CLOSED

U.S. District Court
United States District Court for the District of Connecticut (New Haven)
CRIMINAL DOCKET FOR CASE #: 3:04-cr-00149-JBA-1


Case title: USA v. Rotair Ind., Inc. et al

Date Filed: 05/10/2004
Date Terminated: 07/29/2004

Assigned to: Judge Janet Bond Arterton
Referred to: Judge Joan G. Margolis

Defendant (1)
Rotair Ind., Inc.
TERMINATED: 08/04/2004
represented byHarold James Pickerstein
McElroy, Deutsch, Mulvaney & Carpenter/PH, LLP-Southport
30 Jeliff Lane
Southport, CT 06890
203-319-4003
Fax: 203-259-0251
Email: hpickerstein@mdmc-law.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Rosemarie Paine
Jacobs, Grudberg, Belt, Dow & Katz, P.C.
350 Orange St., PO Box 606
New Haven, CT 06503-0606
203-772-3100
Fax: 203-772-1691
Email: rpaine@jacobslaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

William F. Dow , III
Jacobs, Grudberg, Belt, Dow & Katz, P.C.
350 Orange St., PO Box 606
New Haven, CT 06503-0606
203-772-3100
Fax: 203-772-1691
Email: wdow@jacobslaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
REGISTRATION AND LICENSING REQUIREMENTS - Arms Export Control Act
(1-2)
Probation for a term of 5 years on counts 1 and 2 to run concurrently. Fine of $500,000.00 due immediately. Special Assessment of $800.00 for counts 1 and 2 already paid.

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented byKari Anne Dooley
U.S. Attorney's Office-NH
157 Church St., 23rd floor
New Haven, CT 06510
203-821-3700
TERMINATED: 09/18/2007
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Kevin J. O'Connor
Bracewell & Giuliani, LLP - CT
225 Asylum Street, Suite 2600
Hartford, CT 06103
860-256-8602
Fax: 860-256-3201
Email: kevin.oconnor@bgllp.com
TERMINATED: 04/21/2008
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Peter S. Jongbloed
U.S. Attorney's Office-NH
157 Church St., 23rd floor
New Haven, CT 06510
203-821-3742
Fax: 203-773-5378
Email: Peter.Jongbloed@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Robert M. Appleton
U.S. Attorney's Office-BPT
915 Lafayette Blvd. Room 309
Bridgeport, CT 06604
203-696-3041
Fax: 203-579-5550
TERMINATED: 09/18/2007
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Date Filed #Docket Text
05/10/2004INFORMATION as to Rotair Ind., Inc. (1) count(s) 1-2, Wesley Harrington (2) count(s) 3. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20042WAIVER OF INDICTMENT by Rotair Ind., Inc. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20043ATTORNEY APPEARANCE: Rosemarie Paine appearing for Rotair Ind., Inc. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20044ATTORNEY APPEARANCE: William F. Dow III appearing for Rotair Ind., Inc. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20045Petition to Enter Plea of Guilty on Behalf of Corporation as to Rotair Ind., Inc. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20046FINDINGS AND RECOMMENDATIONS as to Rotair Ind., Inc. re 5 Petition to Enter Guilty Plea . Signed by Magistrate Judge Joan G. Margolis on 5/10/04. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20047PLEA AGREEMENT as to Rotair Ind., Inc. (Ruocco, M.) (Entered: 05/20/2004)
05/10/20048Minute Entry for proceedings held before Magistrate Judge Joan G. Margolis :Initial Appearance as to Rotair Ind., Inc. held on 5/10/2004, Plea entered by Rotair Ind., Inc. (1) Count 1-2 Rotair Ind., Inc. (1) Guilty Count 1-2. Sentencing set for 7/29/2004 03:00 PM in Courtroom Two - New Haven before Judge Janet Bond Arterton. (Court Reporter R. Rodko/ECRO.) (Ruocco, M.) (Entered: 05/20/2004)
05/11/2004  Special Assessment Payment by Rotair Ind., Inc. in the amount of $800.00. Receipt #N012438. Full payment. (Carfora, C.) (Entered: 06/01/2004)
05/13/200415ORDER REFERRING CASE for Plea Hearing to Magistrate Judge Joan G. Margolis as to Rotair Ind., Inc. . Signed by Judge Janet Bond Arterton on 5/12/04. (Ruocco, M.) (Entered: 05/20/2004)
05/19/200416SENTENCING SCHEDULING ORDER as to Rotair Ind., Inc., Wesley Harrington PSI due 6/21/04 2nd PSI due 7/12/04 Memo in aid of sentencing due 7/19/04 Government Response due 7/23/04 Sentencing set for 7/29/2004 03:00 PM in Courtroom Two - New Haven before Judge Janet Bond Arterton.. Signed by Judge Janet Bond Arterton on 5/14/04. (Ruocco, M.) (Entered: 05/20/2004)
06/15/200418 TRANSCRIPT of Proceedings as to Rotair Ind., Inc. held on 5/10/04 before Judge Joan G. Margolis. Court Reporter: Bowles Reporting Service. (Jefferson, V.) (Entered: 06/18/2004)
07/09/200419ORDER as to Rotair Ind., Inc. re 6 Findings and Recommendations. Guilty Plea accepted as ADOPTED AND APPROVED. Signed by Judge Janet Bond Arterton on 7/8/04. (Jefferson, V.) (Entered: 07/13/2004)
07/29/200420 Minute Entry for proceedings held before Judge Janet Bond Arterton :Sentencing as to Rotair Ind., Inc. held on 7/29/2004 (Court Reporter Montini.) (Inferrera, L.) (Entered: 08/03/2004)
07/30/2004  Special Assessment Payment by Rotair Ind., Inc. in the amount of $10,000.00. Receipt #N013045. Full payment. (Carfora, C.) (Entered: 08/26/2004)
07/30/2004  Fine Payment by Rotair Ind., Inc. in the amount of $500,000.00. Receipt #N013046. Full payment. (Carfora, C.) (Entered: 08/26/2004)
08/03/200422 PRESENTENCE INVESTIGATION REPORT (Sealed) as to Rotair Ind., Inc. (Jefferson, V.) (Entered: 08/03/2004)
08/04/200425JUDGMENT as to Rotair Ind., Inc. (1), Count(s) 1-2, Probation for a term of 5 years on counts 1 and 2 to run concurrently. Fine of $500,000.00 due immediately. Special Assessment of $800.00 for counts 1 and 2 already paid. . Signed by Judge Janet Bond Arterton on 8/4/04. (Jefferson, V.) (Entered: 08/09/2004)
08/23/2004  Pre Sentence Investigation Report Returned to USPO as to Rotair Ind., Inc. (Jefferson, V.) (Entered: 08/23/2004)
08/24/200427 Acknowledgement of Receipt as to Rotair Ind., Inc. re PSI Returned to USPO (Ruocco, M.) (Entered: 08/26/2004)
10/29/200430 TRANSCRIPT of Proceedings as to Rotair Ind., Inc., Wesley Harrington held on 7/29/04 (Sentencing Hearing) before Judge Arterton. Court Reporter: Montini. (Jefferson, V.) (Entered: 10/29/2004)
08/29/200731Probation Form 12 Petition on Probation and Supervised Release requesting a Summons to issue with order of the court thereon as to Rotair Ind., Inc. Certified copies handed USPO. Signed by Judge Janet Bond Arterton on 8/27/07. (Gutierrez, Y.) (Entered: 08/31/2007)
09/06/200732 NOTICE OF E-FILED CALENDAR as to Rotair Ind., Inc., Wesley Harrington: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. ALL PERSONS ENTERING THE COURTHOUSE MUST PRESENT PHOTO IDENTIFICATION. COMPLIANCE Hearing set for 9/7/2007 11:00 AM in Courtroom Two, 141 Church St., New Haven, CT before Judge Janet Bond Arterton. (Torday, B.) (Entered: 09/06/2007)
09/07/200733 Minute Entry for proceedings held before Judge Janet Bond Arterton :Compliance Review Hearing as to Rotair Ind., Inc., Wesley Harrington held on 9/7/2007 Total Time: 1 hour 29 minutes(Court Reporter S. Martini.)(Ghilardi, K.) (Entered: 09/07/2007)
09/07/200734NOTICE OF APPEARANCE of Harold James Pickerstein by Rotair Ind., Inc. (Ruocco, M.) (Entered: 09/10/2007)
09/07/200735 MOTION for Leave to Appear Pro Hac Vice Attorney: Stephen W. Kaye. Filing Fee $25.00. Receipt Number N022285 by Rotair Ind., Inc. (Ruocco, M.) (Entered: 09/10/2007)
09/10/200736 ORDER granting 35 Motion for Leave to Appear Pro Hac Vice as to Rotair Ind., Inc. (1). Attorney Stephen W. Kaye. Signed by Clerk on 9/10/07. (Ruocco, M.) (Entered: 09/10/2007)
09/11/2007  Attorney update in case as to Rotair Ind., Inc.. Attorney Stephen W. Kaye added. (Carpenter, M.) (Entered: 09/11/2007)
09/17/200737ATTORNEY APPEARANCE Peter S. Jongbloed appearing for USA (Jefferson, V.) (Entered: 09/18/2007)
09/17/200738 MOTION for Kari Dooley and Robert Appleton to Withdraw as Attorney by USA as to Rotair Ind., Inc., Wesley Harrington. (Jefferson, V.) (Entered: 09/18/2007)
09/18/200739 ELECTRONIC ORDER granting 38 Motion to Withdraw as Attorney. Robert M. Appleton and Kari Anne Dooley withdrawn from case. as to Rotair Ind., Inc. (1), Wesley Harrington (2). Signed by Judge Janet Bond Arterton on 9/18/07.THIS IS THE ONLY NOTICE THE COURT SHALL ISSUE! (Torday, B.) (Entered: 09/18/2007)
09/27/200740AMENDED JUDGMENT Re: After a hearing on September 7, 2007 and pursuant to Rule 32.1(c)(1), the original Judgment and Commitment order is amended to include the following additional special conditions:1) Rotair Industries shall ensure that Herbert Harrington, Jr. is not involved either directly or indirectly in the day to day management or operations of the company, and shall disregard his directions contained in his letter dated August 6, 2007. Rotair Industries is to promptly notify the U.S. Probation Office if Herbert Harrington, Jr. attempts to involve himself in any way with the operation of the company; 2) The Voting Trust Agreement shall remain in effect throughout the term of Rotair Industries probation; 3) The Administrative Compliance Agreement shall remain in effect throughout the term of Rotair Industries probation and; 4) If Rotair Industries export license is reinstated, Rotair Industries is to provide information regarding its exportation compliance program to the U.S. Probation Office. All other respects the original Judgment and Commitment Order remain the same and in force. as to Rotair Ind., Inc.. Signed by Judge Janet Bond Arterton on 9/26/07. (Torday, B.) (Entered: 09/27/2007)