| EFILE |
Case title: USA v. UBS Securities Japan Co, LTD |
Date Filed: 12/19/2012 |
| Assigned to: Judge Robert N. Chatigny | ||
Defendant (1) |
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| UBS Securities Japan Co, LTD | represented by | David P Burns
Gibson, Dunn & Crutcher - DC 1050 Connecticut Ave., N.W. Washington, DC 20036-5303 202-887-3786 Fax: 202-530-9637 Email: DBurns@gibsondunn.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained Gary R Spratling Gibson, Dunn & Crutcher - San F CA 555 Mission Street, Suite 3000 San Francisco, CA 94104 415-393-8200 Fax: 415-393-8306 Email: GSpratling@gibsondunn.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained Meredith C. Braxton 280 Railroad Avenue Suite 205 Greenwich, CT 06830 203-661-4610 Fax: 203-661-4611 Email: braxtonlaw@optonline.net LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Retained |
Pending Counts |
Disposition |
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| FRAUD BY WIRE, RADIO, OR TELEVISION (1) |
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Highest Offense Level (Opening) |
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| Felony | ||
Terminated Counts |
Disposition |
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| None | ||
Highest Offense Level (Terminated) |
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| None | ||
Complaints |
Disposition |
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| None |
Plaintiff |
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| USA | represented by | David B. Fein
U.S. Attorney's Office-NH 157 Church St., 23rd floor New Haven, CT 06510 203-821-3700 Email: David.Fein@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED Denis J McInerney U.S. Department of Justice, Fraud-DC 1400 New York Ave., N.W., 4th Floor Washington, DC 20005 202-353-9350 Fax: 202-514-7021 Email: denis.j.mcinerney@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED |
| Date Filed | # | Docket Text |
|---|---|---|
| 12/19/2012 | 1 | INFORMATION as to UBS Securities Japan Co, LTD (1) count(s) 1. (Ruocco, M.) (Entered: 12/19/2012) |
| 12/19/2012 | 2 | WAIVER OF INDICTMENT by UBS Securities Japan Co, LTD (Ruocco, M.) (Entered: 12/19/2012) |
| 12/19/2012 | 3 | ELECTRONIC FILING ORDER as to UBS Securities Japan Co, LTD - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER. Signed by Judge Robert N. Chatigny on 12/19/12. (Attachments: # 1 Efile Attachment) (Blue, A.) (Entered: 12/19/2012) |
| 12/19/2012 | 4 | PLEA AGREEMENT as to UBS Securities Japan Co, LTD (Attachments: # 1 Exhibit, # 2 Exhibit 1, ENTERED IN ERROR # 3 Exhibit 1 pt. 1, ENTERED IN ERROR # 4 Exhibit 1 pt. 2, ENTERED IN ERROR )(Blue, A.) Modified on 12/20/2012 to edit text that exhibits 2-4 entered in error. (Blue, A.). Modified on 3/5/2013 to correct docket entries(Kelsey, N.). (Entered: 12/19/2012) |
| 12/19/2012 | 5 | ATTORNEY APPEARANCE: Meredith C. Braxton appearing for UBS Securities Japan Co, LTD (Braxton, Meredith) (Entered: 12/19/2012) |
| 12/19/2012 | 6 | ORAL MOTION for Leave to Appear Pro hac Vice Attorney: Gary R. Spratling. by UBS Securities Japan Co, LTD. (Glynn, T.) (Entered: 12/20/2012) |
| 12/19/2012 | 7 | ORAL MOTION for Leave to Appear Pro Hac Vcie Attorney: David Burns. by UBS Securities Japan Co, LTD. (Glynn, T.) (Entered: 12/20/2012) |
| 12/19/2012 | 8 | Minute Entry for proceedings held before Judge Robert N. Chatigny: granting 6 ORAL Motion for Gary R. Spratling Leave to Appear pro hac vice as to UBS Securities Japan Co, LTD (1)( Certificate of Good Standing due by 2/17/2013); granting 7 ORAL Motion for David P. Burns Leave to Appear pro hac vice as to UBS Securities Japan Co, LTD (1)( Certificate of Good Standing due by 2/17/2013); Arraignment as to UBS Securities Japan Co, LTD (1) Count 1 held on 12/19/2012; Motion Hearing as to UBS Securities Japan Co, LTD held on 12/19/2012 re 7 ORAL MOTION for Leave to Appear Pro Hac Vcie Attorney: David P. Burns filed by UBS Securities Japan Co, LTD, 6 ORAL MOTION for Leave to Appear Pro hac Vice Attorney: Gary R. Spratling filed by UBS Securities Japan Co, LTD ; Waiver/Plea Hearing as to UBS Securities Japan Co, LTD held on 12/19/2012. Total Time: 1 hours and 18 minutes(Court Reporter Warner, Darlene.) (Glynn, T.) (Entered: 12/20/2012) |
| 12/19/2012 | 9 | MOTION for Leave to Appear Pro Hac Vice Attorney: Gary R. Spratling. Filing Fee $75.00. Receipt Number CTXH00004253. by UBS Securities Japan Co, LTD. (Kelsey, N.) (Entered: 12/28/2012) |
| 12/19/2012 | 10 | MOTION for Leave to Appear Pro Hac Vice Attorney: David P. Burns. Filing Fee $75.00. Receipt Number CTXH00004254. by UBS Securities Japan Co, LTD. (Kelsey, N.) (Entered: 12/28/2012) |
| 12/19/2012 | 11 | ORDER granting 9 and 10 Motions for Leave to Appear Pro Hac Vice as to UBS Securities Japan Co, LTD (1) pursuant to 8 Minutes. Signed by Clerk on 12/19/12. (Kelsey, N.) (Entered: 12/28/2012) |
| 01/10/2013 | 12 | TRANSCRIPT of Proceedings: as to UBS Securities Japan Co, LTD. Type of Hearing: Plea. Held on 12.19.12 before Judge Robert N. Chatigny. Court Reporter: Darlene A. Warner. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: To remove personal identifier information from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within seven (7) calendar days of this date. If no such Notice is filed, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available through PACER without redaction 90 days from today's date. The transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. The policy governing the redaction of personal information is located on the court website at www.ctd.uscourts.gov. Redaction Request due 1/31/2013. Redacted Transcript Deadline set for 2/10/2013. Release of Transcript Restriction set for 4/10/2013. (Warner, D.) (Entered: 01/10/2013) |