Eastern District of Pennsylvania (Philadelphia)
CRIMINAL DOCKET FOR CASE #: 2:09-cr-00403-LDD-1,2

Case title: USA v. NORIAN CORPORATION et al

Date Filed: 06/16/2009
Date Terminated: 12/01/2010

Assigned to: HONORABLE LEGROME D. DAVIS

Defendant (1)
NORIAN CORPORATION
TERMINATED: 12/01/2010
represented byJAMES T. SMITH
BLANK ROME LLP
ONE LOGAN SQUARE
18TH & CHERRY STREETS
PHILADELPHIA, PA 19103
215-569-5500
Fax: 215-569-5555
Email: smith-jt@blankrome.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
18:371 - CONSPIRACY TO DEFRAUD THE UNITED STATES
(1ss)
SPECIAL ASSESSMENT: $14,150, FINE: $22,500,000
21:331(a), 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(3ss-112ss)
SPECIAL ASSESSMENT: $14,150, FINE: $22,500,000

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
18:371 CONSPIRACY
(1)
DISMISSED ON GOVERNMENT'S MOTION
18:371 - CONSPIRACY
(1s)
DISMISSED ON GOVERNMENT'S MOTION
18:1001 FALSE STATEMENTS
(2-8)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a), 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(2ss)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a) and 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(3s-112s)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a) AND 333(a)(2) INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES WITH INTENT TO DEFRAUD
(9-52)
DISMISSED ON GOVERNMENT'S MOTION

Highest Offense Level (Terminated)
Felony

Complaints

Disposition
None

Assigned to: HONORABLE LEGROME D. DAVIS

Defendant (2)
SYNTHES, INC.
TERMINATED: 11/30/2010
represented byDONALD J. GOLDBERG
BALLARD, SPAHR, ANDREWS AND INGERSOLL
1735 MARKET STREET
51ST FL.
PHILA, PA 19103-7599
215-864-8345
Fax: 215-864-9745
Email: goldbergd@ballardspahr.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

AMY SHELLHAMMER
407 CYPRESS ST APR 3F
PHILADELPHIA, PA 19106
267-231-6185
Email: ashellha@alumni.law.upenn.edu
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
21:331(a), 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(2ss)
SPECIAL ASSESSMENT: $125, FINE: $200,000

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
18:371 - CONSPIRACY TO DEFRAUD THE UNITED STATES
(1ss)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a) and 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(2s)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a), 333(a)(1) - INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(3ss-112ss)
DISMISSED ON GOVERNMENT'S MOTION
21:331(a) AND 333(a)(1) INTRODUCING INTO INTERSTATE COMMERCE ADULTERATED AND MISBRANDED MEDICAL DEVICES
(53-96)
DISMISSED ON GOVERNMENT'S MOTION

Highest Offense Level (Terminated)
Felony

Complaints

Disposition
None


Plaintiff
USA represented byMARY E. CRAWLEY
U.S. ATTORNEY'S OFFICE
615 CHESTNUT STREET
SUITE 1250
PHILADELPHIA, PA 19106-4476
TEL 215-861-8519
Fax: 215-861-8618
Email: mary.crawley2@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

DAVID J. CAPUTO
U.S. DEPT OF JUSTICE
615 CHESTNUT ST., SUITE 1250
PHILADELPHIA, PA 19106
215-861-8467
TERMINATED: 02/25/2010

GERALD B. SULLIVAN
ASSISTANT U.S. ATTORNEY - US ATTY'S OFFICE
615 CHESTNUT ST., STE. 1250
PHILADELPHIA, PA 19106-4476
215-861-8786
Fax: 215-861-8349
Email: gerald.sullivan@usdoj.gov
ATTORNEY TO BE NOTICED

JOEL D. SCHWARTZ
U.S. DEPT OF JUSTICE
POBOX 386
WASHINGTON, DC 20044
202-514-0514
Email: joel.schwartz@usdoj.gov

Date Filed #Docket Text
06/16/20091INDICTMENT as to NORIAN CORPORATION (1) count(s) 1, 2-8, 9-52, SYNTHES, INC. (2) count(s) 53-96, MICHAEL D. HUGGINS (3) count(s) 97, THOMAS B. HIGGINS (4) count(s) 97, RICHARD E. BOHNER (5) count(s) 97, JOHN J. WALSH (6) count(s) 97. (cw, ) (Entered: 06/17/2009)
06/26/2009Minute Entry for proceedings held before HONORABLE LAWRENCE F. STENGEL Telephone Conference as to NORIAN CORPORATION held on 6/25/09.Court Reporter ESR.(gs) (Entered: 06/29/2009)
06/30/20095NOTICE OF ATTORNEY APPEARANCE DAVID J. CAPUTO appearing for USA. and Certificate of Service (CAPUTO, DAVID) (Entered: 06/30/2009)
06/30/20096NOTICE OF ATTORNEY APPEARANCE GERALD B. SULLIVAN appearing for USA. (SULLIVAN, GERALD) (Entered: 06/30/2009)
07/16/200920NOTICE OF HEARING as to NORIAN CORPORATION Initial Appearance set for Thursday, 7/30/2009 at 1:30 AM in COURTROOM 5B, 5th Floor before MAGISTRATE JUDGE THOMAS J. RUETER. (llb) (Entered: 07/16/2009)
07/16/200921NOTICE OF HEARING as to SYNTHES, INC. Initial Appearance set for Thursday, 7/30/2009 at 1:30 PM in COURTROOM 5B, 5th Floor before MAGISTRATE JUDGE THOMAS J. RUETER. (llb) (Entered: 07/16/2009)
07/30/200945Minute Entry for proceedings held before MAGISTRATE JUDGE THOMAS J. RUETER Arraignment as to NORIAN CORPORATION (1) Count 1,2-8,9-52 held on 7/30/09., Initial Appearance as to NORIAN CORPORATION held on 7/30/09. Plea entered by NORIAN CORPORATION Not Guilty on counts All. Counsel has 10 days to file pretrial motions.Court Reporter ESR.(gs, ) (Entered: 07/31/2009)
07/30/200946NOTICE OF ATTORNEY APPEARANCE JAMES T. SMITH appearing for NORIAN CORPORATION (gs, ) (Entered: 07/31/2009)
07/30/200947Minute Entry for proceedings held before MAGISTRATE JUDGE THOMAS J. RUETER Arraignment as to SYNTHES, INC. (2) Count 53-96 held on 7/30/09. Initial Appearance as to SYNTHES, INC. held on 7/30/09. Plea entered by SYNTHES, INC. Not Guilty on counts All. Counsel has 10 days to file pretrial motions. Court Reporter ESR.(gs) (Entered: 07/31/2009)
07/30/200948NOTICE OF ATTORNEY APPEARANCE DONALD J. GOLDBERG appearing for SYNTHES, INC. (gs, ) (Entered: 07/31/2009)
08/04/200949NOTICE OF ATTORNEY APPEARANCE AMY SHELLHAMMER appearing for SYNTHES, INC. (SHELLHAMMER, AMY) (Entered: 08/04/2009)
08/04/200950 MOTION by NORIAN CORPORATION, SYNTHES, INC. FOR EXTENSION OF TIME TO FILE PRETRIAL MOTIONS, CERT. OF SERVICE. (cmc) (Entered: 08/05/2009)
08/04/200951ORDER FOR SPEEDY TRIAL DELAY: XE TIME AS TO NORIAN CORPORATION, SYNTHES, INC. RE: 50 MOTION for Extension of Time to File MOTIONS. Signed by HONORABLE LAWRENCE F. STENGEL on 8/4/9. 8/5/9 Entered and Copies E-Mailed. (cmc) (Entered: 08/05/2009)
08/05/200952 MOTION for Complex Case Designation {Certificate of Service} by USA as to NORIAN CORPORATION, SYNTHES, INC. (Only). (CRAWLEY, MARY) Modified on 8/6/2009 (cmc, ). (Entered: 08/05/2009)
08/06/200954ORDER FOR SPEEDY TRIAL DELAY: AS TO NORIAN CORPORATION, SYNTHES, INC. THAT EXCLUDABLE TIME BE COMPUTED AND ENTERED IN THE RECORD FROM THE DATE OF FILING OF THE GOVTS. UNCONTESTED MOTION 52 UNTIL A TIME WHEN DISPOSITION IS MADE. Signed by HONORABLE LAWRENCE F. STENGEL on 8/6/09.8/7/09 Entered and Copies Mailed, E-Mailed. (gs, ) (Entered: 08/07/2009)
09/03/200966NOTICE OF HEARING as to NORIAN CORPORATION, SYNTHES, INC. STATUS HEARING SET FOR MONDAY, 9/21/2009 AT 11:00 AM IN COURTROOM 3B, 3RD FLOOR BEFORE THE HONORABLE LAWRENCE F. STENGEL. (llb) (Entered: 09/03/2009)
09/21/200970 Minute Entry for proceedings held before HONORABLE LAWRENCE F. STENGEL: Status Hearing as to NORIAN CORPORATION, SYNTHES, INC. held on 9/21/09. Counsel addressed the Court. The Court set a schedule for the case and declared this case complex. The Court, counsel and parties agreed to reconvene in January and February to further discuss a filing schedule and trial date.Court Reporter ESR.(mac, ) (Entered: 09/21/2009)
09/24/200971NOTICE OF ATTORNEY APPEARANCE JOEL D. SCHWARTZ appearing for USA. (SCHWARTZ, JOEL) (Entered: 09/24/2009)
09/25/200972ORDER AS TO NORIAN CORPORATION, SYNTHES, INC. THAT THE GOVTS UNCONTESTED MOTION 52 FOR COMPLEX CASE DESIGNATION IS GRANTED. DISCOVERY DUE BY 10/30/2009. DISCOVERY MOTIONS DUE BY 1/15/2010. A STATUS CONFERENCE IS SET FOR 1/20/2010 AT 1:30 PM IN COURTROOM 3B BEFORE HONORABLE LAWRENCE F. STENGEL. Signed by HONORABLE LAWRENCE F. STENGEL on 9/23/09.9/25/09 Entered and Copies E-Mailed and Faxed. (gs) (Entered: 09/25/2009)
10/22/200973NOTICE OF HEARING as to NORIAN CORPORATION, SYNTHES, INC. STATUS CONFERENCE SET FOR WEDNESDAY, 10/28/2009 AT 9:30 AM IN JUDGE'S CHAMBERS BEFORE THE HONORABLE LAWRENCE F. STENGEL. (llb) (Entered: 10/22/2009)
10/29/200974 Minute Entry for proceedings held before HONORABLE LAWRENCE F. STENGEL. Status Conference as to NORIAN CORPORATION, SYNTHES, INC. held on 10/28/09.Court Reporter 10/28/09.(gs) (Entered: 10/30/2009)
10/29/200975ORDER AS TO NORIAN CORPORATION, SYNTHES, INC. THAT THE COURT FINDS THAT THE ENDS OF JUSTICE SERVED BY GRANTING A CONTINUANCE IN THIS MATTER OUTWEIGH THE BEST INTEREST OF THE PUBLIC AND DEFTS. IN A SPEEDY TRIAL. IT IS FURTHER ORDERED THAT A STATUS CONFERENCE SHALL BE HELD ON 1/20/10. Signed by HONORABLE LAWRENCE F. STENGEL on 10/28/09.10/30/09 Entered and Copies Faxed by Chambers, E-Mailed. (gs, ) (Entered: 10/30/2009)
12/09/200979Response of Defendant Thomas Higgens Regarding Motion for Protective Order filed by THOMAS B. HIGGINS (SALERNO, ROBERT) Modified on 12/10/2009 (cmc, ). (Entered: 12/09/2009)
12/15/200983Consent MOTION Granting of proposed protective order (Consent Motion to Extend the December 14, 2009 Protective Order to Defendant Thomas Higgins) by THOMAS B. HIGGINS as to NORIAN CORPORATION, SYNTHES, INC., MICHAEL D. HUGGINS, THOMAS B. HIGGINS, RICHARD E. BOHNER, JOHN J. WALSH. (Attachments: # 1 Text of Proposed Order)(SALERNO, ROBERT) (Entered: 12/15/2009)
02/25/201089NOTICE Withdrawal of Appearance of AUSA David J. Caputo by USA as to NORIAN CORPORATION, SYNTHES, INC., MICHAEL D. HUGGINS, THOMAS B. HIGGINS, RICHARD E. BOHNER, JOHN J. WALSH (CAPUTO, DAVID) (Entered: 02/25/2010)
04/06/201095 MOTION for Clarification and/or to Limit Scope of May 26, 2010 Hearing by THOMAS B. HIGGINS (only) as to NORIAN CORPORATION, SYNTHES, INC., MICHAEL D. HUGGINS, THOMAS B. HIGGINS, RICHARD E. BOHNER, JOHN J. WALSH. (SACHDEV, MICHAEL) Modified on 4/7/2010 (cmc). (ATTY LINKED TO ALL DEFTS) (Entered: 04/06/2010)
06/03/2010107ORDER as to NORIAN CORPORATION, SYNTHES, INC., MICHAEL D. HUGGINS, THOMAS B. HIGGINS, RICHARD E. BOHNER, JOHN J. WALSH THAT THE ABOVE CAPTIONED CASE IS REASSIGNED FROM THE CALENDAR OF JUDGE HONORABLE LAWRENCE F. STENGEL TO THE CALENDAR OF JUDGE HONORABLE LEGROME D. DAVIS. Signed by HONORABLE HARVEY BARTLE, III on 6/3/2010.6/4/2010 Entered and Copies Mailed, E-Mailed. (ap, ) (Entered: 06/04/2010)
06/29/2010109ORDER AS TO NORIAN CORPORATION, SYNTHES, INC. THAT THE 50 MOTION FOR EXTENSION OF TIME TO FILE PRE-TRIAL MOTIONS IS GRANTED. CONSISTENT WITH THE REQUEST, THE PARTIES SHALL SUBMIT A WRITTEN STATUS REPORT TO THIS COURT NO LATER THAN 9/11/2010. Signed by HONORABLE LEGROME D. DAVIS on 6/28/2010.6/29/2010 Entered and Copies E-Mailed. (ap, ) (Entered: 06/30/2010)
10/04/2010110Plea Memorandum by USA and Sentencing Memorandum {Certificate of Service} as to NORIAN CORPORATION, SYNTHES, INC. (CRAWLEY, MARY) (Entered: 10/04/2010)
10/04/2010111SUPERSEDING INFORMATION as to NORIAN CORPORATION (1) count(s) 1s, 3s-112s, SYNTHES, INC. (2) count(s) 2s. (ap, ) (Entered: 10/04/2010)
10/08/2010112NOTICE OF HEARING as to NORIAN CORPORATION Change of Plea Hearing set for Thursday, November 4, 2010 at 9:30 AM in COURTROOM 6-A before HONORABLE LEGROME D. DAVIS. (dc,) (Entered: 10/08/2010)
10/08/2010113NOTICE OF HEARING as to SYNTHES, INC. Change of Plea Hearing set for Thursday, November 4, 2010 at 9:30 AM in COURTROOM 6-A before HONORABLE LEGROME D. DAVIS. (dc,) (Entered: 10/08/2010)
10/22/2010114SUPERSEDING INFORMATION as to NORIAN CORPORATION (1) count(s) 1ss, 2ss-112ss, SYNTHES, INC. (2) count(s) 1ss, 2ss-112ss. (cmc) (Entered: 10/22/2010)
11/03/2010115 MOTION to Continue Change of Plea Hearing by USA as to NORIAN CORPORATION, SYNTHES, INC.. (CRAWLEY, MARY) (Entered: 11/03/2010)
11/03/2010116ORDER AS TO NORIAN CORPORATION, SYNTHES, INC. THAT THE GOVERNMENT'S UNOPPOSED MOTION FOR BREIF CONTINUANCE OF CHANGE OF PLEA HEARING IS GRANTED IN ACCORDANCE WITH 18:3161(h)(8), ETC.; THE CHANGE OF PLEA HEARING IS RESCHEDULED TO 11/23/2010 AT 9:30 AM IN COURTROOM 6-A. Signed by HONORABLE LEGROME D. DAVIS on 11/3/2010.11/3/2010 Entered and Copies E-Mailed. (ap, ) Modified on 11/4/2010 (ap, ). (Entered: 11/03/2010)
11/09/2010117NOTICE OF HEARING as to NORIAN CORPORATION Change of Plea Hearing HAS BEEN RESCHEDULED TO TUESDAY, NOVEMBER 30, 2010 AT 9:30 AM in COURTROOM 6-A before HONORABLE LEGROME D. DAVIS. (dc,) (Entered: 11/09/2010)
11/09/2010118NOTICE OF HEARING as to SYNTHES, INC. Competency Hearing HAS BEEN RESCHEDULED TO TUESDAY, NOVEMBER 30, 2010 AT 9:30 AM in COURTROOM 6-A before HONORABLE LEGROME D. DAVIS. (dc,) (Entered: 11/09/2010)
11/17/2010119ORDER AS TO NORIAN CORPORATION THAT THE CONSENT MOTION TO EXTEND THE 12/14/2009 PROTECTIVE ORDER TO DEFENDANT RICHARD E. BOHNER AND THE CONSENT MOTION TO EXTEND THE 12/14/2009 PROTECTIVE ORDER TO DEFENDANT JOHN H. WALSH ARE GRANTED. Signed by HONORABLE LEGROME D. DAVIS on 11/17/2010.11/17/2010 Entered and Copies E-Mailed. (ap, ) (Entered: 11/17/2010)
11/30/2010120 Minute Entry for proceedings held before HONORABLE LEGROME D. DAVIS: Arraingment/Entry of Plea/Sentencing Hearing held on 11/30/2010. NORIAN CORPORATION (1) Plea of guilty and sentencing on counts Count 1ss,3ss-112ss. Special assessment: $14,150; Fine: $22,500,000. Court Reporter ESR. (ap, ) (Entered: 12/01/2010)
11/30/2010121WAIVER OF INDICTMENT as to NORIAN CORPORATION (ap, ) (Entered: 12/01/2010)
11/30/2010122WAIVER of Presence of Court Stenographer or Electronic Sound Recording Operator and Defendant(s) at Drawing of Jury Panel Members in Criminal Trials as to NORIAN CORPORATION (ap, ) (Entered: 12/01/2010)
11/30/2010123 Minute Entry for proceedings held before HONORABLE LEGROME D. DAVIS: Arraingment/Entry of Plea/Sentence Hearing held on 11/30/2010. SYNTHES, INC. (2) Plea of guilty and sentencing on counts Count 2ss. Special Assessment: $125, Fine: $200,000. Court Reporter ESR. (ap, ) (Entered: 12/01/2010)
11/30/2010124Plea Document as to NORIAN CORPORATION (ap, ) (Entered: 12/01/2010)
11/30/2010125WAIVER OF INDICTMENT as to SYNTHES, INC. (ap, ) (Entered: 12/01/2010)
11/30/2010126WAIVER of Presence of Court Stenographer or Electronic Sound Recording Operator and Defendant(s) at Drawing of Jury Panel Members in Criminal Trials as to SYNTHES, INC. (ap, ) (Entered: 12/01/2010)
11/30/2010127Plea Document as to SYNTHES, INC. (ap, ) (Entered: 12/01/2010)
11/30/2010128JUDGMENT AS TO NORIAN CORPORATION (1), Count(s) 1, 1s, 2-8, 2ss, 3s-112s,9-52, DISMISSED ON GOVERNMENT'S MOTION; Count(s) 1ss, 3ss-112ss, SPECIAL ASSESSMENT: $14,150, FINE: $22,500,000 AS TO NORIAN CORPORATION. Signed by HONORABLE LEGROME D. DAVIS on 11/30/2010.12/1/2010 Entered and Copies Mailed, E-Mailed by Chambers. (ap, ) Modified on 12/1/2010 (ap, ). (Entered: 12/01/2010)
11/30/2010129JUDGMENT AS TO SYNTHES, INC. (2), Count(s) 1ss, 2s, 3ss-112ss, 53-96, DISMISSED ON GOVERNMENT'S MOTION; Count(s) 2ss, SPECIAL ASSESSMENT: $125, FINE: $200,000 AS TO SYNTHES, INC.. Signed by HONORABLE LEGROME D. DAVIS on 11/30/2010.12/1/2010 Entered and Copies Mailed, E-Mailed by Chambers. (ap, ) (Entered: 12/01/2010)
12/01/2010130 MOTION FOR JUDGMENT AND ORDER OF FORFEITURE FOR SUBSTITUTE ASSETS by USA as to SYNTHES, INC., CERTIFICATE OF SERVICE. (CRAWLEY, MARY) Modified on 12/2/2010 (afm, ). (Entered: 12/01/2010)
12/07/2010131JUDGMENT AND ORDER OF FORFEITURE FOR SUBSTITUTE ASSESTS AS TO SYNTHES, INC.. Signed by HONORABLE LEGROME D. DAVIS on 12/7/2010.12/7/2010 Entered and Copies E-Mailed. (ap, ) (Entered: 12/07/2010)
12/15/2010132 TRANSCRIPT of Plea Hearing and Sentencing as to NORIAN CORPORATION, SYNTHES, INC. held on 11/30/2010, before Judge Legrome D. Davis. (ap, ) (Entered: 12/15/2010)
12/15/2010133Praecipe to Satisfy Judgment by USA as to NORIAN CORPORATION (ap, ) (Entered: 12/15/2010)
12/15/2010134Praecipe to Satisfy Judgment by USA as to SYNTHES, INC. (ap, ) (Entered: 12/15/2010)
12/23/2010135USM-285 AS TO SYNTHES, INC RE: DEPOSIT SUB ASSET SIGNED BY U.S. MARSHALS ON 12/9/10. (ke) (Entered: 12/23/2010)