PRIOR

U.S. District Court
Southern District of New York (Foley Square)
CRIMINAL DOCKET FOR CASE #: 1:03-cr-00404-WHP All Defendants


Case title: USA v. Giffen et al.
Magistrate judge case number: 1:03-mj-00663

Date Filed: 04/02/2003
Date Terminated: 11/23/2010

Assigned to: Judge William H. Pauley, III

Defendant (1)
James H. Giffen
TERMINATED: 11/23/2010
represented byDaniel Harold Davis
Cooley LLP (NY)
1114 Avenue of the Americas
New York, NY 10036
(212) 479-6360
Fax: 212) 479-6275
Email: ddavis@cooley.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Jonathan Paul Bach
Cooley Godward Kronish LLP
1114 Avenue of the Americas
New York, NY 10036
212-479-6470
Fax: 212-208-2634
Email: jbach@cooley.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Kathleen Elizabeth Cassidy
Hafetz Necheles & Rocco
500 Fifth Avenue
29th Floor
New York, NY 10110
(212)-997-7595
Fax: (212) 997-7646
Email: kcassidy@hnrlawoffices.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Steven Michael Cohen
Cooley Godward Kronish LLP
1114 Avenue of the Americas
New York, NY 10036
(212)-479-6223
Fax: (212)-479-6275
Email: scohen@cooley.com
LEAD ATTORNEY

William J. Schwartz
Cooley LLP (NY)
1114 Avenue of the Americas
New York, NY 10036
212-479-6000
Fax: 212-479-6275
Email: wschwartz@cooley.com
LEAD ATTORNEY
Designation: Retained

Pending Counts

Disposition
18:371.F CONSPIRACY TO DEFRAUD THE UNITED STATES (CONSPIRACY TO COMMIT MAIL AND WIRE FRAUD, AND TO VIOLATE THE FOREIGN CORRUPT PRACTICES ACT ("FCPA"))
(1)
CONSPIRACY TO DEFRAUD THE UNITED STATES
(1s)
CONSPIRACY TO DEFRAUD THE UNITED STATES
(1ss)
WILLFUL FAILURE TO FILE RETURN, SUPPLY INFORMATION
(1sss)
Imprisonment for a total term of Time Served.
15:78D.F FOREIGN SECURITIES EXCHANGES (VIOLATION OF THE FCPA)
(2-14)
FOREIGN SECURITIES EXCHANGES - (Title 15 USC Section 78dd-2, and Title 18 USC Section 2.)
(2s-10s)
FOREIGN SECURITIES EXCHANGES - (Title 15 USC Section 78dd-2, and Title 18 USC Section 2.)
(2ss-10ss)
FOREIGN SECURITIES EXCHANGES - (Title 15 USC Section 78dd-2(a) & (i) and Title 18 USC Section 2.)
(11s-14s)
FOREIGN SECURITIES EXCHANGES - (Title 15 USC Section 78dd-2(a) & (i) and Title 18 USC Section 2.)
(11ss-14ss)
18:1343.F FRAUD BY WIRE, RADIO, OR TELEVISION
(15-22)
FRAUD BY WIRE, RADIO, OR TELEVISION - (Title 18 USC Sections 1343, 1346 and 2.)
(15s-22s)
FRAUD BY WIRE, RADIO, OR TELEVISION - (Title 18 USC 1343 and 2.)
(15ss-18ss)
FRAUD BY WIRE, RADIO, OR TELEVISION - (Title 18 USC Sections 1343 and 2.)
(19ss)
FRAUD BY WIRE, RADIO, OR TELEVISION - (Title 18 USC Sections 1343 and 2)
(20ss-22ss)
18:1341.F FRAUDS AND SWINDLES (MAIL FRAUD)
(23)
FRAUDS AND SWINDLES - (Title 18 USC Sections 1341, 1346 and 2.)
(23s)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Section 1956(f) & (h).)
(23ss)
18:1956-4999.F MONEY LAUNDERING - FRAUD, OTHER
(24)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Section 1956(f) & (h).)
(24s)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Sections 1956(a)(2)(A) and 2.)
(24ss-31ss)
18:1956-7480.F MONEY LAUNDERING - RACKETEERING
(25-32)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Sections 1956(a)(2)(A) and 2.)
(25s-32s)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Sections 1956(a)(1)(B)(i) & (f) and 2.)
(32ss-51ss)
18:1956-7480.F MONEY LAUNDERING - RACKETEERING
(33-51)
MONEY LAUNDERING - INTERSTATE COMMERCE - (Title 18 USC Sections 1956(a)(1)(B)(i) & (f) and 2.)
(33s-51s)
18:1957-4999.F FRAUD, OTHER (MONEY LAUNDERING)
(52-59)
INTERSTATE COMMERCE - (Title 18 USC Sections 1957(a) & (d)(2) and 2.)
(52s-53s)
INTERSTATE COMMERCE - (Title 18 USC Sections 1957(a)&(d)(2) and 2.)
(52ss-59ss)
INTERSTATE COMMERCE - (Title 18 USC Sections 1957(a) & (d)(2) and 2.)
(54s-59s)
26:7206A.F FRAUD AND FALSE STATEMENTS (FILING FALSE TAX RETURNS)
(60-62)
FRAUD AND FALSE STATEMENTS - (Title 26 USC Section 7206(1).)
(60s-63s)
FRAUD AND FALSE STATEMENTS - (Title 26 USC Section 7206(1)).
(60ss-63ss)
CONSPIRACY TO DEFRAUD THE UNITED STATES
(64s)
CONSPIRACY TO DEFRAUD THE UNITED STATES
(64ss)
CORRUPT OR FORCIBLE INTERFERENCE
(65s)
CORRUPT OR FORCIBLE INTERFERENCE
(65ss)

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
COMPLAINT in violation of 18 U.S.C. 371, 15 U.S.C. 78dd-2 [ 1:03-m -663 ]

Assigned to: Judge William H. Pauley, III

Defendant (2)
The Mercator Corporation
TERMINATED: 11/23/2010
represented byWilliam J. Schwartz
Cooley Godward Kronish LLP (NY)
1114 Avenue of the Americas
New York, NY 10036
212-479-6000
Fax: 212-479-6275
Email: wschwartz@cooley.com
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
CORRUPT PAYMENT TO FOREIGN OFFICIAL - (Title 15 USC Section 78dd-2, and Title 18 USC Section 2.)
(1)
Special Assessment of $400 and Fine of $32,000.00.

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented byPeter Gillies Neiman
U.S. Attorney's Office, SDNY (86 Chambers St.)
86 Chambers Street
New York, NY 10007
(212) 637-2200
Fax: (212) 637-2239
Email: Peter.Neiman@usdoj.gov
LEAD ATTORNEY

Lee Renzin
U.S. Attorney's Office, SDNY (St Andw's)
One St. Andrew's Plaza
New York, NY 10007
(212)637-2527
Email: lee.renzin@usdoj.gov
ATTORNEY TO BE NOTICED

Stephen J Ritchin
U.S. Attorney's Office, White Plains
300 Quarropas Street
White Plains, NY 10601
212-636-2200
Fax: 914-993-1980
Email: Stephen.Ritchin@usdoj.gov
ATTORNEY TO BE NOTICED

Date Filed #Docket Text
03/28/2003COMPLAINT as to James H. Giffen in violation of 18 U.S.C. 371, 15 U.S.C. 78dd-2 ( signed by Magistrate Judge Debra C. Freeman ) [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/28/2003ARREST WARRANT issued as to James H. Giffen in violation of 18 U.S.C. 371 and 15 U.S.C. 78dd-2 [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/30/2003ARREST WARRANT Returned Executed as to James H. Giffen on 3/30/03 in violation of 18 U.S.C. 371, 15 U.S.C. 78dd-2 [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/31/2003NOTICE of Appearance for James H. Giffen by Retained Attorney Steven Michael Cohen [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/31/2003  First Appearance as to James H. Giffen held with Retained Attorney Steven Cohen and AUSA Peter Neiman for the government. $10,000,000 PRB; 2 FRP'S; SECURED BY $250,000 CASH BY 3/31/03; HOUSE IN MAMARONECK BY 4/7/03; HOUSE (OR NET PROCEEDS OF HOUSE) LARCHMONT BY 4/14/03; TRAVEL LIMITED TO SDNY/EDNY; D CONN & DNJ; SURRENDER TRAVEL DOCUMENTS (& NO NEW APPLICATIONS); REGULAR PRETRIAL SUPERVISION; DEFT TO BE RELEASED UPON FOLLOWING CONDITIONS; HIS SIGNATURE & ONE CHILD SIGNATURE; & $250,000 CASH; REMAINING CONDITIONS TO BE MET BY 4/1/03 HIS ATTORNEY WILL SURRENDER HIS KAZAKHSTER PASSPORT; BY 4/2/03 AT 10;00 AM; DEFT'S SECOND CHILD WILL CO-SIGN THE PRB; BY 4/7/03 DEFT WILL POST HOME IN MAMARONECK; BY 4/14/03 DEFT POST HOURSE (OR NET PROCEEDS OF THE HOUSE) IN LARCHMONT; CHILD WILL POST Preliminary Examination set for 4/30/03 for James H. Giffen ; before Magistrate Judge Douglas F. Eaton . [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/31/2003PRB APPEARANCE BOND filed by James H. Giffen in Amount $ 10,000,000; 2 FRP'S; SECURED BY $250,000 CASH BY 3/31/03; HOUSE IN MAMARONECK BY 4/7/03; HOUSE (NET PROCEEDS OF HOUSE) IN LARCHMONT BY 4/14/03; TRAVEL LIMITED TO SDNY/EDNY; D. CONN & DNJ; SURRENDER TRAVEL DOCUMENTS (& NO NEW APPLICATIONS); REGULAR PRETRIAL SUPERVISION; DEFT TO BE RELEASED UPON FOLLOWING CONDITIONS; HIS SIGNATURE & ONE CHILD CO-SIGNATURE AND $250,000 CASH; REMAINING CONDITIONS TO BE MET BY 4/1/03 HIS ATTORNEY WILL SURRENDER HIS KAZAKHTER PASSPORT; BY 4/2/03 AT 10;00 AM; DEFT SECOND CHILD WILL CO-SIGN THE PRB BY 4/7/03 DEFT TO POST HOUSE IN MAMARONECK; BY 4/14/03 HOUSE (OR NET PROCEEDS OF HOUSE) IN LARCHMONT. [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
03/31/2003Order of advice of penalties and sanctions as to James H. Giffen in violation of 18 U.S.C. 371, 15 U.S.C. 78dd-2 () [ 1:03-m -663 ] (dif) (Entered: 03/31/2003)
04/02/2003INDICTMENT as to James H. Giffen (1) count(s) 1, 2-14, 15-22, 23, 24, 25-32, 33-51, 52-59, 60-62 (Preliminary Examination cancelled.) (jm) (Entered: 04/04/2003)
04/04/2003  Initial PTC/Arraignment as to James H. Giffen held James H. Giffen (1) count(s) 1, 2-14, 15-22, 23, 24, 25-32, 33-51, 52-59, 60-62 before Judge William H. Pauley III. Defendant present with attorney William J. Schwartz and Steven M. Cohen, AUSA present Peter G. Nieman and Philip Urofsky. Court Reporter present Rebecca Forman. Defendant arraigned. Defendant waives reading of indictment and plead not guilty. Government shall produce discovery by 5/2/03. Next PTC set for 9/5/03 at 2:30 p.m. Speedy Trial excluded from 4/4/03 to 9/5/03 under 18 U.S.C. (h)(8)(A), bail continued. (ph) (Entered: 04/07/2003)
04/04/2003  PLEA entered by James H. Giffen. Court accepts plea. Not Guilty: James H. Giffen (1) count(s) 1, 2-14, 15-22, 23, 24, 25-32, 33-51, 52-59, 60-62 (ph) (Entered: 04/07/2003)
04/04/2003  PRETRIAL CONFERENCE as to James H. Giffen held before Judge William H. Pauley III. Time is excluded from 4/4/03 to 9/5/03. (ph) (Entered: 04/07/2003)
04/04/2003  ORAL ORDER as to James H. Giffen , set scheduling order deadlines: Discovery cutoff to 5/2/03 for the Government; Pretrial Conference for 2:30 9/5/03 for James H. Giffen ; ( Entered by Judge William H. Pauley III ) (ph) (Entered: 04/07/2003)
04/16/2003LETTER filed by USA as to James H. Giffen From Peter G. Neiman, Dated April 10, 2003, Addressed to: Judge Pauley Re: At the defendant's arraignment on April 4, 2003, your Honor advised the parties that you and your wife owned stock in ExxonMobil, which is the successor to Mobio Oil Corp. In particular, you asked whether Mobil was a victim of the crimes charged in the indictment such that the Court might someday have to decide on the restitution owed to a company in which the Court had an interest. Because Mobil is not a party to this case, the Court's ownership of Exxon Mobil stock does not mandate recusal or divestiture at this time. The Government suggests that the Court disclose the extent of its ExxonMobil stock ownership and then determine, on the record, whether the defense still wishes to waive any potential section 455(a) objection. (jw) (Entered: 04/16/2003)
04/18/2003LETTER filed as to James H. Giffen, From William J. Schwartz, Dated 4/16/03, Addressed to: Judge Pauley, Re: Your Honor's holding in ExxonMobil. We have considered the issues raised . . . We agree w/the Govt's conclusion that the Court is not required to recuse itself at this time, and we hereby renew our waiver of any objections to your presiding over this case. Further, while we do not object to the govt's request that the Court disclose the extent of its ExxonMobil holdings, . . . we do not believe such disclosure is necessary at this time. (ja) (Entered: 04/18/2003)
06/03/200310 TRANSCRIPT of record of proceedings as to James H. Giffen for dates of April 4, 2003, before Judge William H. Pauley III . (dt) (Entered: 06/17/2003)
07/29/200311 Filed Memo-Endorsement on letter: as to James H. Giffen , from Steven M. Cohen, Atty for the dft, Dated 7/11/03, addressed to: Judge Pauley, Re: a request, Mr. Giffen requests that he be permitted to travel to Pennsylvania from 8/20/03 through 8/27/03. I have notified AUSA Peter Neiman and Natasha Ramesar of Pretrial Services of this request. Both have no objection to this request. Letter application granted. SO ORDERED. ( Signed by Judge William H. Pauley III ); (ja) (Entered: 07/29/2003)
09/05/2003  PRETRIAL CONFERENCE as to James H. Giffen held before Judge William H. Pauley III . Time is excluded from 9/5/03 to 4/2/04. Defendant present with atty William J. Schwartz and Steven M. Cohen, AUSA present Peter G. Nieman and Philip Urofsky, Court reporter present Amy Rivera, defendant's motion due 1/30/04, government's response due 2/27/04, defendant's reply due 3/10/04, oral argument set for 4/2/04 at 2:15pm., trial set for 10/4/04, SPT excluded from 9/5/03 to 4/2/04 under 18 USC 3161 (h)(8)(A), bail continued. (jw) (Entered: 09/09/2003)
09/05/2003  ORAL ORDER as to James H. Giffen , set scheduling order deadlines: Motion Filing to 1/30/04 for James H. Giffen ; Response to motion deadline 2/27/04 for USA ; Reply to response to motion deadline 3/10/04 for James H. Giffen ; Jury Trial for 10/4/04 for James H. Giffen ; , and set oral argument 2:15 4/24/04 for James H. Giffen ( Entered by Judge William H. Pauley III ) (jw) (Entered: 09/09/2003)
11/14/200312 Filed Memo-Endorsement on letter: as to James H. Giffen, from William J. Schwartz, Atty for the dft, Dated 11/12/03, addressed to: Judge Pauley, Re: a request, for Mr. Giffen to be permitted to Travel to Houston, Texas from 11/26/03 through 11/30/03. I have notified AUSA Peter Neiman and Natasha Ramesar of Pretrial Services of this request. Both Mr. Neiman and Ms. Ramesar have informed me that they have no objection to this request. ( Signed by Judge William H. Pauley III ); (ja) (Entered: 11/17/2003)
11/18/200313 TRANSCRIPT of record of proceedings as to James H. Giffen for dates of September 5, 2003, before Judge William H. Pauley III . (dt) (Entered: 11/18/2003)
12/22/200314 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from Matthew E. Beck, Atty for the dft, dated 12/19/03 re: requesting the Court's approval to amend Mr. Giffen's restricted area as set by the conditions of his pretrial release... Mr. Giffen requests that his restricted area be extended to include the Continential United States. When Mr. Giffen travels outside his current restricted area, he will provide Pretrial Services with the location and duration of the trip as well as contact information. AUSA Peter Neiman and Natasha Ramesar of Pretrial Services have no objection to this request. -- Letter application granted. SO ORDERED. (Signed by Judge William H. Pauley III on 12/19/03)(ja, ) (Entered: 12/31/2003)
12/22/200315 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from Steven M. Cohen, Atty, dated 12/17/03, re: a request to change the motion schedule as to James H. Giffen... The defense respectfully requests that the motion schedule be adjusted by one month as follows: defense to file its motion on or before 2/27; the government to file its opposition on or before 3/26; and the defense to file its reply on or before 4/7. -- Letter application granted. In addition, oral argument is adjourned to 4/23/04 at 3:00 p.m. SO ORDERED. Oral Argument set for 4/23/2004 03:00 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley III on 12/18/03)(ja, ) (Entered: 12/31/2003)
02/27/200416 ORDER as to James H. Giffen. Counsel having requested an extension of the dates of the scheduled motion before the court from April 2,2004 to May 14,2004 at 10:30 a.m. All parties to this action consent to the request and to an exclusion of the adjourned time from the Speedy Trial Act. Therefore, the following schedule is established on consent of the parties: (1) Defendant's motion will be filed by March 12, 2204; (2) The Government's Opposition will be filed by April 9, 2004; (3) Defendant's reply will be filed by April 21, 2004; and (4) Oral argument will take place on May 14, 2004 at 10:30 a.m. (Signed by Judge William H. Pauley III on 2/23/04)(ph, ) (Entered: 03/01/2004)
02/27/2004  Set/Reset Deadlines/Hearings as to James H. Giffen: Motions due by 3/12/2004. Replies due by 4/21/2004. Responses due by 4/9/2004 Oral Argument set for 5/14/2004 10:30 AM before Judge William H. Pauley III.(ph, ) (Entered: 03/01/2004)
03/09/200417 Letter by USA as to James H. Giffen addressed to Judge Pauley from AUSA Peter G. Neiman dated 3/9/04 re: responding to the defendant's motion to block the appearance of Terry Nixon, before the Grand Jury. (ph, ) (Entered: 03/12/2004)
03/11/200418 Letter by James H. Giffen addressed to Judge Pauley from William J. Schwartz dated March 8, 2004 re: We Write this letter to seek relief with respect to a grand jury subpoena requiring Terry Nixon, an employee of the Mercator Corporation, Mr. Griffen's company, to appear before a grand jury on March 15, 2004. We respectfully request that the subpoena issued to Ms. Nixon be quashed. In the alternative, we respect that the Court follow Judge Martin's reasoning and issue an order requiring the government to submit Ms. Nixon's testimony for in camera review and, at an appropriate time, determine whether the government should be precluded from calling her as a witness and whether the fruits of her testimony should be suppressed. (jw, ) (Entered: 03/15/2004)
03/11/200419 ORDER as to James H. Giffen. This Court has reviewed deft James Giffen's letter application, dated 3/8/04 ("Giffen Letter App."), requesting that this Court quash a subpoena issued to Mercator Corporation employee Terry Nixon, or in the alternative review her testimony in camera to determine whether preclusion is required. This Court also received the Govt's opposition, dated 3/9/04. For the reasons set forth in this Order, Giffen's application is denied without prejudice.... However, this Court is mindful of the limits on the Govt's use of the Grand Jury as trial preparation. Therefore, this Court will consider a subsequent application for such in camera review at such time as Giffen can make a showing, supported by some fact, that the Govt has improperly used Ms. Nixon's Grand Jury appearance for the predominant purpose of trial preparation. (Signed by Judge William H. Pauley III on 3/11/04); Copies Mailed By Chambers. (bw, ) (Entered: 03/15/2004)
03/15/200420 (S1) SUPERSEDING INDICTMENT FILED as to James H. Giffen (1) count(s) 1s, 2s-10s, 11s-14s, 15s-22s, 23s, 24s, 25s-32s, 33s-51s, 52s-53s, 54s-59s, 60s-63s, 64s, 65s. [ microfilm 3/16/04 3pm ] (bw, ) (Entered: 03/18/2004)
03/16/200423 DECLARATION of Kevin D. Galbraith in Support of James H. Giffen re: 21 Order to File Certain Materials under Seal (jw, ) (Entered: 03/22/2004)
03/16/200427 (1) MOTION to Dismiss counts 1-59 of the indictment. (2) MOTION dismissing those portions of counts 15-23 of the indictment. (3) MOTION to dismiss counts 2-8,15-20, 25-30, 33-39, 60 and 61. (4) MOTION to Compel the government to produce documents and other materials that are necessary to the preparation of the defense. (5) For any other relief the Court deems proper. Document filed by James H. Giffen. Return Date set for 5/14/2004 before Judge William H. Pauley III. (Memorandum of Law in Support (Redacted), Certificate of Service, Declaration all attached). (ph, ) (Entered: 03/24/2004)
03/17/200421 ORDER as to James H. Giffen. The Court has received defendant James H. Giffen's application to file under seal certain exhibits attached to the Declaration of Kevin D. Galbraith in Support of Defendant James H. Giffen's Pretrial Motions, executed March 12, 2004 ("Galbraith Declaration"), along with any references to such exhibits contained in the Memorandum of Law in Support of Defendant James H. Giffen's Pretrial Motions, dated March 12, 2004. The Court has been informed that the exhibits consist of documents that were previously filed under seal in grand jury proceedings, and other documents that were confidentially submitted by the Republic of Kazakhstan to Swiss authorities in connection with proceedings in Switzerland (the "Republic Exhibits"). The defendant has filed a version of the Galbraith Declaration in which the aforementioned exhibits have been removed, along with a redacted copy of his memorandum of law. The government consents to this application without prejudice to a future application to unseal the Republic Exhibits on the ground that such documents are not in fact confidential. In light of the foregoing, the Clerk of the Court is hereby ORDERED to permit defendant James H. Giffen to fule under seal (1) Exhibits B,C,D,E,G,H, and O to the Galbraith Declaration; and (2) any references to such exhibits contained within the defendant's accompanying memorandum of law. SO ORDERED. (Signed by Judge William H. Pauley III on 3/17/04)(jw, ) (Entered: 03/18/2004)
03/22/200426 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from AUSA Peter G. Neiman, dated 3/15/04. The defense, in connection with their 3/12/04 motions, has asked to see an order obtained by the Govt pursuant to Title 18 U.S.C. Section 3292 tolling the statute of limitations during the pendancy of certain efforts to obtain evidence overseas. The Order was obtained by the Govt during the Grand Jury investigation in this case and is therefore currently under seal. The Govt requests that the Court unseal the Order so that the Govt may provide a copy to the defense. JUDGE ENDORSED - Application granted. The Order is hereby ordered to be unsealed. (Signed by Judge William H. Pauley III on 3/18/04); Copies Mailed By Chambers.(bw, ) (Entered: 03/24/2004)
04/14/200428 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from AUSA Peter G. Neiman dated 4/8/04 re: requesting an extension to April 12, 2004 for the government to respond to the defendant's pretrial motions. Defendant's counsel has consented to extend the defendant's time to reply to 4/26/04. Judge memo-endorsed: Application granted. SO ORDERED.(ph, ) (Entered: 04/15/2004)
04/15/200429 MEMORANDUM OF LAW by USA as to James H. Giffen in Opposition to defendant's pretrial motions. re: 27 MOTION; Exhibits To The Memorandum accompanied. (bw, ) (Entered: 04/16/2004)
04/27/200430 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Matthew E. Beck dated April 21, 2004 re: Reschedule Briefing., as to James H. Giffen Defendant Replies due by 4/28/2004. Judge Memo-endorsed..Application granted. SO ORDERED. (Signed by Judge William H. Pauley III on 4/27/04)(jw, ) (Entered: 04/28/2004)
05/10/200431 [Redacted] REPLY MEMORANDUM OF LAW in Support by James H. Giffen of his pretrial motions. [Accepted for filing by Judge Pauley on 5/10/04.] (bw, ) (Entered: 05/11/2004)
05/10/200432 REPLY DECLARATION of Kevin D. Galbraith in Support of defendant James H. Giffen's pretrial motions. [Accepted for filing by Judge Pauley on 5/10/04.] (bw, ) (Entered: 05/11/2004)
05/10/200433 DECLARATION of Kevin D. Galbraith in support of defendant James H. Giffen's request to file certain materials under seal. [Accepted for filing by Judge Pauley on 5/10/04.] (bw, ) (Entered: 05/11/2004)
05/12/200434 ORDER as to James H. Giffen., as to James H. Giffen; Oral Argument set for 6/3/2004 03:00 PM before Judge William H. Pauley III. The oral argument scheduled for May 14, 2004 is adjourned to June 3, 2004 at 3:00pm, upon consent fo the parties. SO ORDERED. (Signed by Judge William H. Pauley III on 5/12/04)(jw, ) (Entered: 05/12/2004)
06/03/2004  Minute Entry for proceedings held before Judge William H. Pauley III:Arraignment as to James H. Giffen (1) Count 1s,2s-10s,11s-14s,15s-22s,23s,24s,25s-32s,33s-51s,52s-53s,54s-59s,60s-63s,64s,65s held on 6/3/2004. Oral argument held, defendant present with atty William J. Schwartz and Steven M. Cohen, AUSA present Peter G. Nieman and Philip Urofsky, Court reporter present Vincent Bologna, defendant arraignment, defendant waives reading of superseding indictment and plead not guilty, oral argument begun and concluded, decision reserved, bail continued. (jw, ) (Entered: 06/09/2004)
06/03/2004  Minute Entry for proceedings held before Judge William H. Pauley III: Plea entered by James H. Giffen (1) Count 1s,2s-10s,11s-14s,15s-22s,23s,24s,25s-32s,33s-51s,52s-53s,54s-59s,60s-63s,64s,65s Not Guilty. (jw, ) (Entered: 06/09/2004)
06/17/200436 TRANSCRIPT of Proceedings as to James H. Giffen held on 6/3/04 before Judge William H. Pauley III. (pa, ) (Entered: 06/17/2004)
06/18/200437 ORDER as to James H. Giffen. As stated on the record during the oral argument on 6/3/04, a Status Conference is scheduled for 7/29/2004 04:00 PM before Judge William H. Pauley III. SO ORDERED. (Signed by Judge William H. Pauley III on 6/16/04) Copies Mailed By Chambers.(ja, ) (Entered: 06/18/2004)
06/25/200438 TRANSCRIPT of Proceedings as to James H. Giffen held on June 3, 2004 before Judge William H. Pauley III. (ps, ) (Entered: 06/25/2004)
07/06/200439 MEMORANDUM AND ORDER as to James H. Giffen. Currently before this Crt is Giffen's motion seeking: 1) discovery concerning a possible public authority defense; identification of the Govt's trial exhibit; 3) identification of the Govt's trial witnesses; 4) disclosure of Rule 404(b) evidence; 5) disclosure of summary charts; 6 a bill of particulars; and 7) discovery pursuant to Brady v. Maryland, 373 U.S. 83 (1963), Giglio v. U.S., 405 U.S. 150 (1972) and the Jencks Act, 18 U.S.C. Sec. 3500. For the reasons set forth herein, dft's motion is granted in part and denied in part. SO ORDERED. (Signed by Judge William H. Pauley III on 7/2/04) Copies mailed by Chambers..(ja, ) (Entered: 07/08/2004)
07/06/200440 MEMORANDUM AND ORDER denying 27 Motion to Dismiss as to James H. Giffen (1)Counts 1 through 59 of the Indictment is denied, and 2) Giffen's motion to dismiss portions of Counts 15 through 23 that allege a scheme to deprive the citizens of Kazakhstan of the honest services of their gov't officials is granted. SO ORDERED. (Signed by Judge William H. Pauley III on 7/2/04) Copies mailed by Chambers.(ja, ) (Entered: 07/08/2004)
07/13/200441 TRANSCRIPT of Proceedings as to James H. Giffen held on 6/3/04 @ 3:05 pm before Judge William H. Pauley III. (mbe, ) (Entered: 07/13/2004)
08/02/200442 SCHEDULING ORDER as to James H. Giffen. Responses due by 9/7/2004 Status Conference set for 9/9/2004 04:00 PM before Judge William H. Pauley III. Jury Selection set for 1/18/2005 09:30AM before Judge William H. Pauley III. Jury Trial set for 1/18/2005 09:30 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley III on 7/30/04)(jw, ) (Entered: 08/02/2004)
08/04/200444 (S2) SUPERSEDING INDICTMENT FILED as to James H. Giffen (1) count(s) 1ss, 2ss-10ss, 11ss-14ss, 15ss-18ss, 19ss, 20ss-22ss, 23ss, 24ss-31ss, 32ss-51ss, 52ss-59ss, 60ss-63ss, 64ss, 65ss. [microfilm 8/9/04 9am] (bw, ) (Entered: 08/10/2004)
08/27/200446 ORDER as to James H. Giffen. The parties have submitted various memoranda concerning the Govt's discovery obligations regarding other agency documents. Those memoranda consist of (1) the Govt's memo dtd 7/28/04, (2) Dft's ltr memo dtd 8/3/04, (3) the Govt's ltr memo dtd 8/4/04, and (4) Dft's ltr memo dtd 8/16/04. Each of those submissions is being filed under seal. The Gov't is directed to submit ex parte a description of the categories of other agency documents it reviewed, together w/the approximate number of documents and document pages within each category, without regard to materiality. In addition, as part of that submission, the Gov't is also directed to provide a description of each agency document that is material as defined in U.S. v. Maniktala, 934 F.2d 25, 28 (2d Cir. 1991), togethr w/the number of pages in each document. The Govt's ex parte submission should be filed under seal by 12:00 noon on 9/7/04. SO ORDERED. (Signed by Judge William H. Pauley III on 8/27/04) Copies Mailed By Chambers.(ja, ) (Entered: 08/27/2004)
09/03/200448 TRANSCRIPT of Proceedings as to James H. Giffen held on 7/29/2004 before Judge William H. Pauley III. (jsa, ) (Entered: 09/03/2004)
09/07/200466 Letter by USA as to James H. Giffen addressed to Judge Pauley from AUSA Peter G. Neiman dated 8/4/04 re: responding to the defense's letter of August 3, 2004. (Letter, previously sealed. Sealed document #50. Ordered unsealed on 12/2/04). (ph, ) (Entered: 12/15/2004)
09/07/200467 MEMORANDUM OF LAW regarding the Classified Information Procedures Act and Discovery by USA as to James H. Giffen. (Document previously sealed, document #52. Ordered unsealed on 12/2/04). (ph, ) (Entered: 12/15/2004)
09/20/200454 SCHEDULING ORDER as to James H. Giffen. Responses due by 10/25/2004, Status Conference set for 10/27/2004 04:30 PM before Judge William H. Pauley III. SO ORDERED. (Signed by Judge William H. Pauley III on 9/17/04)(jw, ) (Entered: 09/21/2004)
09/21/200453 TRANSCRIPT of Proceedings as to James H. Giffen held on 9/9/2004 before Judge Robert P. Patterson. (jsa, ) (Entered: 09/21/2004)
09/27/200468 PROTECTIVE ORDER as to James H. Giffen. (Document previously sealed, document #55. Ordered unsealed on 12/2/04). (Signed by Judge William H. Pauley III on 9/10/04)(ph, ) (Entered: 12/15/2004)
11/09/200459 SEALED EX PARTE ORDER No. 1 as to James H. Giffen. SO ORDERED. (Signed by Judge William H. Pauley III on 11/8/04) Copy Mailed By Chambers.(ja, ) (Entered: 11/17/2004)
11/12/200460 ORDER as to James H. Giffen. By Order dated 8/27/04, this Court directed the Government to submit ex parte a description of the categories of other agency documents its reviewed together with the approximate number of documents and document pages within each category, without regard to materiality. Based on its review of agency documents or portions of documents should be disclosed by the Government to defendant Giffen. The identities of those documents were specified to the government in a sealed ex parte Order on 11/8/04. By November 16, 2004, the Government will advise the Court whether it intends to invoke Section 4 of the Classified Information Protection Act to delete any classified material, substitute a summary of the information for such classified material or substitute a statement admitting relevant facts that the classified information would tend to prove. (Signed by Judge William H. Pauley III on 11/9/04)(ph, ) (Entered: 11/18/2004)
11/17/200461 Letter by USA as to James H. Giffen addressed to Judge Pauley from AUSA Peter G. Neiman dated 9/23/04 re: submitted to address that portion of the defense's 9/2/04 letter which asked the Court to unseal (1) various prior submissions to the Court, and (2) the sealed portion of the 7/29/04 conference. (bw, ) (Entered: 11/19/2004)
11/29/200463 SCHEDULING ORDER as to James H. Giffen. Motions due by 1/18/2005. Responses due by 1/27/2005 Replies due by 2/1/2005. Oral Argument set for 2/11/2005 12:30 PM before Judge William H. Pauley III. Status Conference set for 1/18/2005 09:30 AM before Judge William H. Pauley III. Jury Selection set for 4/4/2005 09:30AM before Judge William H. Pauley III. Jury Trial set for 4/4/2005 09:30 AM before Judge William H. Pauley III. The Government shall make its CIPA 4 submission by December 8, 2004; The Government shall produce to this Court the complete set of other agencies documents that this Court reviewed ex parte on October 14, 2004, December 8, 2004. These documents shall be filed with the Court security officer. Defendant shall serve and file his CIPA 5 submission and Rule 12.3 notice by January 7, 2005. In addition, Defendant shall make his proffer in support of any public authority defense by January 7, 2005. (Signed by Judge William H. Pauley III on 11/26/04)(jw, ) (Entered: 12/01/2004)
12/02/200464 MEMORANDUM AND ORDER as to James H. Giffen. For the reasons stated in this Memorandum and Order, this court grants in part defendant's application to unseal materials filed under seal. This Court grants the Government's request to seal portions of the July 29,2004 transcript, Defendant's August 3, August 16, and September 2, 2004 letters, and the government's September 8, 2004 letter and denies the Government's application to seal protions of documents previously docketed in the public file. The Government is directed to provide this Court and Defendant with redacted copies of the transcript and letters within five (5) business days for public filing. Finally, the Clerk of the Court is directed to unseal the following documents: (1) Docket entry #50 - the Government's letter dated 8/4/04; (2) Docket entry #52 - the Government's Memorandum regarding Classified Information Procedures Act (CIPA), dated July 28, 2004; and (3) Docket entry #55 - the Protective Order, dated September 10, 2004. (Signed by Judge William H. Pauley III on 12/2/04)(ph, ) (Entered: 12/08/2004)
12/28/200477 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from William J. Schwartz, Atty for the dft, dated 12/23/04, re: request to amend the protective order in this case dtd 12/10/04, to include in para 7 the names of my associates, Matthew Beck, Kevin Galbraith and Scott Pashman, and my secretary, Dawn E. Nickich, as individuals having access to classified documents and information... -- Judge memo endorsed: Application granted. SO ORDERED. (Signed by Judge William H. Pauley III on 12/23/04)(ja, ) (Entered: 01/05/2005)
12/30/200471  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
12/30/200472  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
12/30/200473  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
12/30/200474  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
12/30/200475  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
12/30/200476  Memorandum of Understanding as to James H. Giffen. (bw, ) (Entered: 01/05/2005)
01/03/200578 Letter by USA as to James H. Giffen addressed to Mr. J. Michael McMahon, Clerk from AUSA Peter G. Neiman dated 12/10/04 re: submitted to enclose for public filing the redacted versions of the following documents which were previously filed under seal - 1) Transcript of conference, 7/29/04; 2) Letter from Steven M. Cohen, Esq. to Hon. William H. Pauley III, dated 8/3/04; 3) Letter from William J. Schwartz, Esq. to Hon. William H. Pauley III, dated 8/16/04; 4) Letter from William J. Schwartz, Esq. to Hon. William H. Pauley III, dated 9/2/04. [Accepted for filing by Judge Pauley on 1/3/05] (bw, ) (Entered: 01/06/2005)
01/03/200579 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from Peter G. Neiman, AUSA, dated 12/15/04, re: the Crt's 12/2/04 Memorandum and Order regarding sealed documents... -- Judge memo endorsed: Application granted. The Gov't is directed to provide copies of dft's 10/4/04 letter and the 11/3/04 transcript with the agreed redactions, within five (5) business days, to the Court. SO ORDERED. (Signed by Judge William H. Pauley III on 1/3/05)(ja, ) (Entered: 01/06/2005)
01/06/200580 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Steven M. Cohen dated 1/5/05 re: Respectfully request that James H. Griffen, William J. Schwartz, Steven M. Cohen, Matthew E. Beck, Kevin D. Galbraith, Scott J. Pashman and Dawn E. Nickich be permitted access to the secure area outside normal business hours and on weekends. Judge Memo-endorsed...Application granted in part. The listed individuals are granted access to the secure area outside business hours. Additionally, the listed individuals are permitted to bring Blackberry devices into the Courthouse. SO ORDERED. (Signed by Judge William H. Pauley III on 1/5/05)(jw, ) (Entered: 01/10/2005)
01/06/200581 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from Steven M. Cohen, Atty for the dft, dated 1/5/05, re: request for a short extension of the CIPA schedule set forth in the Crt's 11/26/04..., the new schedule would be: 1) dft shall serve and file his CIPA Sec. 5 submission, Rule 12.3, and proffer in support of any public authority defense by Monday, 1/10/05 (instead of Friday, 1/7/05); 2) The gov't shall serve and file its CIPA Sec. 6 motion by 1/21/05 (instead of 1/18/05); 3) Dft's response to the Govt's CIPA Sec 6 motion shall be served on the gov't by 9 a.m. on 1/31/05, and filed that day (instaed of 1/27/05); 4) the Gov't shall serve and file its reply by 2/4/05 (instead of 2/1/05); Oral argument will take place on 2/11/05, at 12:30 p.m. -- Judge memo endorsed: Application granted. SO ORDERED. (Signed by Judge William H. Pauley III on 1/5/05)(ja, ) (Entered: 01/11/2005)
01/07/200583  MEMORANDUM OF UNDERSTANDING by James H. Giffen, re: future recipient of information and documents... (agreement). (ja, ) (Entered: 01/12/2005)
01/10/200582 ORDER as to James H. Giffen. This Court received a second ex parte production of documents from the Government on December 28, 2004. On December 30 and 31, 2004, this Court conducted an ex parte review of the documents produced by the Government. Based on its review of the agency documents, this Court concludes that certain documents should be disclosed by the Government to Defendant Giffen. The identitites of those documents were specified to the Government in a sealed ex parte Order on January 3, 2005. By letter dated January 6, 2005, the Government advised the Court that it intends to invoke Section 4 of the Classified Information Protection Act with respect to the identified documents. (Signed by Judge William H. Pauley III on 1/7/05)(jw, ) (Entered: 01/11/2005)
01/10/200584 DEFENDANT'S CIPA SECTION 5 SUBMISSION AND PROFFER as to James H. Giffen. (ja, ) (Entered: 01/14/2005)
01/12/200585 Letter by USA as to James H. Giffen, addressed to Judge Pauley, from Peter G. Neiman, AUSA, dated 1/6/05, re: Ex Parte Sealed Order (from the Court) dtd 1/3/05... directed the Gov't to adivse the Crt by today re whether the Gov't intended to invoke Section 4 of the Classified Information Procedures Act ("CIPA") w/regard to any of the documents identified in the Order... (ja, ) (Entered: 01/20/2005)
01/28/200591 (S2) SEALED EXPARTE ORDER No. 2 as to James H. Giffen. (Signed by Judge William H. Pauley III on 03-404)(ja, ) (Entered: 03/08/2005)
01/28/200592 (S2) SEALED EX PARTE ORDER No. 3 as to James H. Giffen. SO ORDERED. (Signed by Judge William H. Pauley III on 1/3/05)(ja, ) (Entered: 03/08/2005)
01/28/200593 (S2) SEALED EXPARTE MEMORANDUM AND ORDER No. 4 as to James H. Giffen. SO ORDERED. (Signed by Judge William H. Pauley III on 1/28/05) Copies Mailed By Chambers.(ja, ) (Entered: 03/08/2005)
01/31/200588 TRANSCRIPT of Proceedings as to James H. Giffen held on 1/18/05 before Judge William H. Pauley III. (Martin, Leslie) (Entered: 01/31/2005)
02/09/200590 ORDER as to James H. Giffen. The oral argument schd'ld for 2/11/05 concerning the dft's CIPA proffer and the Govt's motion in limine is adjourned w/o date. The parties are directed to appear for a Status Conference set for 2/16/2005 04:00 PM before Judge William H. Pauley III, to discuss the continued viability of the 4/5/05 trial date. SO ORDERED. (Signed by Judge William H. Pauley III on 2/8/05)(ja, ) (Entered: 02/15/2005)
02/23/200594 SCHEDULING ORDER as to James H. Giffen: 1) Govt shall submit a ltr memo addressing the issue of references to "paramours" in the 2nd Superseding Indictment by 2/24/05; dft shall submit his response by 3/3/05; Govt shall submit any reply by 3/7/05; 2) the Gov't shall submit a ltr memo regarding the timing of this Crt's ruling on dft's CIPA Sec. 5 proffer by 3/3/05; dft shall submit his response by 3/14/05; Gov't shall submit any reply by 3/21/05; 3) Jury Selection and jury trial adjourned from 4/5/05 to 1/9/2006 09:30AM before Judge William H. Pauley III. SO ORDERED. (Signed by Judge William H. Pauley III on 2/18/05)(ja, ) (Entered: 03/08/2005)
03/09/200595 TRANSCRIPT of Proceedings as to James H. Giffen held on 2/16/2005 before Judge William H. Pauley III. (kj, ) (Entered: 03/09/2005)
03/14/200598 ENDORSED LETTER as to James H. Giffen addressed to Judge William H. Pauley, III from William J. Schwartz dated 3/11/05 re: requesting an extention until 3/16/05 to respond to the Government 3/3/05 letter with the Government replying by 3/23/05. Application granted. (Signed by Judge William H. Pauley III on 3/11/05) Copies Faxed By Chambers.(kw, ) (Entered: 03/17/2005)
04/18/200599 TRANSCRIPT of Proceedings as to James H. Giffen held on November 3, 2004 before Judge William H. Pauley III. (bw, ) (Entered: 04/19/2005)
04/18/2005100 Letter by James H. Giffen addressed to Judge Pauley from Attorney Steven M. Cohen dated 10/4/04 re: submitted in response to the govt's letter of 9/27/04, which responds to defense 9/2/04 request that the Court unseal the July 29 conference transcript and various submissions from the parties. (bw, ) (Entered: 04/19/2005)
09/12/2005102 S2 03 Cr. 404 (WHP)Sealed Ex Parte Order No. 5 filed under seal this date as to James H. Giffen. (rag, ) (Entered: 09/12/2005)
10/12/2005103 ORDER as to (S2-03-Cr-404) James H. Giffen. The Govt moves to preclude the deft James H. Giffen ("Giffen") from advancing a public authority defense at trial. As part of that motion, the Govt also seeks to preclude Giffen from offering certain evidence relating to his proposed public authority defense. The Govt's in limine motion implicates a plethora of Classified Information Procedures Act ("CIPA") issues. For the reasons set forth in this Court's Sealed Memorandum and Order, dated 10/12/05, filed under seal with the Court Security Officer, the Govt's motion in limine to bar Giffen from presenting a public authority defense is denied. The parties are directed to submit a joint report to this Court by 10/25/05 concerning the outcome of their meet-and-confer session with respect to Giffen's discovery requests. The parties are directed to appear for a status conference on 10/27/05 at 4:00 p.m. in Courtroom 11D. (Signed by Judge William H. Pauley III on 10/12/05); Copies mailed by Chambers to U.S. Attorneys and to counsel for deft. (bw, ) (Entered: 10/19/2005)
10/25/2005105 NOTICE OF APPEAL (Interlocutory) by USA as to James H. Giffen from 103 Order, Set Deadlines/Hearings. (nd, ) (Entered: 11/07/2005)
10/27/2005  Minute Entry for proceedings held before Judge William H. Pauley III:Pretrial Conference as to James H. Giffen held on 10/27/2005 Deft. pres. w/atty William J. Schwartz and Steven M. Cohen, Matthew Beck, Kevin Galbraith; AUSA present Peter G. Nieman. SPT excluded from 1/9/06 to 4/24/06 under 18:3161(h)(8)(A), bail cont'd. (pr, ) (Entered: 04/21/2006)
10/27/2005  ORAL ORDER as to James H. Giffen Time excluded from 1/9/06 until 4/24/06.(by Judge William H. Pauley III on 10/27/05)(pr, ) (Entered: 04/21/2006)
11/04/2005104 TRANSCRIPT of Proceedings as to James H. Giffen held on 10/27/2005 before Judge William H. Pauley III. (jar, ) (Entered: 11/04/2005)
11/07/2005  Transmission of Notice of Appeal and Certified Copy of Docket Sheet as to James H. Giffen to US Court of Appeals re: 105 Notice of Appeal - Interlocutory. (nd, ) (Entered: 11/07/2005)
11/17/2005106 Appeal Record Sent to USCA (Index). Notice that the Original index to the record on Appeal as to James H. Giffen re: 105 Notice of Appeal - Interlocutory USCA Case Number 05-5782-cr, 3 Copies of the index, Certified Clerk Certificate and Certified Docket Sheet were transmitted to the U.S. Court of Appeals. (nd, ) (Entered: 11/17/2005)
11/29/2005107 Letter by USA as to James H. Giffen addressed to Judge William H. Pauley from Peter Neiman dated 12/8/04 re: Sealed Documents (fk, ) (Entered: 11/29/2005)
11/29/2005108 Letter by USA as to James H. Giffen addressed to William H. Pauley from Peter Neiman dated 1/12/05 re: Sealed Documents (fk, ) (Entered: 11/29/2005)
11/29/2005109  ADDENDUM OF EXHIBITS CITED IN DEFT JAMES H. GRIFFEN'S CIPA SECTION 5 SUBMISSION AND PROFFER. as to James H. Giffen. (fk, ) (Entered: 11/29/2005)
11/29/2005110  MOTION in Limine. Document filed by USA as to James H. Giffen. (fk, ) (Entered: 11/29/2005)
11/29/2005111 MEMORANDUM in Opposition by James H. Giffen re 110 MOTION in Limine.. (fk, ) (Entered: 11/29/2005)
11/29/2005112 MEMORANDUM in Support by USA as to James H. Giffen re 110 MOTION in Limine.. (fk, ) (Entered: 11/29/2005)
11/29/2005113 Letter by USA as to James H. Giffen addressed to Judge William H. Pauley from Peter Neiman dated 3/3/05 re: Case Status (fk, ) (Entered: 11/29/2005)
01/18/2006127 Letter by James H. Giffen addressed to Judge Pauley from James H. Griffen dated 10/12/05 re: The Government moves to preclude the defendant James H. Giffen from advancing a public authority defense at trial. For the reasons set forth in this Sealed Memorandum and Order, the Government's motion in limine to bar Giffen from presenting a public authority defense is denied. (jw, ) (Entered: 01/19/2006)
01/20/2006128 Letter by USA as to James H. Giffen addressed to Judge Pauely from Peter G. Neiman dated 1/11/06 re: Enclosed for public filing is a redacted, declassified version of the opinion the Court issued on October 12, 2005. (jw, ) (Entered: 01/23/2006)
02/17/2006  Minute Entry for proceedings held before Judge William H. Pauley III:Pretrial Conference as to James H. Giffen held on 2/17/2006 Deft. pres. w/atty William J. Schwartz & Steven M. Cohen, Matthew Beck, Kevin Galbraith. AUSA present Stephen Ritchin. Next PTC set for 5/18/06 @ 2:15 pm. Jury selection set for 10/30/06 @ 9:30 am. SPT excluded from 4/24/06 to 10/30/06 under 18:3161(h)(8)(A), bail cont'd. (Court Reporter Michelle Bulkley) (pr, ) (Entered: 04/21/2006)
02/17/2006  ORAL ORDER as to James H. Giffen. Jury Selection set for 10/30/2006 09:30AM before Judge William H. Pauley III. Pretrial Conference set for 5/18/2006 02:15 PM before Judge William H. Pauley III.by Judge William H. Pauley III on 2/17/06)(pr, ) (Entered: 04/21/2006)
05/15/2006129 ORDER as to James H. Giffen. In view of the fact that an interlocutory appeal is pending before the Court of Appeals, the status conference scheduled for 5/18/06 @ 2:15 pm. is aduourned to 6/20/06 @ 2:30 pm. so ordered. (Signed by Judge William H. Pauley III on 5/12/06)(pr, ) (Entered: 05/15/2006)
05/15/2006  Set/Reset Hearings as to James H. Giffen: Status Conference set for 6/20/2006 02:30 PM before Judge William H. Pauley III..(pr, ) (Entered: 05/15/2006)
06/16/2006130 ORDER as to James H. Giffen. In view of the fact that an interlocutory appeal is pending before the Court of Appeals, the status conference scheduled for 6/20/06 at 2:30 p.m. is adjourned to 7/27/06 at 2:30 p.m. (Signed by Judge William H. Pauley III on 6/15/06); Copies faxed to counsel by Chambers.(bw, ) (Entered: 06/19/2006)
06/16/2006  Set/Reset Hearings as to James H. Giffen: Status Conference set for 7/27/2006 02:30 PM before Judge William H. Pauley III.(bw, ) (Entered: 06/19/2006)
07/25/2006131 ORDER as to James H. Giffen. In view of the fact that an interlocutory appeal is pending before the court of appeals, the status conference scheduled for 7/27/06 @ 2:30pm. is adjourned to 9/12/06 @ 3:30pm. So ordered. (Signed by Judge William H. Pauley III on 7/20/06)(pr, ) (Entered: 07/25/2006)
07/25/2006  Set/Reset Hearings as to James H. Giffen: Status Conference set for 9/12/2006 03:30 PM before Judge William H. Pauley III..(pr, ) (Entered: 07/25/2006)
08/16/2006132 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from William J. Schwartz dated 8/8/06 re: Rescheduling Conference., as to James H. Giffen;Scheduling Conference set for 8/18/2006 02:00 PM before Judge William H. Pauley III. Judge Memo-endorsed...The parties are directed to appear for a scheduling conference on 8/18/06 at 2:00pm. SO ORDERED. (Signed by Judge William H. Pauley III on 8/11/06)(jw, ) (Entered: 08/16/2006)
08/18/2006  Minute Entry for proceedings held before Judge William H. Pauley III:Pretrial Conference as to James H. Giffen held on 8/18/2006. Deft present with atty Steven M. Cohen and Matthew Beck. AUSA present Stephen Ritchin, Court Reporter present Rebecca Foreman. Next PTC set for 11/3/2006 at 2:30pm. Jury selection set for 1/16/2007 at 9:30am. SPT excluded from 8/18/2006 to 1/16/2006 under 18 USC 3161(h)(8)(A), bail continued. (jar, ) (Entered: 08/28/2006)
08/18/2006  ORAL ORDER as to James H. Giffen Time excluded from 8/1/2006 until 1/16/2007. As to James H. Giffen Jury Selection set for 1/16/2007 09:30AM before Judge William H. Pauley III. Pretrial Conference set for 11/3/2006 02:30 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley III on 8/18/2006)(jar, ) (Entered: 08/28/2006)
10/05/2006133 NOTICE of Change of Law Firm Name as to James H. Giffen. Effective immediately the name of the law firm serving as counsel of record for James H. Giffen, currently Kronish Lieb Weiner & Hellman LLP, has been changed to "Cooley Godward Kronish LLP." The address and telephone number of the firm have ot been changed. (ja, ) (Entered: 10/06/2006)
10/17/2006134 TRANSCRIPT of Proceedings as to James H. Giffen held on 8/18/06 before Judge William H. Pauley III. (tro, ) (Entered: 10/17/2006)
10/18/2006135 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Steven M. Cohen dated 10/5/06 re: Adjournemnt of trial for 6 weeks. Exclusion of time under the STA..Application granted. Trial adjourned to 2/26/07 on consent of the govt. Time excluded from SPT calculation from 10/16/06 to 2/26/07. purs to 18:3161(h)(8)(A). (Signed by Judge William H. Pauley III on 10/16/06)(pr, ) (Entered: 10/19/2006)
10/26/2006136 ORDER as to James H. Giffen. In view of the fact that an interlocutory appeal is pending before the Court of Appeals, the status conf scheduled for 11/3/06 at 2:30 p.m. is adjourned to 12/8/2006 12:00 PM before Judge William H. Pauley III. SO ORDERED. (Signed by Judge William H. Pauley III on 10/25/06)(ja, ) (Entered: 10/27/2006)
12/06/2006137 ORDER as to James H. Giffen., as to James H. Giffen; Status Conference set for 12/18/2006 12:00 PM before Judge William H. Pauley III. In view of the opinion of the Court of Appeals docketed December 4, 2006 dismissing the Government's interlocutory appeal for lack of appellate jurisdiction, the status conference scheduled for December 8, 2006 at 12:00pm is adjourned to December 18, 2006 at 12:00pm. The parties are directed to submit letter memoranda to th e Court by December 13, 2006 describing their respective positions about how this action should proceed. (Signed by Judge William H. Pauley III on 12/5/06)(jw, ) (Entered: 12/06/2006)
12/18/2006  Minute Entry for proceedings held before Judge William H. Pauley III:Pretrial Conference as to James H. Giffen held on 12/18/2006. Deft present w/atty William J. Schwartz and Steven M. Cohen. AUSA present Stephen Ritchin, West Porter, Esq. and Clifford Rones, Esq. Court Reporter present Carol Ganley. Joint submission from the parties on discovery due 1/19/07. Next PTC set for 1/26/07 at 12:00 p.m. SPT previously excluded from 8/18/06 to 1/16/07 under 18 U.S.C. 3161(h)(8)(A). Bail continued. (bw, ) (Entered: 12/29/2006)
12/18/2006  ORAL ORDER as to James H. Giffen. Brief (Joint submission on discovery) due by 1/19/2007. Pretrial Conference set for 1/26/2007 12:00 PM before Judge William H. Pauley III.(bw, ) (Entered: 12/29/2006)
01/03/2007138 USCA MANDATE ON INTERLOCUTORY APPEAL (certified copy) as to James H. Giffen re: 105 Notice of Appeal - Interlocutory. USCA Case Number 05-5782-cr. On consideration whereof, it is hereby ORDERED, ADJUDGED and DECREED that the appeal is DISMISSED for lack of appellate jurisdiction in accordance with the opinion of this court. Thomas W. Asreen, Acting Clerk, USCA. Issued As Mandate: 12/29/06. (bw, ) (Entered: 01/05/2007)
01/03/2007  Transmission of USCA Mandate/Order to the District Judge (Pauley, J.) on 1/5/07 re: 138 USCA Mandate - Interlocutory Appeal. (bw, ) (Entered: 01/05/2007)
01/17/2007139 TRANSCRIPT of Proceedings as to James H. Giffen held on 12/18/06 before Judge William H. Pauley III. (tro) (Entered: 01/17/2007)
01/23/2007140 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Stephen J. Ritchin, AUSA dated 1/18/07 re: 2 week adjournment of the time to make a joint submission about the discovery issues that remain in dispute. Adjournment of the 2/1 status conference..Application granted. Joint discovery submission due 2/2/07, Status conference adjourned to 2/15/07 @ 12PM. So ordered (Signed by Judge William H. Pauley III on 1/18/07)(pr) (Entered: 01/24/2007)
01/23/2007  Set/Reset Deadlines/Hearings as to James H. Giffen: Joint Discovery submission due by 2/2/2007. Status Conference set for 2/15/2007 12:00 PM before Judge William H. Pauley III.. (pr) Modified on 1/24/2007 (Robilotti, Paul). (Entered: 01/24/2007)
01/26/2007141 TRANSCRIPT of Proceedings as to James H. Giffen held on 12/18/06 before Judge William H. Pauley III. (tro) (Entered: 01/26/2007)
02/21/2007143 ORDER as to James H. Giffen. Ordered that the parties are directed to appear for a conference on 3/23/07 @ 2PM. Time excluded from 2/15/07 until 3/23/07 as indicated. So ordered (Signed by Judge William H. Pauley III on 2/14/07)(pr) (Entered: 02/22/2007)
02/22/2007142 Letter by USA as to James H. Giffen addressed to Judge Pauley from AUSAs Stephen J. Ritchin/Nicholas S. Goldin dated 2/6/07 re: submitted to inform the Judge that the parties jointly filed a sealed, classified submission relating to discovery on 2/2/07. (bw) (Entered: 02/22/2007)
03/08/2007144 Letter by USA as to James H. Giffen addressed to Judge Pauley from Stephen J. Ritchin / Nicholas S. Goldin, AUSAs dated 2/13/07 re: Notice that the parties jointly filed a sealed, classified submission relating to discovery on 2/13/07 (pr) (Entered: 03/09/2007)
03/23/2007  Minute Entry for proceedings held before Judge William H. Pauley III:Pretrial Conference as to James H. Giffen held on 3/23/2007. Dft James H. Giffen pres w/attys William J. Schwartz, Matthew Beck and Kevin Galbraith; AUSAs Stephen Ritchin and Nicolas Goldin, Wes Porter, Esq. and Clifford Rones, Esq. pres. Crt rptr pres. Dft's Discovery submission due by 4/16/2007. Govt's response due by 5/7/2007 and dft's reply due by 5/14/2007. Oral Argument set for 6/6/2007 02:00 PM before Judge William H. Pauley III. T/E from 3/23/07 to 6/6/07 under 18 USC Sec 3161(h)(8)(A). Bail cont'd.(Court Reporter Michelle Bulkley) (ja) (Entered: 04/11/2007)
04/06/2007146 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from William J. Schwartz dated 3/27/07 re: Amend the protective order in this case dtd 12/10/04, to include in paragraph 7 Jonathan Bach as an individual permitted to have access to classified documents and information. Application granted. So ordered.. (Signed by Judge William H. Pauley III on 4/2/07)(pr) (Entered: 04/09/2007)
04/11/2007147 TRANSCRIPT of Proceedings as to James H. Giffen held on 3/23/2007 at 2:10 pm before Judge William H. Pauley III. (mbe) (Entered: 04/11/2007)
04/16/2007150 Certificate of Service by James H. Giffen. (jw) (Entered: 04/27/2007)
04/23/2007148 Letter by USA as to James H. Giffen addressed to Judge William H. Pauley from Stephen J. Ritchin dated 3/23/2007 re: The parties in the above-referenced case jointly filed a sealed, classified submission relating to discovery on 3/21/2007. (jar) (Entered: 04/23/2007)
04/24/2007149 TRANSCRIPT of Proceedings as to James H. Giffen held on 3/23/2007 before Judge William H. Pauley III. (jp) (Entered: 04/24/2007)
05/11/2007151 Letter by USA as to James H. Giffen, addressed to Judge Pauley, from Stephen J. Ritchin/Nicholas B. Goldin, AUSAs, dated 5/7/07, re: take notice that today the Gov't filed a sealed, classified submission relating to discovery in the above-referenced case. (ja) (Entered: 05/15/2007)
05/21/2007152 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Attorney William J. Schwartz dated 5/10/07 re: submitted to request an extension of time, from 5/14/07 until 5/21/07, to file their reply to the govt's 3/7/07 letter regarding the current classified discovery dispute. ENDORSEMENT: Application Granted on Consent of the Government. (Signed by Judge William H. Pauley III on 5/10/07)(bw) (Entered: 05/22/2007)
06/20/2007153 ORDER as to James H. Giffen. Ordered that 1. the parties are directed to appear for a conference on 7/27/07 @ 2PM. 2. prospectively excluded the time from 6/6/07 until 7/27/07 as indicated. So Ordered. (See attached order for full text) (Signed by Judge William H. Pauley III on 6/6/07)(pr) (Entered: 06/21/2007)
06/20/2007  Set/Reset Hearings as to James H. Giffen: Pretrial Conference set for 7/27/2007 at 02:00 PM before Judge William H. Pauley III.. (pr) (Entered: 06/21/2007)
06/20/2007154 SCHEDULING ORDER as to James H. Giffen. Parties are directed to appear for a Pretrial Conference set for 7/27/2007 at 02:00 PM before Judge William H. Pauley III. Pretrial Conference set for 7/27/2007 at 02:00 PM before Judge William H. Pauley III. SO ORDERED. (Signed by Judge William H. Pauley III on 6/11/07)(ja) (Entered: 06/21/2007)
07/12/2007155 TRANSCRIPT of Proceedings as to James H. Giffen held on 3/23/07 before Judge William H. Pauley III. (jbe) (Entered: 07/12/2007)
07/24/2007156 Memorandum of Understanding as to James H. Giffen. Dated 7/17/07. [*** Note: Accepted for filing by Judge Pauley ***] (bw) (Entered: 07/25/2007)
07/24/2007157 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Attorney Jonathan Bach dated 7/17/07 re: submitted to request that the Court, by so-ordering this letter, amend the protective order in this case dated December 10, 2004, to include in paragraph 7 Daniel Davis as an individual permitted to have access to classified documents and information. ENDORSEMENT: Application Granted. So Ordered. (Signed by Judge William H. Pauley III on 7/18/07)(bw) (Entered: 07/25/2007)
07/25/2007158 Letter by USA as to James H. Giffen addressed to Judge Pauley, from Stephen Ritchin/Nicholas Goldin, AUSAs, dated 7/19/07, re: response to an inquiry from Your Honor's Chambers as to whether there is any need for the status conference previously scheduled for July 27. Parties agree that there is no need for a status conference on that date. However, the Gov't requests that the time from 7/27 until the date of next status conference be excluded pursuant to STA. (ja) (Entered: 07/26/2007)
08/03/2007159 SCHEDULING ORDER as to James H. Giffen. Deft James A. Giffen seeks the production of certain categories of classified documents purportedly material to his public authority defenses. For the reasons set forth in this Court's Memorandum and Order, dated 7/9/07, filed under seal with the Court Security Officer, the Govt is directed to submit an ex parte report by 10/9/07 detailing, by Request, the number of responsive documents and their Bates range, originating agency, date, author(s), addressee(s) or recipient(s), and re line or subject matter. With respect to each Request, the Govt shall sort its response into the following categories: (1) material responsive documents that the Govt will produce in their original form; (2) material responsive documents that the Govt intends to redact and summarize pursuant to Section 4 of the Classified Information Procedures Act, 18 U.S.C. App. 3 Section 4; and (3) responsive documents that the Govt contends are not material. In view of the 7/9/07 Memorandum and Order, the status conference scheduled for 7/27/07 is adjourned to 10/26/07 at 12:00 p.m. On consent of the parties, time from 7/27/07 until 10/26/07 is excluded from Speedy Trial Act calculation. (Signed by Judge William H. Pauley III on 7/24/07)(bw) (Entered: 08/06/2007)
08/03/2007  Set/Reset Deadlines/Hearings as to James H. Giffen: Brief (ex parte report by Govt) due by 10/9/2007. Status Conference set for 10/26/2007 at 12:00 PM before Judge William H. Pauley III. (bw) (Entered: 08/06/2007)
08/07/2007160 ORDER as to James H. Giffen. On July 25, 2007 at the parties request, this Court issued an Order, filed under seal with the Court Security Officer, clarifying its July 9, 2007 Memorandum and Order, also filed under seal with the Court Security Officer. SO ORDERED. (Signed by Judge William H. Pauley III on 8/3/07)(jw) (Entered: 08/09/2007)
09/19/2007161 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Jonathan Bach dated 7/20/07 re: Request that these same individuals be permitted to bring cellular telephones and Blackberry telecommunication devices into the Courthouse..Application Granted as to access to the Courthouse outside normal business hours. However, only counsel admitted to this Court may bring cellular telephones and blackberry telecommunication devices. SO ORDERED. (Signed by Judge William H. Pauley III on 9/13/07)(jw) (Entered: 09/20/2007)
10/29/2007162 ORDER as to James H. Giffen., as to James H. Giffen, ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT as to James H. Giffen. Time excluded from 10/26/07 until 12/14/07; Status Conference set for 12/14/2007 at 12:30 PM before Judge William H. Pauley III. On October 5, 2007 Counsel for the Government requested an extension of time to file its ex parte discovery report and submitted an ex parte report detailing its progress thus far. It is ordered that the Government shall file another ex parte progress report by November 30, 2007. This continuance serves to ensure the effective assistance of counsel and to prevent any miscarriage of justice. The ends of justice served by such a continuance outweigh the best interests of the public and the defendant in a speedy trial pursuant to 18 USC 3161(h)(8)(A). (Signed by Judge William H. Pauley III on 10/15/07)(jw) (Entered: 10/30/2007)
12/14/2007  Minute Entry for proceedings held before Judge William H. Pauley, III:Pretrial Conference as to James H. Giffen held on 12/14/2007. Dft present w/attys William J. Schwartz, Jonathan Bach, Daniel Davis and Kathleen Cassidy. AUSAs Stephen Ritchin and Wes Porter present. Crt rptr present. Govt's report due 3/31/08. (Next Pretrial Conference set for 4/18/2008 at 12:00 PM before Judge William H. Pauley III.) SPT excluded from 12/14/07 to 4/18/08 under 18 USC 3161(h)(8)(A). Dft cont'd on bail. (Court Reporter Michelle Bulkley) (ja) (Entered: 01/02/2008)
12/28/2007163 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from William J. Schwartz dated 12/14/07 re: Requested today that these bail conditions be modified to discontinue the monthly personal appearances before pretrial services, and to require only that Mr. Giffen report to pretrial services telephonically once per month...ENDORSEMENT...Application Granted. SO ORDERED. (Signed by Judge William H. Pauley, III on 12/14/07)(jw) (Entered: 01/17/2008)
12/28/2007164 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from William J. Schwartz dated 12/14/07 re: Request that the Court, by so-ordering this letter, amend the protective order in this case dated December 10, 2004, to include in paragraph 7 Kathleen Cassidy as an individual permitted to have access to classified documents and information...ENDORSEMENT...SO ORDERED. (Signed by Judge William H. Pauley, III on 12/14/07)(jw) (Entered: 01/18/2008)
12/28/2007165 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Stephen Ritchin and Nicholas Goldin dated 12/14/07 re: Exclude Time as to James H. Giffen...ENDORSEMENT...Application Granted. SO ORDERED. (Signed by Judge William H. Pauley, III on 12/14/07)(jw) (Entered: 01/18/2008)
01/29/2008166 SCHEDULING ORDER as to James H. Giffen. Counsel for the parties having appeared for a conference on 12/14/07, the following schedule is established on consent: (1) the Govt shall submit an interim ex parte report in accord with this Court's 7/9/07 Order by 3/31/08 and (2) this Court will hold a status conference on 4/18/08 at 12:00 p.m. (Signed by Judge William H. Pauley, III on 1/28/08)(bw) (Entered: 01/29/2008)
01/29/2008  Set/Reset Deadlines/Hearings as to James H. Giffen: Brief (by Govt) due by 3/31/2008. Status Conference set for 4/18/2008 at 12:00 PM before Judge William H. Pauley III. [See Order, doc.#166] (bw) (Entered: 01/29/2008)
02/18/2008168 ORDER as to James H. Giffen. On 2/15/08, a stipulation and order clarifying the Govt's obligations under this Court's 7/9/07 Order was filed under seal with the Court Security Officer. SO ORDERED. (Signed by Judge William H. Pauley, III on 2/15/08)(ja) (Entered: 02/20/2008)
02/19/2008167 TRANSCRIPT of Proceedings as to James H. Giffen held on 12/14/07 before Judge William H. Pauley, III. (jbe) (Entered: 02/19/2008)
04/24/2008169 SCHEDULING ORDER as to James H. Giffen. 1. Govt shall provide this court with an interim ex parte report in accord with this court's 7/9/07 order no later than 8/1/08; 2. Govt shall submit copies of all documents reflected in the interim ex parte reports to the court as indicated. 3. this court will hold a status conference on 9/5/08 @ 12PM. 4. time from 4/18/08 until 9/5/08 is excluded from STA calculation as indicated. So Ordered (Signed by Judge William H. Pauley, III on 4/18/08)(pr) (Entered: 04/25/2008)
04/24/2008  Set/Reset Hearings as to James H. Giffen: Status Conference set for 9/5/2008 at 12:00 PM before Judge William H. Pauley III.. (pr) (Entered: 04/25/2008)
04/28/2008170 TRANSCRIPT of Proceedings as to James H. Giffen held on 4/18/08 before Judge William H. Pauley, III. (ama) (Entered: 04/28/2008)
05/16/2008171 TRANSCRIPT of Proceedings as to James H. Giffen held on 4/18/2008 before Judge William H. Pauley, III. (ama) (Entered: 05/16/2008)
09/05/2008  Minute Entry for proceedings held before Judge William H. Pauley, III:Pretrial Conference as to James H. Giffen held on 9/5/2008, as to James H. Giffen( Pretrial Conference set for 11/18/2008 at 12:00 PM before Judge William H. Pauley III.) Defendant present with atty William J. Schwartz, Jonathan Bach, Daniel Davis and Kathleen Cassidy, AUSA present Stephen Ritchin, Lee Renzin, Wes Porter, and Clifford Rones, Court reporter present Linda Fisher. Next PTC set for 11/18/08 at 12:00pm. SPT excluded from 9/5/08 until 11/18/08 under 18 USC 3161(h)(8)(A), bail continued. (jw) (Entered: 09/24/2008)
09/16/2008173 Letter by and on behalf of James H. Giffen, addressed to Judge Pauley, from William J. Schwartz, atty for dft, dated 9/8/08, re: we write to request the Court in conducting its ex-parte proceeding on 9/25/08, to not only explore the plans of the various agencies to comply with its discovery orders going forward but to conduct an inquiry sufficient to determine whether any delays in production to date have been the result of deliberate inaction or indifference on the part of those agencies such that Mr. Giffen's rights to a speedy and fair trial may have been compromised.... (ja) (Entered: 09/17/2008)
10/01/2008174 TRANSCRIPT of Proceedings as to James H. Giffen held on 9/5/2008 before Judge William H. Pauley, III. (jn) (Entered: 10/01/2008)
11/06/2008175 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Attorney William J. Schwartz dated 11/3/08 re: submitted to request an adjournment of the hearing now scheduled for 11/18/08 at noon. ENDORSEMENT: Application Granted. The conference is adjourned to December 10, 2008 at 5:15 p.m. in the interests of justice. (Signed by Judge William H. Pauley, III on 11/5/08)(bw) (Entered: 11/06/2008)
11/12/2008176 NOTICE OF ATTORNEY APPEARANCE Lee Renzin appearing for USA. (Renzin, Lee) (Entered: 11/12/2008)
11/12/2008177 NOTICE OF ATTORNEY APPEARANCE Stephen J Ritchin appearing for USA. (Ritchin, Stephen) (Entered: 11/12/2008)
11/17/2008178 NOTICE OF ATTORNEY APPEARANCE: Jonathan Paul Bach appearing for James H. Giffen. (ja) (Entered: 11/20/2008)
11/17/2008179 NOTICE OF ATTORNEY APPEARANCE: Kathleen Elizabeth Cassidy appearing for James H. Giffen. (ja) (Entered: 11/20/2008)
11/17/2008180 NOTICE OF ATTORNEY APPEARANCE: Daniel Harold Davis appearing for James H. Giffen. (ja) (Entered: 11/20/2008)
12/10/2008  Minute Entry for proceedings held before Judge William H. Pauley, III: Pretrial Conference as to James H. Giffen held on 12/10/2008. Dft James H. Giffen present w/attys William J. Schwartz, Jonathan Bach, Daniel Davis and Kathleen Cassidy. AUSAs Stephen Ritchin, Lee Renzin, Wes Porter, and Clifford Rones. Crt Rptr present. Counts 2-8, 15-20, 24-29, and 32-39 of Superseding Indictment (S2) 03 Cr. 404) dismissed on the motion of the Gov't. Gov't submission regarding whether or not dft can review otherwise classified material shall be submitted on or before 12/17/08, dft's response by 1/15/09, Govt's reply by 1/29/09. Gov't is directed to submit an ex parte report regarding the status of the production of remaining discovery on 1/9/09. ( Replies due by 1/29/2009. Responses due by 1/15/2009. The next Pretrial Conference set for 2/25/2009 at 04:30 PM before Judge William H. Pauley III.). T/E excluded from 12/10/08 until 2/25/09 under 18 USC 3161 (h)(8)(A) cont'd. (Court Reporter Linda Fisher) (ja) (Entered: 12/18/2008)
01/07/2009181 TRANSCRIPT of Proceedings as to James H. Giffen held on 12/10/2008 before Judge William H. Pauley, III. (D'Avanzo, Daniel) (Entered: 01/07/2009)
02/25/2009182 ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT: As to James H. Giffen. On consent of both parties, oral argument in this matter is adjourned from February 25,2009 until March 9, 2009 at 3:30 p.m. The Court prospectively excludes the time from February 25, 2009 until March 9, 2009 from Speedy Trial Act calculation. This Court finds that this continuance serves to ensure the effective assistance of counsel and to prevent any miscarriage of justice. Additionally, this Court finds that the ends of justice served by such acontinuance outweigh the best interests of the public and the defendant in a speedy trial pursuant to 18 U.S.C. ยง 3161(h)(8)(a). Time excluded from 2/25/2009 until 3/9/2009. So Ordered. As to James H. Giffen( Oral Argument set for 3/9/2009 at 3:30 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 2/25/2009)(dnd) (Entered: 02/25/2009)
03/09/2009  Minute Entry for proceedings held before Judge William H. Pauley, III:Pretrial Conference as to James H. Giffen held on 3/9/2009 as to James H. Giffen( Pretrial Conference set for 6/4/2009 at 04:00 PM before Judge William H. Pauley III.) Argument held. Defendant present w/ attorney William J. Schwartz, Jonathan Bach, and Kathleen Cassidy. AUSA present Stephen Ritchin, Lee Renzin, Wes Porter, and Clifford Rones. Court Reporter present Michele Bulkley. Decision reserved. Next PTC set for 6/4/09 at 4:00 pm. SPT excluded from 3/9/09 until 6/4/09 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. (jw) (Entered: 03/10/2009)
03/12/2009190 TRANSCRIPT of Proceedings as to James H. Giffen held on March 9, 2009 before Judge William H. Pauley, III. (jab) (Entered: 04/15/2009)
03/13/2009183 PROTECTIVE ORDER as to (S2-03-Cr-404-01) James H. Giffen....[See Order]... IT IS HEREBY ORDERED: 1. Discovery materials produced by the Government in this action that contain trade secrets and/or confidential proprietary business and commercial information are to be designated and labeled as "Trade Secrets/Business Confidential". 2. Documents designated "Trade Secrets/Business Confidential" and disclosed to the defendant or to his counsel during the course of proceedings in this action:...[See Order]... 3. The defendant and his counsel shall provide a copy of this Order to designated persons to whom they disclose confidential information pursuant to paragraphs 2(c)(i), (ii) and (iii). Designated persons shall be subject to the terms of this Order. 4. Nothing herein shall prevent the defendant from using material containing trade secrets and/or proprietary business and commercial information or from referring to or reciting from any such material in connection with pleadings or motions filed in this case, provided that such materials be filed under seal with the words "FILED UNDER SEAL" appearing next to the caption of such filing and/or submitted to the Court for in camera inspection. The use of material containing trade secrets and/or proprietary business and commercial information at trial or pre or post-trial hearing will be resolved at or before the time of the trial or hearing. 5. This Order, including Paragraphs 2 and 4 above, shall not be construed to modify in any way the procedures for handling classified documents, including classified documents designated "Trade Secrets/Business Confidential", which procedures are set forth in the Court's September 10, 2004 Protective Order and any subsequent Order of this Court addressing classified documents. SO ORDERED. (Signed by Judge William H. Pauley, III on 3/12/09)(bw) (Entered: 03/16/2009)
03/20/2009184 ENDORSED LETTER: As to James H. Giffen addressed to Judge William H. Pauley III from William J. Schwarz dated 3/16/2009. re: We write to request that James H. Giffen, William J. Schwartz, Jonathan Bach, Kathleen Cassidy and Dawn Nickich be permitted to access the secure area that has been set up in the Daniel Patrick Moynihan United States Courthouse outside normal business hours and on weekends. Additionally, we request that these same individuals be permitted to bring cellular telephones and Blackberry telecommunication devices into the secure area for the duration of the case. ENDORSEMENT: Application Granted. So Ordered. (Signed by Judge William H. Pauley, III on 3/19/2009)(dnd) (Entered: 03/20/2009)
03/23/2009185 TRANSCRIPT of Proceedings as to James H. Giffen held on September 25, 2008 2:45pm before Judge William H. Pauley, III. [*** NOTE: Received for docketing on 3/20/09; the wording "Sealed - Classifed" on top of every page of document were crossed out prior to receive for docketing. ***] (bw) (Entered: 03/23/2009)
03/31/2009186 TRANSCRIPT of Proceedings as to James H. Giffen held on 3/9/09 before Judge William H. Pauley, III. (tro) (Entered: 04/10/2009)
04/08/2009187 Letter by USA as to James H. Giffen, addressed to Judge Pauley, from Stephen Ritchin/Lee Renzin, AUSAs, and Wes Reber Porter, Trial atty, Criminal Div, Fraud Section..., dated 1/29/09, re: reply to James Giffen's Letter of 1/15/09, in which the defense responds to the Govt's 12/5/08 letter (the "Gov't Ltr."). In the December 5th letter, we set forth our objection, pursuant to paragraph 13(i) of the September 10, 2004 Protective Order, to the disclosure of all classified information and documents that have been and will be produced to the Court and deemed material to the defense to Giffen at this stage of the litigation.... we respectfully submit, is for the Classified Documents to be produced only to cleared defense counsel at this stage of the litigation.... this is the procedure adopted by numerous district courts and approved by the Second Circuit. See Gov't Ltr. at 2 (citing cases). It is, we respectfully submit, the course that properly balances the Govt's interest in avoiding unauthorized disclosures of classified information against Giffen's interest in inspecting every one of the Classified Documents at this stage of the litigation. (ja) (Entered: 04/10/2009)
04/08/2009188 Letter by USA as to James H. Giffen, addressed to Judge Pauley, from Stephen Ritchin/Lee Renzin, AUSAs, and Wes Reber Porter, Trial Atty, Crim Div., dated 12/5/08, re: pursuant to the Court's Memorandum and Order of 7/9/07, a substantial volume of classified information and/or documents ("Classified Documents") have been produced to the Court in the last few months, and additional Classified Documents will be produced to the Court... We write now, pursuant to paragraph 13(i) of the 9/10/04 Protective Order, to object, to the disclosure of Classified Documents to the dft, who does not have the requisite security clearance.... (ja) (Entered: 04/10/2009)
04/09/2009189 Letter as to James H. Giffen, addressed to Judge Pauley, from William J. Schwartz, atty for dft, dated 1/15/09, re: in response to the government's letter of December 5, 2008, seeking to restrict the disclosure of classified discovery materials to James Giffen. The government proposes to have the defense demonstrate, on a document by document basis, that disclosure to Mr. Giffen is necessary. Govt Let. at 1-2. This extraordinary requirement has no justification in the circumstances of this case and would burden the exercise of some of Mr. Giffen most basic constitutional rights.... For the foregoing reasons, the government's application should be denied. (ja) (Entered: 04/10/2009)
04/23/2009191 ORDER as to (S2-03-Cr-404-01) James H. Giffen. The Government objects to the disclosure of any Classified Documents to Defendant and moves this Court to approve its proposal that the Classified Documents be produced only to defense counsel at this time. If defense counsel determines that they need to review certain documents with Defendant, the Government will consult with the relevant agencies and respond to any such request at that time. For the reasons set forth in this Court's Sealed Memorandum and Order, dated April 2, 2009, filed under seal with the Court Security Officer, this Court approved the Government's proposal. The Government is directed to prepare a redacted version of the April 2, 2009 Memorandum and Order which can be filed publicly. SO ORDERED. (Signed by Judge William H. Pauley, III on 4/22/09)(bw) (Entered: 04/23/2009)
04/23/2009192 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Attorney William J. Schwartz dated 4/21/09 re: We write concerning the Court's sealed opinion granting the government's motion recent CIPA application. We request that the Court change the time of the June 4 hearing to either 4:30 or 5:00 p.m. ENDORSEMENT: Application granted. The June 4, 2009 conference will be held at 5:00 p.m. (Signed by Judge William H. Pauley, III on 4/23/09)(bw) (Entered: 04/23/2009)
06/04/2009  Minute Entry for proceedings held before Judge William H. Pauley, III:Pretrial Conference as to James H. Giffen held on 6/4/2009 as to James H. Giffen( Pretrial Conference set for 9/23/2009 at 03:00 PM before Judge William H. Pauley III.) Defendant present w/atty William J. Scwhartz, Esq. and Jonathan Bach. AUSA present Stephen Ritchin, Esq. and Lee Renzin, Esq. Court reporter present Michele Bulkley. Next PTC will be held 9/23/09 at 3:00 p.m. SPT excluded from 6/4/09 to 9/23/09 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. (jw) (Entered: 06/08/2009)
06/05/2009193 ORDER as to James H. Giffen. Pursuant to this Court's July 9, 2007 Memorandum and Order (the "July 2007 Order"), the Government has produced a substantial volume of classified information (the "Classified Documents") for the Court's review under the Classified Information Protection Act ("CIPA"). The Government objects to disclosure of the Classified Documents to Defendant and proposes that they be produced only to defense counsel at this time. If defense counsel believes there is a need for Defendant to review certain documents, they will make a request of the Government, which will then consult with the relevant agencies and respond to defense counsel. For the following reasons, this Court adopts the procedure proposed by the Government. [*** See Order for complete text ***]. (Signed by Judge William H. Pauley, III on 4/2/09)(bw) (Entered: 06/05/2009)
06/16/2009194 TRANSCRIPT of Proceedings as to James H. Giffen held on 6/4/09 before Judge William H. Pauley, III. (ldi) (Entered: 06/16/2009)
09/23/2009  Minute Entry for proceedings held before Judge William H. Pauley, III: Pretrial Conference as to James H. Giffen held on 9/23/2009. PTC held. Defendant present w/atty William J. Scwhartz, Esq., Jonathan Bach., Esq. and Kathleen Cassidy, Esq. AUSA present Stephen Ritchin, Esq. and Lee Renzin, Esq. Clifford Rones of the DOJ present. Court reporter present Linda Fisher. Next PTC will be held 1/8/2010 at 3:00 p.m. SPT excluded from 9/23/2009 to 1/8/2010 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. (bw) (Entered: 09/29/2009)
09/23/2009  ORAL ORDER as to James H. Giffen. Time excluded from 9/23/2009 until 1/8/2010. Pretrial Conference set for 1/8/2010 at 03:00 PM before Judge William H. Pauley III. (bw) (Entered: 09/29/2009)
10/05/2009196 TRANSCRIPT of Proceedings as to James H. Giffen held on 9/23/09 before Judge William H. Pauley, III. (ldi) (Entered: 11/10/2009)
10/28/2009195 TRANSCRIPT of Proceedings as to James H. Giffen held on 9/23/09 before Judge William H. Pauley, III. (ldi) (Entered: 11/03/2009)
12/29/2009197 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Jonathan Bach re: Reschedule Conference as to James H. Giffen( Pretrial Conference set for 2/9/2010 at 04:00 PM before Judge William H. Pauley III.), ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT as to James H. Giffen. Time excluded from 12/23/09 until 2/9/2010....ENDORSEMENT...Application Granted in the interests of justice. The conference is adjourned to February 9, 2010 at 4:00pm. SO ORDERED. (Signed by Judge William H. Pauley, III on 12/23/09)(jw) (Entered: 12/29/2009)
02/09/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Pretrial Conference as to James H. Giffen held on 2/9/2010. PTC held. Defendant present w/atty William J. Scwhartz, Esq., Jonathan Bach., Esq. and Kathleen Cassidy, Esq. AUSA present Anirudh Bansal and Lee Renzin. Court reporter present Linda Fisher. Next PTC will be held 3/26/10 at 3:30 p.m. SPT excluded from 2/9/10 to 3/26/10 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. (bw) (Entered: 02/16/2010)
02/09/2010  ORAL ORDER as to James H. Giffen. Time excluded from 2/9/2010 until 3/26/2010. Pretrial Conference set for 3/26/2010 at 03:30 PM before Judge William H. Pauley III. (bw) (Entered: 02/16/2010)
02/18/2010198 TRANSCRIPT of Proceedings as to James H. Giffen held on February 9, 2010 4:10 p.m. before Judge William H. Pauley, III. (ajc) (Entered: 02/19/2010)
03/23/2010199 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Attorney William J. Schwartz dated March 11, 2010 re: We understand from discussions with your Chambers that the conference previously scheduled for March 26 has been adjourned to April 13 at 3:00 p.m. We write to inform the Court of our consent to the exclusion of the additional time until April 13 under the Speedy Trial Act. ENDORSEMENT: Application Granted. Time is excluded from March 26 until April 13, 2010 from Speedy Trial Act calculations in the interests of Justice. So Ordered. (Signed by Judge William H. Pauley, III on 3/22/2010)(bw) (Entered: 03/23/2010)
04/13/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Pretrial Conference as to James H. Giffen held on 4/13/2010. Defendant present w/atty William J. Scwhartz, Esq., Jonathan Bach., Esq. and Kathleen Cassidy, Esq. AUSA present Anirudh Bansal. Court reporter present Paula Speer. Next PTC will be held 6/7/10 at 2:00 p.m. SPT excluded from 4/13/10 to 6/7/10 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. ( Pretrial Conference set for 6/7/2010 at 02:00 PM before Judge William H. Pauley III.) (Court Reporter Paula Speer) (ja) (Entered: 05/03/2010)
04/26/2010201 TRANSCRIPT of Proceedings as to James H. Giffen held on April 13, 2010 3:00 p.m. before Judge William H. Pauley, III. (ajc) (Entered: 04/28/2010)
04/27/2010200 ORDER as to James H. Giffen. For the reasons set forth on the record at the April 13, 2010 conference, the Government is directed to allow Defendant James Giffen access to documents memorializing communications with him or reporting information he provided to the Government. If the Government objects to these disclosures, it is directed to make an ex parte submission to the Court by May 14, 2010. SO ORDERED: (Signed by Judge William H. Pauley, III on 4/27/2010)(bw) (Entered: 04/27/2010)
06/02/2010  MEMORANDUM TO THE DOCKET CLERK: as to James H. Giffen. The conference set for 6/7/10 at 2:00 p.m. is adjourned until 6/29/10 at 2:30 p.m. SPT excluded from 6/7/10 to 6/29/10 under 18 U.S.C. 3161 (h)(8)(A). Bail continued. (Pauley, J.) (bw) (Entered: 06/02/2010)
06/02/2010  Set/Reset Hearings as to James H. Giffen: Pretrial Conference set for 6/29/2010 at 02:30 PM before Judge William H. Pauley III. (bw) (Entered: 06/02/2010)
06/16/2010202 ENDORSED LETTER as to James H. Giffen addressed to Judge Pauley from Kathleen E. Cassidy re: I write to confirm that the conference previously scheduled for June 29 has been adjourned to June 30 at 2:30 p.m. We consent to the exclusion of the additional day under the Speedy Trial Act as to James H. Giffen( Pretrial Conference set for 6/30/2010 at 02:30 PM before Judge William H. Pauley III.) ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT as to James H. Giffen. Time excluded from 6/16/2010 until /30/2010...ENDORSEMENT...Application Granted in the interest of justice. SO ORDERED. (Signed by Judge William H. Pauley, III on 6/16/2010)(jw) (Entered: 06/17/2010)
07/01/2010203 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from William J. Schwartz, atty for dft, dated 6/30/2010, re: the dft, Mr. Giffen consents to the exclusion of time under the STA from 6/30/2010 to 7/16/2010, the date of the rescheduled conference. -- Judge endorsed: Application granted in the interests of justice. SO ORDERED. ( Pretrial Conference adjourned to 7/16/2010 at 03:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 7/1/2010)(ja) (Entered: 07/02/2010)
07/15/2010204 ENDORSED LETTER as to James H. Giffen, addressed to Judge Pauley, from William J. Schwartz, atty for dft, dated 7/15/2010, re: Mr. Giffen consents to the exclusion of time under the Speedy Trial Act from 7/16/2010 to 7/29/2010, the date of the rescheduled conference. -- Judge endorsed: Application granted. T/E from Speedy Trial Act calculation in the interests of justice. SO ORDERED. ( Pretrial Conference set for 7/29/2010 at 04:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 7/15/2010)(ja) (Entered: 07/16/2010)
07/29/2010205 ORDER EXCLUDING TIME UNDER THE SPEEDY TRIAL ACT as to James H. Giffen. Time excluded from 7/29/2010 until 8/6/2010. Today's conference is adjourned until 8/6/2010 at 2:15 p.m. No further requests for an adjournment will be granted.... SO ORDERED. ( Pretrial Conference set for 8/6/2010 at 02:15 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 7/29/2010)(ja) (Entered: 07/29/2010)
08/06/2010206 (S3) INFORMATION (Felony) filed as to The Mercator Corporation (2) count(s) 1. (bw) (Entered: 08/11/2010)
08/06/2010207 WAIVER OF INDICTMENT by The Mercator Corporation. (bw) (Entered: 08/11/2010)
08/06/2010208 (S4) INFORMATION (Misdemeanor) filed as to James H. Giffen (1) count(s) 1sss. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry on "Bail Disposition Sheet" for proceedings held before Judge William H. Pauley, III: Bond Hearing as to James H. Giffen held on 8/6/2010. For the Government, Lee Renzin, AUSA. For the defendant, William J. Schwartz, Esq. Bail Disposition: $250,000 PRB. Defendant must inform Court five days in advance of any international travel including where he will visit and for how long. (Signed by Judge William H. Pauley on 8/6/2010) (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Initial Appearance as to The Mercator Corporation held on 8/6/2010. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Arraignment as to James H. Giffen (1) Count 1sss and The Mercator Corporation (2) Count 1 held on 8/6/2010. Defendant present with attorney William J. Schwartz, Esq., Johnathan Bach, Esq., and Kathleen Cassidy, Esq. AUSA present Anirudh Bansal and Lee Renzin. Court reporter present Carol Ganley. Curcio hearing held: Court found the defendant made a knowing, voluntary, and intelligent waiver of his right to conflict free counsel. The Court found that Mercator Corporation has given authority to William J. Schwartz, Esq. to appear on its behalf. Defendant Giffen arraigned on Information S4-03-Cr-404. Defendant Giffen pled not guilty to S4-03-Cr-404. Mercator Corporation arraigned on Information S3-03-Cr-404. Mercator Corporation pled not guilty to S3-03-Cr-404. Defendant Giffen withdrew his previously entered plea of not guilty and pled guilty to Information S4-03-Cr-404. Mercator Corporation withdrew its previously entered plea of not guilty and pled guilty to Information S3-03-Cr-404. Sentencing is set for 11/19/10 at 2:00 p.m. Bail modified as follows: $250,000 PRB and the defendant's travel restrictions are lifted, but he must provide the Court with his itinerary five days prior to any international travel. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Curcio Hearing as to James H. Giffen held on 8/6/2010. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Plea entered by (S4-03-Cr-404-) James H. Giffen (1) Count 1sss; and (S3-03-Cr-404-) The Mercator Corporation (2) Count 1 --- Not Guilty. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Change of Plea Hearing as to The Mercator Corporation, James H. Giffen held on 8/6/2010. (bw) (Entered: 08/11/2010)
08/06/2010  Change of Not Guilty Plea to Guilty Plea as to (S4-03-Cr-404-) James H. Giffen (1) Count 1sss and (S3-03-Cr-404-) The Mercator Corporation (2) Count 1. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Plea (on S4-03-Cr-404) entered by James H. Giffen (1) Guilty as to Count 1sss. (bw) (Entered: 08/11/2010)
08/06/2010  Minute Entry for proceedings held before Judge William H. Pauley, III: Plea (on S3-03-Cr-404) entered by The Mercator Corporation (2) Guilty as to Count 1. (bw) (Entered: 08/11/2010)
08/06/2010  ORAL ORDER as to (S4-03-Cr-404-01) James H. Giffen, (S3-03-Cr-404-02) The Mercator Corporation. Sentencing set for 11/19/2010 at 02:00 PM before Judge William H. Pauley III. (bw) (Entered: 08/11/2010)
08/10/2010  ***DELETED DOCUMENT. Deleted document number 206 Order, as to James H. Giffen. The document was incorrectly filed in this case. (ab) (Entered: 08/10/2010)
08/12/2010209 TRANSCRIPT of Proceedings as to James H. Giffen held on August 6, 2010 before Judge William H. Pauley, III. (jw) (Entered: 08/12/2010)
08/12/2010210 TRANSCRIPT of Proceedings as to James H. Giffen held on August 6, 2010 2:45 p.m. before Judge William H. Pauley, III. (bw) (Entered: 08/12/2010)
09/23/2010  Minute Entry for proceedings held before Judge William H. Pauley, III:As to James H. Giffen held on 9/23/2010. Curcio Hearing as to James H. Giffen held on 9/23/2010. Curcio hearing held. Defendant present w/ atty Johnathan Bach, Esq., and Kathleen Cassidy, Esq. AUSA present Lee Renzin. Court reporter present Karen Gorlaski. The Court finds that the defendant, and the defendant on behalf of Mercator Corp., made a knowing, voluntary, and intelligent waiver of his and Mercator Corps right to conflict free counsel pertaining to Kathleen Cassidys pending application the US Attorneys Office, SDNY. Bail continued.Pauley, J (ajc) (Entered: 09/24/2010)
10/19/2010211 TRANSCRIPT of Proceedings as to James H. Giffen held on 9/23/2010 before Judge William H. Pauley, III. (ab) (Entered: 10/22/2010)
11/19/2010  Minute Entry for proceedings held before Judge William H. Pauley, III:Sentencing held on 11/19/2010 for The Mercator Corporation (2) Count 1. (jw) (Entered: 11/23/2010)
11/19/2010  Minute Entry for proceedings held before Judge William H. Pauley, III:Sentencing held on 11/19/2010 for James H. Giffen (1) Count 1sss. (jw) (Entered: 11/24/2010)
11/23/2010212 FILED JUDGMENT IN A CRIMINAL CASE as to The Mercator Corporation (2), Pleaded guilty to Count(s) 1, Special Assessment of $400 and Fine of $32,000.00. Which is due immediately. (Signed by Judge William H. Pauley, III on 11/23/10)(jw) (Entered: 11/23/2010)
11/23/2010213 Letter by USA as to (S4-03-Cr-404-01) James H. Giffen, and (S3-03-Cr-404-02) The Mercator Corporation, addressed to Judge William H. Pauley III from AUSAs Anirudh Bansal / Lee Renzin, dated November 18, 2010 re: The Government submits that the United States Probation Office correctly calculated the advisory United States Sentencing Guidelines ranges in the November 9, 2010 Giffen Presentence Investigation Report ("PSR") and the November 9, 2010 Mercator Corporation PSR. [*** Received by Judge Pauley's Chambers on 11/18/2010 ***] (bw) (Entered: 11/24/2010)
11/23/2010214 FILED JUDGMENT IN A CRIMINAL CASE as to James H. Giffen (1), Pleaded guilty to Count(s) 1sss, Imprisonment for a total term of Time Served. Special Assessment of $25 which is due immediately. (Signed by Judge William H. Pauley, III on 11/23/10)(jw) (Entered: 11/24/2010)
11/23/2010215 Letter by James H. Giffen, The Mercator Corporation addressed to Judge Pauley from William J. Schwartz dated 11/12/10 re: We write on behalf of our clients, James H. Giffen and the Mercator Corporation, in anticipation of the sentencing in this matter, set for November 19, 2010. For the reasons that follow, we respectfully urge the Court to adopt the recommendation of the Probation Department and impose a non-custodial sentence on Mr. Giffen. We respectfully request that the Court not impose a sentence of incarceration or probation and instead to impose a fine on Mr. Giffen as recommended by the Probation Department, and a fine on Mercator at the bottom of the Guidelines range. (jw) (Entered: 11/29/2010)
11/23/2010  Judgment entered in money judgment book as #10,2086 as to The Mercator Corporation in the amount of $ 32,400, re: 212 Judgment. (bco) (Entered: 11/30/2010)
11/23/2010  Judgment entered in money judgment book as #10,2085 as to James H. Giffen in the amount of $ 25, re: 214 Judgment. (bco) (Entered: 11/30/2010)
11/23/2010218 Letter by James H. Giffen addressed to Judge William H. Pauley, III from David Giffen dated 11/23/10 re: Letters in Support of James H. Giffen (jw) (Entered: 12/01/2010)
11/29/2010216 SEALED DOCUMENT placed in vault. (cb) (Entered: 11/30/2010)
11/29/2010217 SEALED DOCUMENT placed in vault. (cb) (Entered: 11/30/2010)
11/30/2010  Payment of Special Assessment from The Mercator Corporation, James H. Giffen in the amount of $400.00. Date Received: 11/30/10. (mn) (Entered: 11/30/2010)
11/30/2010  Payment of Fine from The Mercator Corporation in the amount of $32,000.00. Date Received: 11/30/10. (mn) (Entered: 11/30/2010)
11/30/2010  Payment of Special Assessment from James H. Giffen in the amount of $25.00. Date Received: 11/30/10. (mn) (Entered: 11/30/2010)
11/30/2010219 MEMO ENDORSEMENT on District Judge Bail Disposition Sheet, as to James H. Giffen. For the Government: Lee Renzin. For the Defendant: William Schwartz, Esq. BAIL DISPOSITION: Defendant's bail is exonerated. (Signed by Judge William H. Pauley, III on 11/30/2010)(ja) (Entered: 12/01/2010)
12/01/2010220 TRANSCRIPT of Proceedings as to The Mercator Corporation, James H. Giffen held on 11/19/10 before Judge William H. Pauley, III. (pl) (Entered: 12/03/2010)
12/09/2010221 SATISFACTION OF JUDGMENT as to The Mercator Corporation re 212 Judgment, in the amount of $32,400.00. Judgment satisfied on 11/30/2010. (ja) (Entered: 12/14/2010)
12/28/2010  CASH BAIL RETURNED as to The Mercator Corporation, James H. Giffen dated 12/03/2010, from Judge Judge Shira A. Scheindlin, in the amount of $250,000.00, Check No. 00914518, Check Dated 12/09/2010, payable to JAMES H GIFFEN and picked up by HECTOR GONZALEZ on 12/15/2010. (jd) (Entered: 12/28/2010)