| CLOSED |
Case title: USA v. Sotheby's Holdings |
Date Filed: 10/05/2000 Date Terminated: 02/06/2001 |
| Assigned to: Judge Lewis A. Kaplan | ||
Defendant (1) |
||
|
Sotheby's Holdings Inc.
TERMINATED: 02/06/2001 |
represented by | Steven Alan Reiss
Weil, Gotshal & Manges LLP (NYC) 767 Fifth Avenue, Suite 3358-2 New York, NY 10153 2123108000 Fax: 2128333148 Email: steven.reiss@weil.com LEAD ATTORNEY Designation: Retained |
Pending Counts |
Disposition |
|
| 15:1.F ANTITRUST VIOLATIONS (1) |
The defendant shall pay a fine of $45,000,000.00. | |
Highest Offense Level (Opening) |
||
| Felony | ||
Terminated Counts |
Disposition |
|
| None | ||
Highest Offense Level (Terminated) |
||
| None | ||
Complaints |
Disposition |
|
| None |
Plaintiff |
| USA |
| Date Filed | # | Docket Text |
|---|---|---|
| 10/05/2000 | 1 | WAIVER OF INDICTMENT by Sotheby's Holdings (rag) (Entered: 10/05/2000) |
| 10/05/2000 | 2 | INFORMATION - Felony as to Sotheby's Holdings (1) count(s) 1 (rag) (Entered: 10/05/2000) |
| 10/05/2000 | First Appearance as to Sotheby's Holdings held (rag) (Entered: 10/05/2000) | |
| 10/05/2000 | Arraignment as to Sotheby's Holdings held Sotheby's Holdings (1) count(s) 1 before Magistrate Judge Kevin Nathaniel Fox. Atty Steven Reiss present. Mr. Pilsbury present (V.P. of Sotheby's) and enters a not guilty plea on behalf of Sotheby's. Case assigned to J. Kaplan. (rag) Modified on 10/05/2000 (Entered: 10/05/2000) | |
| 10/05/2000 | PLEA entered by Sotheby's Holdings . Court accepts plea. Not Guilty: Sotheby's Holdings (1) count(s) 1 (rag) (Entered: 10/05/2000) | |
| 10/05/2000 | CASE Assigned to Judge Lewis A. Kaplan (rag) (Entered: 10/05/2000) | |
| 10/05/2000 | 3 | Filed Sotheby's Holdings, Inc. Secretary's Certificate. (rag) (Entered: 10/05/2000) |
| 10/05/2000 | 4 | Filed Plea Agreement. (rag) (Entered: 10/05/2000) |
| 10/05/2000 | Change of Plea Hearing as to Sotheby's Holdings held. Deft. present w/atty S. Reiss, AUSA J. Greene, Patricia Jannaco and court rep. B. Rainoff present. Deft. w/d not guilty plea and pleads guilty as charged. The court reserves decision. PSR ordered. Sentencing set for 12/4/00 at 10 a.m. (rag) (Entered: 10/06/2000) | |
| 10/05/2000 | Change of Not Guilty Plea to Guilty Plea by Sotheby's Holdings Sotheby's Holdings (1) count(s) 1 (rag) (Entered: 10/06/2000) | |
| 10/05/2000 | PLEA entered by Sotheby's Holdings . Court accepts plea. Guilty: Sotheby's Holdings (1) count(s) 1 (rag) (Entered: 10/06/2000) | |
| 10/05/2000 | Court Orders pre-sentence investigation as to Sotheby's Holdings (rag) (Entered: 10/06/2000) | |
| 10/05/2000 | Sentencing set for 10:00 12/4/00 for Sotheby's Holdings , Sotheby's Holdings (1) count(s) 1 (rag) (Entered: 10/06/2000) | |
| 10/11/2000 | 5 | NOTICE of Appearance for Sotheby's Holdings by Attorney Steven A. Reiss (rag) (Entered: 10/12/2000) |
| 10/17/2000 | 6 | ORDER as to Sotheby's Holdings, Time excluded from 10/5/00 until the dated on which the Court renders a decision on the tendered plea is excluded in computing the time within which the trial must commence, pursuant to 18 U.S.C. 3161(h)(1)(I). ( Signed by Judge Lewis A. Kaplan ); Copies (mr) (Entered: 10/18/2000) |
| 11/22/2000 | 7 | SENTENCING MEMORANDUM by USA as to Sotheby's Holdings (mr) (Entered: 11/27/2000) |
| 11/30/2000 | 8 | ORDER as to Sotheby's Holdings, that the hearing concerning whether the Court will accept defendant's plea of guilty is adjourned until February 2, 2001 immediately following the hearing on the proposed class action settlement in In re Auction Houses Antitrust Litigation, 00 Civ. 0648 (LAK). ( Signed by Judge Lewis A. Kaplan ); Copies mailed. (rag) (Entered: 11/30/2000) |
| 12/28/2000 | 9 | TRANSCRIPT of record of proceedings as to Sotheby's Holdings for dates of 10/5/00. (db) (Entered: 12/28/2000) |
| 01/30/2001 | 10 | ORDER as to Sotheby's Holdings, Inc. Under the U.S. Sentencing Guidelines, the Court may impose the proposed fine of $45 million, which both sides agree is below the minimum fine required by the Guidelines, only if it finds that Sotheby's likely would be unable to pay a minimum Guidelines fine "even with the use of a reasonable installment schedule." USSG Section 8C3.3(b). Further, the parties disagree as to the Guideline fine range, a disagreement that turns on whether Sotheby's has satisfied the requirements of USSG Section 8C2.5(g)(2). The information the parties have provided both with respect to ability to pay and with respect to whether Sotheby's has satisfied USSG Section 8C2.5(g)(2) is quite limited. If the parties wish to make any further submissions on those points, they shall do so no later than 4 p.m. on February 1, 2001. ( Signed by Judge Lewis A. Kaplan ); Copies mailed. (bw) (Entered: 01/30/2001) |
| 02/02/2001 | Sentencing held Sotheby's Holdings (1) count(s) 1 (mr) (Entered: 02/07/2001) | |
| 02/06/2001 | 11 | FILED JUDGMENT in a CRIMINAL CASE. Defendant present with attorney Steven Reiss. The defendant is sentenced as provided in pages 2 through 4 of this judgment. The sentence imposed pursuant to the Sentencing Reform Act of 1984. It is ordered that the defendant shall pay a special assessments of $400, for count 1, which shall be due immediately. It is further ordered that the defendant shall notify the United States Attorney for this district within 30 days of any change of name, residence, or mailing address until all fines, restitution costs, and special assessments imposed by this judgment are fully paid. Sotheby's Holdings (1) count(s) 1. The defendant shall pay a fine of $45,000,000.00. Statement of reasons attached. Judgment and Commitment issued to U.S. Marshal ( Signed by Judge Lewis Kaplan ) (mr) (Entered: 02/07/2001) |
| 02/06/2001 | 12 | SEALED DOCUMENT as to Sotheby's Holdings (da) (Entered: 02/09/2001) |
| 02/08/2001 | Judgment entered in money judgment book as # 01,0255 as to Sotheby's Holdings (sl) (Entered: 02/08/2001) | |
| 04/05/2001 | 13 | TRANSCRIPT of record of proceedings as to Sotheby's Holdings for dates of 2/2/01. (tp) (Entered: 04/05/2001) |
| 06/07/2001 | Payment of Fine by Sotheby's Holdings in the amount of $3,000,000.00: Date Received: 6/7/01. (mn) (Entered: 06/07/2001) | |
| 02/07/2002 | Payment of Fine by Sotheby's Holdings in the amount of $3,000,000.00: Date Received: 2/7/02. (mn) (Entered: 02/07/2002) | |
| 02/06/2003 | Payment of Fine by Sotheby's Holdings in the amount of $6,000,000.00 wire transfer: Date Received: 2/6/03. (mn) (Entered: 02/06/2003) | |
| 02/07/2005 | Payment of Fine from Sotheby's Holdings Inc. in the amount of $12,000,000.00. Date Received: 2/7/05. (mn, ) (Entered: 02/07/2005) | |
| 06/06/2005 | Payment of Fine from Sotheby's Holdings Inc. in the amount of $400.00. Date Received: 5/24/2005. (mli, ) (Entered: 06/06/2005) | |
| 02/07/2006 | Payment of Fine from Sotheby's Holdings Inc. in the amount of $15,000,000.00. Date Received: 2/7/06. (mn, ) (Entered: 02/07/2006) | |
| 05/25/2006 | 14 | SATISFACTION OF JUDGMENT as to Sotheby's Holdings Inc. re 11 Judgment in the amount of $45,000,400.00. Judgment satisfied on 5/25/06. (jw, ) (Entered: 05/31/2006) |