EFILE

U.S. District Court
United States District Court for the District of Connecticut (New Haven)
CRIMINAL DOCKET FOR CASE #: 3:12-cr-00268-RNC All Defendants


Case title: USA v. UBS Securities Japan Co, LTD

Date Filed: 12/19/2012

Assigned to: Judge Robert N. Chatigny

Defendant (1)
UBS Securities Japan Co, LTD represented byDavid 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
FRAUD BY WIRE, RADIO, OR TELEVISION
(1)

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented byDavid 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
12/19/2012INFORMATION as to UBS Securities Japan Co, LTD (1) count(s) 1. (Ruocco, M.) (Entered: 12/19/2012)
12/19/2012WAIVER OF INDICTMENT by UBS Securities Japan Co, LTD (Ruocco, M.) (Entered: 12/19/2012)
12/19/2012ELECTRONIC 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)
12/19/2012PLEA 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)
12/19/2012ATTORNEY APPEARANCE: Meredith C. Braxton appearing for UBS Securities Japan Co, LTD (Braxton, Meredith) (Entered: 12/19/2012)
12/19/2012 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)
12/19/2012ORAL MOTION for Leave to Appear Pro Hac Vcie Attorney: David Burns. by UBS Securities Japan Co, LTD. (Glynn, T.) (Entered: 12/20/2012)
12/19/2012Minute 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 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)
12/19/201210  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)
12/19/201211 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)
01/10/201312 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)