty as to Count 1-6,7,8-15. (bw) (Entered: 04/23/2010)

02/24/2010

Order of Referral to Probation for Presentence Investigation and Report as to Arthur
G. Nadel. (bw) (Entered: 04/23/2010)

02/24/2010

ORAL ORDER as to Arthur G. Nadel. Sentencing set for 6/11/2010 at 10:00 AM
before Judge John G. Koeltl. (bw) (Entered: 04/23/2010)

02/25/2010

57

ORDER: As to Arthur G. Nadel, As stated on the record at today's hearing, sentencing
is scheduled for June 11, 2010 at 10:00 a.m. For the reasons stated on the record, the
defendant's bail is revoked and the defendant is ordered to be detained pending
sentencing. The Court recommends that the defendant remain at the Metropolitan
Correctional Center. SO ORDERED. (Signed by Judge John G. Koeltl on 2/24/2010)
(dnd) (Entered: 02/25/2010)

03/01/2010

58

TRANSCRIPT of Proceedings as to Arthur G. Nadel held on February 24, 2010
before Judge John G. Koeltl. (djc) (Entered: 03/05/2010)

05/25/2010

59

ORDER: As to Arthur G. Nadel. The defendant shall make any sentencing
submissions by September 3, 2010. The Government shall file any responses by
September 9, 2010. Sentencing is adjourned to Friday, September 17, 2010 at 3:30pm.
SO ORDERED. (Signed by Judge John G. Koeltl on 5/25/2010)(dnd) (Entered:

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 12 of 16

05/25/2010)
05/25/2010

***DELETED DOCUMENT. Deleted document number 60 Speedy Trial Order, as to
Arthur G. Nadel. The document was incorrectly filed in this case. (dnd) (Entered:
05/26/2010)

06/08/2010

60

SEALED DOCUMENT placed in vault. (nm) (Entered: 06/08/2010)

06/14/2010

61

SEALED DOCUMENT placed in vault. (nm) (Entered: 06/14/2010)

07/22/2010

62

SENTENCING MEMORANDUM by USA as to Arthur G. Nadel. (Attachments: # 1
Exhibit 11 to 22, # 2 Exhibit 23 to 29, # 3 Exhibit 30 to 32, # 4 Exhibit 33 to 44, # 5
Exhibit 45 to 59, # 6 Exhibit 60 to 66, # 7 Exhibit 67 to 79)(Brodsky, Reed) (Entered:
07/22/2010)

08/30/2010

63

ORDER as to Arthur G. Nadel: The defendant shall make any sentencing submissions
by 9/24/2010. The Government shall submit any responses by 9/30/2010. Sentencing
in this matter is scheduled for 10/8/2010 at 02:30 PM before Judge John G. Koeltl. SO
ORDERED. (Signed by Judge John G. Koeltl on 8/27/2010)(ab) (Entered:
08/30/2010)

09/24/2010

65

SENTENCING MEMORANDUM by Arthur G. Nadel, dated September 24, 2010.
(bw) (Entered: 09/27/2010)

09/27/2010

64

SENTENCING MEMORANDUM by Arthur G. Nadel. (Gombiner, Mark) (Entered:
09/27/2010)

09/27/2010

66

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge Koeltl from Colleen
P. Cassidy dated 9/27/2010 re: Therefore, we request permission to file the exhibits to
the Defendant's Sentencing memorandum in paper...ENDORSEMENT...Application
Granted. SO ORDERED. (Signed by Judge John G. Koeltl on 9/27/2010)(jw)
(Entered: 09/27/2010)

10/04/2010

67

ORDER as to Arthur G. Nadel. Sentence in this matter is adjourned to Thursday,
October 14, 2010 at 2:30 p.m. So Ordered. (Signed by Judge John G. Koeltl on
10/1/2010)(bw) (Entered: 10/04/2010)

10/08/2010

68

SENTENCING MEMORANDUM by Arthur G. Nadel. (Gombiner, Mark) (Entered:
10/08/2010)

10/12/2010

69

ORDER as to Arthur G. Nadel. Other than victim impact statements, the Court does
not appear to have any submission by the Gov't in connection with sentencing. The
Gov't should submit any sentencing memorandum by 10/13/2010, and, in particular,
its submission with respect to whether the Court should impose a four-level
enhancement under the Guidelines for an investment advisor. SO ORDERED. ( Brief
due by 10/13/2010.) (Signed by Judge John G. Koeltl on 10/11/2010)(ja) (Entered:
10/12/2010)

10/13/2010

70

ORDER: As to Arthur G. Nadel. Sentencing in this matter is hereby adjourned until
Thursday, October 21, 2010 at 4:30pm. SO ORDERED. (Signed by Judge John G.
Koeltl on 10/12/2010)(dnd) (Entered: 10/13/2010)

10/13/2010

71

SENTENCING MEMORANDUM by USA as to Arthur G. Nadel. (Attachments: # 1
Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 13 of 16

(Brodsky, Reed) (Entered: 10/13/2010)
10/13/2010

72

SENTENCING MEMORANDUM by USA as to Arthur G. Nadel. (Attachments: # 1
Exhibit 80, # 2 Exhibit 81, # 3 Exhibit 82, # 4 Exhibit 83, # 5 Exhibit 84, # 6 Exhibit
85, # 7 Exhibit 86, # 8 Exhibit 87, # 9 Exhibit 88, # 10 Exhibit 89, # 11 Exhibit 90, #
12 Exhibit 91, # 13 Exhibit 92, # 14 Exhibit 93, # 15 Exhibit 94, # 16 Exhibit 95, # 17
Exhibit 96)(Brodsky, Reed) (Entered: 10/13/2010)

10/15/2010

73

SENTENCING MEMORANDUM by Arthur G. Nadel. (Gombiner, Mark) (Entered:
10/15/2010)

10/19/2010

74

FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU SENTENCING MEMORANDUM by USA as to Arthur G. Nadel(RESPONSE).
(Brodsky, Reed) Modified on 10/20/2010 (KA). (Entered: 10/19/2010)

10/20/2010

NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR.
Note to Attorney Reed Michael Brodsky as to Arthur G. Nadel: to RE-FILE
Document 74 Sentencing Memorandum. Use the document type Response(nonmotion) found under the document list Other Documents. (KA) (Entered: 10/20/2010)

10/20/2010

75

RESPONSE by USA as to Arthur G. Nadel re: 73 Sentencing Memorandum filed by
Arthur G. Nadel. (Brodsky, Reed) (Entered: 10/20/2010)

10/20/2010

76

FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT SENTENCING MEMORANDUM by USA as to Arthur G. Nadel(GOVERNMENT'S
SUPPLEMENTAL SUBMISSION OF REDACTED VICTIM IMPACT
STATEMENTS). (Attachments: # 1 Exhibit 97, # 2 Exhibit 98, # 3 Exhibit 99)
(Brodsky, Reed) Modified on 10/21/2010 (KA). (Entered: 10/20/2010)

10/21/2010

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT
ERROR. Note to Attorney Reed Michael Brodsky as to Arthur G. Nadel: to
MANUALLY RE-FILE Document, Document No. 76 Supplemental Submission of
Redacted Victim Impact Statements. This document is not filed via ECF. (KA)
(Entered: 10/21/2010)

10/21/2010

Minute Entry for proceedings held before Judge John G. Koeltl: Sentencing held on
10/21/2010 for Arthur G. Nadel (1) Count 1-6,7,8-15. (dnd) (Entered: 12/06/2010)

11/22/2010

77

ORDER as to Arthur G. Nadel. The Government shall provide a list of victims, with
redacted addresses, by Monday, November 29, 2010. SO ORDERED. (Signed by
Judge John G. Koeltl on 11/19/10)(jw) (Entered: 11/22/2010)

12/02/2010

78

PRELIMINARY ORDER OF FORFEITURE/FINAL ORDER OF FORFEITURE AS
TO DEFENDANT'S INTEREST IN SPECIFIC PROPERTY as to Arthur G. Nadel.
On or about April 28, 2009, ARTHUR NADEL, (the "defendant"), was charged in a
fifteen-count Indictment 09 Cr. 433 (JGK) (the "Indictment"), with, securities
fraud,...., the Indictment includes forfeiture allegations.... that constitutes or is derived
from proceeds traceable to the commission of the fraud offenses.... a) A sum of money
equal to $162,000,000 in U.S. currency, representing the amount of proceeds obtained
as a result of the fraud offenses alleged in Counts One through Fifteen of the
Indictment.... NOW, THEREFORE, IT IS ORDERED, ADJUDGED AND
DECREED THAT: 1) As a result of the offenses charged in Counts One through
fifteen of the Indictment, to which the defendant entered a guilty plea, a Money

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 14 of 16

Judgment in the amount of $162,000,000 shall be entered against the defendant, as
such sum represents property, real and personal, derived from the offense charged in
Counts One through Fifteen of the Indictment.... SO ORDERED. (Signed by Judge
John G. Koeltl on 10/21/2010) The Clerks Office Has Mailed Copies. (ja) (Entered:
12/02/2010)
12/03/2010

79

ORDER: As to Arthur G. Nadel. The Bureau of Prisons is requested to designate
Arthur Nadel to a correctional facility as soon as possible, in view of his age and
medical condition. The government is requested to convey this Order to the Bureau of
Prisons and U.S.Marshal. SO ORDERED. (Signed by Judge John G. Koeltl on
12/2/2010)(dnd) (Entered: 12/03/2010)

12/03/2010

80

ORDER: As to Arthur G. Nadel. Given the age and physical condition of the
defendant, Arthur Nadel, the United States Marshals Service is requested to transfer
the defendant by air to his designated correctional facility. The Government is
requested to convey this Order to the Bureau of Prisons and the U.S. Marshal. SO
ORDERED. (Signed by Judge John G. Koeltl on 12/2/2010)(dnd) (Entered:
12/03/2010)

12/03/2010

81

Waiver of Appearance: As to Arthur G. Nadel. I waive any further appearances,
including any conferences or hearings in connection with the restitution order. (dnd)
(Entered: 12/03/2010)

12/03/2010

83

NOTICE OF APPEAL by Arthur G. Nadel from 82 Judgment. (tp) (Entered:
12/08/2010)

12/03/2010

Appeal Remark as to Arthur G. Nadel re: 83 Notice of Appeal - Final Judgment. NO
FEE. FEDERAL DEFENDERS OF NEW YORK, INC. (tp) (Entered: 12/08/2010)

12/03/2010

Judgment entered in money judgment book as #10,2170 as to Arthur G. Nadel in the
amount of $ 174931811.07, re: 82 Judgment. (ml) (Entered: 12/14/2010)

12/06/2010

12/08/2010

82

JUDGMENT: As to Arthur G. Nadel (1), Count(s) 1-6, 7, 8-15, Imprisonment: 168
months, to run concurrently on counts 1 through 15. Supervised Release: 3 years to
run concurrently on counts 1 through 15. The court makes the following
recommendations to the Bureau of Prisons: That the defendant be incarcerated at FMC
Butner, North Carolina. The drug testing condition is suspended, based on the court's
determination that the defendant poses a low risk of future substance abuse. The
defendant shall not possess a firearm, ammunition, destructive device, or any other
dangerous weapon. The defendant shall cooperate in the collection of DNA as directed
by the probation officer. The defendant is to adhere to the Additional Supervised
Release terms as indicated on page 3a of this document. The defendant is to pay an
assessment fee of $1,500.00 as a lump sum payment due immediately. Restitution in
the amount of $174,930,211.07 shall be payable at the rate of 10% of the defendant's
gross monthly income, to begin 30 days after the defendant's release from
incarceration. The defendant shall forfeit the defendant's interest in the following
property to the United States:$162 million in U.S. currency. The specified Property in
the attached order of forfeiture. (Signed by Judge John G. Koeltl on 12/3/2010)(dnd)
(Entered: 12/06/2010)
Transmission of Notice of Appeal and Certified Copy of Docket Sheet as to Arthur G.
Nadel to US Court of Appeals re: 83 Notice of Appeal - Final Judgment. (tp) (Entered:
12/08/2010)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

12/08/2010

Page 15 of 16

Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal
Electronic Files as to Arthur G. Nadel re: 83 Notice of Appeal - Final Judgment, 71
Sentencing Memorandum, 74 Sentencing Memorandum, 51 Order, Set
Deadlines/Hearings, 72 Sentencing Memorandum, 32 Order, 21 MOTION for Bond,
22 Memorandum in Support of Motion, 36 Order, Set Hearings, 78 Order, 70 Order,
Set Hearings, 46 Order to Continue - Speedy Trial, Set Hearings, 26 Order, 38
MOTION to Modify Conditions of Release, 79 Order, 25 Reply Memorandum of Law
in Support of Motion, 75 Response, 57 Order, Set Hearings, 31 Order, Set
Deadlines/Hearings, 56 Endorsed Letter, Set Deadlines/Hearings, 62 Sentencing
Memorandum, 66 Endorsed Letter, 35 Order to Continue - Speedy Trial, Set Hearings,
28 Order to Continue - Speedy Trial, Set Hearings, 43 Order to Continue - Speedy
Trial, Set Hearings, 44 Response to Motion, 39 Order to Continue - Speedy Trial, Set
Hearings, 82 Judgment, 73 Sentencing Memorandum, 30 Order, 5 MOTION to
Remand Arthur G. Nadel, 81 Remark, 77 Order, 53 Endorsed Letter, Set
Deadlines/Hearings, 42 Endorsed Letter, Set Deadlines/Hearings, 76 Sentencing
Memorandum, 19 Order to Continue - Speedy Trial, Set Deadlines/Hearings, 49
Order, Set Hearings, 68 Sentencing Memorandum, 63 Order, Set Hearings, 80 Order,
18 Indictment, 64 Sentencing Memorandum, 52 Endorsed Letter, Set
Deadlines/Hearings, 20 Endorsed Letter, Set Deadlines/Hearings, 59 Order, Set
Deadlines/Hearings, 69 Order, Set Deadlines/Hearings, 24 Memorandum in
Opposition to Motion, 40 Endorsed Letter, 29 Reply to Response to Motion, 67 Order,
Set Hearings were transmitted to the U.S. Court of Appeals. (tp) (Entered: 12/08/2010)

12/14/2010

84

SEALED DOCUMENT placed in vault. (cb) (Entered: 12/14/2010)

03/09/2011

85

MANDATE of USCA (certified copy) as to Arthur G. Nadel re: 83 Notice of Appeal Final Judgment, USCA Case Number 10-5001-cr. The parties have filed a stipulation
withdrawing the appeal with prejudice pursuant to FRAP 42. The stipulation hereby so
ordered. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit, Clerk USCA.
Issued As Mandate: 03/08/2011. (nd) (Entered: 03/09/2011)

06/15/2011

86

MOTION for Kelly R. Melchiondo to Appear Pro Hac Vice. Document filed by Wells
Fargo Bank, N.A. as to Arthur G. Nadel. (pgu) (Entered: 06/17/2011)

06/15/2011

87

MOTION for Ana T. Barnett to Appear Pro Hac Vice. Document filed by Wells Fargo
Bank, N.A. as to Arthur G. Nadel. (pgu) (Entered: 06/17/2011)

06/20/2011

88

ORDER granting 87 Motion for Ana T. Barnett to Appear Pro Hac Vice as to Arthur
G. Nadel (1). (Signed by Judge John G. Koeltl on 6/19/2011) (ja) (Entered:
06/20/2011)

06/20/2011

89

ORDER granting 86 Motion for Kelly R. Melchiondo to Appear Pro Hac Vice as to
Arthur G. Nadel (1). (Signed by Judge John G. Koeltl on 6/19/2011) (ja) (Entered:
06/20/2011)

06/21/2011

06/24/2011

CASHIERS OFFICE REMARK as to Arthur G. Nadel on 86 Motion to Appear Pro
Hac Vice, 87 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on
06/15/2011, Receipt Number 9347. (jd) (Entered: 06/21/2011)
90

THIRD PARTY MOTION for Hearing to Adjudicate the Interest of Wells Fargo
Bank. Document filed by Wells Fargo Bank, N.A. as to Arthur G. Nadel.
(Melchiondo, Kelly) (Entered: 06/24/2011)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012

SDNY CM/ECF Version 4.2

Page 16 of 16

07/02/2011

91

AMENDED PETITION IN RESPONSE TO FORFEITURE ORDER by Wells Fargo
Bank, N.A. as to Arthur G. Nadel re: 90 THIRD PARTY MOTION for Hearing to
Adjudicate the Interest of Wells Fargo Bank. filed by Wells Fargo Bank, N.A.
Corrected Verified Petition (Attaching Exhibits Inadvertently Omitted). (Attachments:
# 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Melchiondo, Kelly) (Entered: 07/02/2011)

02/03/2012

92

ORDER as to Arthur G. Nadel. A verified petition was filed in this case on July 2,
2011 by Wells Fargo Bank, N.A., to adjudicate its alleged interest in a North Carolina
property that is subject to this Court's Order of Forfeiture. The Government should
respond to the petition by February 10, 2012. The Court notes that there is a
proceeding in the Middle District of Florida that relates to the property at issue. In its
response, the Government should address where it believes the status of the property
should be adjudicated. SO ORDERED. (Signed by Judge John G. Koeltl on 2/3/2012)
(bw) (Entered: 02/03/2012)

02/14/2012

93

STIPULATION AND ORDER as to Arthur G. Nadel: The Preliminary Order of
Forfeiture/Final Order of Forfeiture as to Defendant's Interest in Specific Property is
vacated as to the Laurel Mountain Preserve Property, as further set forth within.
(Signed by Judge John G. Koeltl on 2/10/2012) (ab) (Entered: 02/14/2012)

02/14/2012

94

ENDORSED LETTER as to Arthur G. Nadel addressed to Judge John G. Koeltl, from
Jeffrey Alberts, AUSA, dated 2/20/2010, re: in response to a verified petition filed by
Wells Fargo Bank, N.A. ("Wells Fargo"), as this Court directed in an Order entered
February 3, 2012 (the "Order"). Wells Fargo's petition concerns a North Carolina
property listed in a preliminary order of forfeiture in this case.... Entry of the enclosed
proposed stipulation and order would vacate the Government's assertion of an interest
in the North Carolina property as property subject to forfeiture. The Government is not
aware of any reasons for the status of the property to be further adjudicated before this
Court. -- Judge endorsed: The Court has signed the Stipulation. However, the Court
notes that any papers in this case should always be copied to defendant's counsel. So
ordered. (Signed by Judge John G. Koeltl on 2/10/2012)(ja) (Entered: 02/14/2012)

02/29/2012

95

FIRST MOTION to Vacate Preliminary Order of Forfeiture as to Specific Properties.
Document filed by USA as to Arthur G. Nadel. (Attachments: # 1 Exhibit Receiver's
Tenth Interim Report, # 2 Exhibit Receiver's Distribution Motion without Exhibits, # 3
Exhibit Proposed Order)(Alberts, Jeffrey) (Entered: 02/29/2012)

https://ecf.nysd.uscourts.gov/cgi-bin/DktRpt.pl?118409725920062-L_452_0-1

3/1/2012