U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET for CASE #: 1:11-Cv-09073-SAS

U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:11-cv-09073-SAS

U.S. Securities and Exchange Commission v. Sharef et al Date Filed: 12/13/2011 Assigned to: Judge Shira A. Scheindlin Jury Demand: Plaintiff Cause: 15:78m(a) Securities Exchange Act Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff U.S. Securities and Exchange represented by Denise Hansberry Commission Securities and Exchange Commission 100 F Street NE Washington, DC 20549 (202) 942-2803 ATTORNEY TO BE NOTICED

Kara Novaco Brockmeyer 100 F Street NE Washington, DC 20549 (202) 942-4567 Fax: (202) 942-9636 ATTORNEY TO BE NOTICED

Paul W. Kisslinger U.S. Securities and Exchange Commission (DC) 100 F Street, N.E. Washington, DC 20549 202-551-4427 Fax: 202-772-9292 Email: [email protected] ATTORNEY TO BE NOTICED

Robert Irving Dodge U.S. Securities and Exchange Commission 100 F Street, Ne Washington, DC 20549 (202)-551-4421 Fax: (202)-772-9286 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Tracy Linkins Price 100 F. Street NE Washington, DC 20549 (202) 942-4567 Fax: (202) 942-9636 ATTORNEY TO BE NOTICED

V. Defendant Uriel Sharef represented by Richard W. Grime TERMINATED: 04/15/2013 O'Melveny & Myers 1625 Eye Street, N.W. Washington, DC 20006 (202) 383-5178 Fax: (202) 383-5414 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Ulrich Bock TERMINATED: 02/04/2014

Defendant Carlos Sergi TERMINATED: 10/29/2013

Defendant Stephan Signer TERMINATED: 02/04/2014

Defendant Herbert Steffen represented by Amanda Grier Skadden, Arps, Slate, Meagher & Flom LLP (DC) 1440 New York Avenue N.W. Washington, DC 20005 (202)-371-7691 Fax: 202 661 9176 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Erich T. Schwartz Skadden, Arps, Slate, Meagher & Flom LLP 1440 New York, Ave., Nw Washington, DC 20005 202 371 7660 Fax: 202 661 9054 Email: [email protected] ATTORNEY TO BE NOTICED

Gary DiBianco Skadden, Arps, Slate, Meagher & Flom LLP 40 Bank Street Canary Wharf London, EN E145DS UK 44.20.7519.7258 Fax: 44.20.7072.7258 PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant Andres Truppel represented by Arthur D. Middlemiss TERMINATED: 02/03/2014 Lewis Baach PLLC 405 Lexington Avenue 32nd Floor New York, NY 10174 (212)-826-7001 Fax: (212)-826-7146 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

David Guerrero Liston Hughes Hubbard & Reed LLP (NY) One Battery Park Plaza New York, NY 10004 (212)-837-6030 Fax: (212)-422-4726 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant Bernd Regendantz represented by Nicholas Michael DeFeis TERMINATED: 12/14/2011 De Feis O'Connell & Rose, P.C. 500 Fifth Avenue, 26th Floor New York, NY 10110 212 768 1000 Fax: 212 768 3511 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Vera Marie Kachnowski De Feis O'Connell & Rose, P.C. 500 Fifth Avenue, 26th Floor New York, NY 10110 (212) 768-1000 Fax: (212) 768-3511 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed # Docket Text 12/13/2011 1 COMPLAINT against Ulrich Bock, Bernd Regendantz, Carlos Sergi, Uriel Sharef, Stephan Signer, Herbert Steffen, Andres Truppel. Document filed by U.S. Securities and Exchange Commission.(mro) (ama). (Entered: 12/14/2011) 12/13/2011 SUMMONS ISSUED as to Ulrich Bock, Bernd Regendantz, Carlos Sergi, Uriel Sharef, Stephan Signer, Herbert Steffen, Andres Truppel. (mro) (Entered: 12/14/2011) 12/13/2011 Magistrate Judge Henry B. Pitman is so designated. (mro) (Entered: 12/14/2011) 12/13/2011 Case Designated ECF. (mro) (Entered: 12/14/2011) 12/13/2011 2 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 12/14/2011) 12/14/2011 3 FINAL JUDGMENT AS TO DEFENDANT BERND REGENDANTZ #11,2402 in favor of U.S. Securities and Exchange Commission against Bernd Regendantz, in the amount of $ 40,000.00. (Signed by Judge Shira A. Scheindlin on 12/13/2011) (Attachments: # 1 Notice of Right to Appeal)(jnm) Modified on 12/20/2011 (jnm). (Entered: 12/14/2011) 12/14/2011 4 NOTICE OF APPEARANCE by Nicholas Michael DeFeis on behalf of Bernd Regendantz (DeFeis, Nicholas) (Entered: 12/14/2011) 12/14/2011 5 NOTICE OF APPEARANCE by Vera Marie Kachnowski on behalf of Bernd Regendantz (Kachnowski, Vera) (Entered: 12/14/2011) 12/16/2011 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Denise Hansberry for noncompliance with Section 14.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint to: [email protected] . (mro) (Entered: 12/16/2011) 06/15/2012 6 MOTION for Service by Publication. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 06/15/2012) 06/15/2012 7 MEMORANDUM OF LAW in Support re: 6 MOTION for Service by Publication.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit)(Dodge, Robert) (Entered: 06/15/2012) 06/19/2012 8 ORDER granting 6 Motion for Service by Publication. It is hereby ORDERED that the motion of the Securities and Exchange Commission for leave pursuant to Federal Rule 4(f)(3) to serve Defendants Ulrich Bock, Uriel Sharef, Stefan Signer, and Herbert Steffen by alternative means is GRANTED. The SEC shall serve these Defendants by (i) publication in the International Herald Tribune, along with(ii) delivery of notice copies by mail and electronic mail (in both English and German) to the defendants' German counsel. SO ORDERED.(Signed by Judge Shira A. Scheindlin on 6/18/2012) (ama) (Entered: 06/19/2012) 07/11/2012 9 AFFIDAVIT OF SERVICE. Ulrich Bock served on 6/27/2012, answer due 7/18/2012; Uriel Sharef served on 6/27/2012, answer due 7/18/2012; Stephan Signer served on 6/27/2012, answer due 7/18/2012; Herbert Steffen served on 6/27/2012, answer due 7/18/2012. Document filed by U.S. Securities and Exchange Commission. (Kisslinger, Paul) (Entered: 07/11/2012) 07/16/2012 10 ORDER: It is hereby ORDERED that the unopposed request of Defendant, Herbert Steffen, for an extension of time to respond to the Complaint is GRANTED. The date for a response to the Complaint is extended to August 24, 2012., Herbert Steffen answer due 8/24/2012. (Signed by Judge Shira A. Scheindlin on 7/16/2012) (lmb) (Entered: 07/16/2012) 07/17/2012 11 ORDER TO EXTEND TIME TO ANSWER OR OTHERWISE RESPOND TO COMPLAINT:IT IS HEREBY ORDERED by the Court that the unopposed request of Defendant; Uriel Sharef, for an extension of time to respond to the Complaint is GRANTED.The date for a response to the Complaint is extended to August 24, 2012. Uriel Sharef answer due 8/24/2012. (Signed by Judge Shira A. Scheindlin on 7/16/2012) (djc) (Entered: 07/18/2012) 07/26/2012 12 ORDER: Attorney Richard W. Grime for Uriel Sharef admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 7/25/2012) (cd) (Entered: 07/26/2012) 08/02/2012 13 MOTION for Richard W. Grime to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Uriel Sharef.(pgu) (Entered: 08/03/2012) 08/03/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 13 MOTION for Richard W. Grime to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu) (Entered: 08/03/2012) 08/06/2012 CASHIERS OFFICE REMARK on 13 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 08/02/2012, Receipt Number 1045319. (jd) (Entered: 08/06/2012) 08/08/2012 14 ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 8/27/2012 at 04:30 PM in Courtroom 15C, at the United States Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Shira A. Scheindlin. (Signed by Judge Shira A. Scheindlin on 8/8/2012) (laq) (Entered: 08/08/2012) 08/17/2012 15 ENDORSED LETTER: addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 8/16/2012 re: Counsel for Plaintiff writes given the current posture of this case, the SEC and defendants Sharef and Steffen believe that the most efficient use of the Court's and the parties resources would be (i) to adjourn the scheduled August 27 conference for thirty days until September 27, 2012, (ii) to extend until October 31, 2012, the deadline for defendants Sharef and Steffen to respond to SEC's complaint and (iii) for the SEC to provide the Court with a further status report on September 17, 2012. ENDORSEMENT: The parties' requests are granted. The August 27 conference is adjourned for 30 days until 4:30 p.m. on September 27, 2012 The deadline for defendants Sharef and Steffen to respond to the SEC's Complaint is extended to October 31, 2012. The SEC is directed to provide the Court with a status report on September 17, 2012., Uriel Sharef answer due 10/31/2012; Herbert Steffen answer due 10/31/2012., ( Status Conference set for 9/27/2012 at 04:30 PM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 8/16/2012) (js) (Entered: 08/17/2012) 09/17/2012 16 REQUEST TO ENTER DEFAULT against Ulrich Bock, Stephan Signer. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 09/17/2012) 09/19/2012 17 CLERK'S CERTIFIACTE OF DEFAULT AS TO Ulrich Bock and Stephan Signer. (dt) (Entered: 09/19/2012) 09/25/2012 18 AFFIDAVIT OF SERVICE. Andres Truppel served on 8/3/2012, answer due 8/24/2012. Service was accepted by Natalia Gabriela Albarracin. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 09/25/2012) 09/25/2012 19 ORDER FOR ADMISSION PRO HAC VICE: Attorney Erich T. Schwartz for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/25/2012) 09/25/2012 20 ORDER FOR ADMISSION PRO HAC VICE: Attorney Amanda Grier for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/25/2012) 09/25/2012 21 ORDER FOR ADMISSION PRO HAC VICE: Attorney Gary DiBianco for Herbert Steffen admitted Pro Hac Vice. (Signed by Judge Shira A. Scheindlin on 9/25/2012) (jfe) (Entered: 09/26/2012) 09/28/2012 Minute Entry for proceedings held before Judge Shira A. Scheindlin: Pre-Motion Conference held on 9/28/2012. (djc) (Entered: 10/02/2012) 10/12/2012 22 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 10/9/2012 re: The parties request that any filing dates for motions and discovery obligations with respect to Mr. Sharef be suspended pending the finalization of this settlement. ENDORSEMENT: Filing dates for motions and discovery obligations as to Mr. Sharef are suspended for thirty days. Deadlines for all other defendants remain in place. So ordered. (Signed by Judge Shira A. Scheindlin on 10/11/2012) (rjm) (Entered: 10/12/2012) 10/12/2012 23 MOTION to Dismiss the Complaint. Document filed by Herbert Steffen.(Schwartz, Erich) (Entered: 10/12/2012) 10/12/2012 24 MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Complaint.. Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 10/12/2012) 10/24/2012 CASHIERS OFFICE REMARK on 19 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number 1051336. (jd) (Entered: 10/24/2012) 10/24/2012 CASHIERS OFFICE REMARK on 20 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number 1051337. (jd) (Entered: 10/24/2012) 10/24/2012 CASHIERS OFFICE REMARK on 21 Order Admitting Attorney Pro Hac Vice in the amount of $200.00, paid on 10/18/2012, Receipt Number 1051338. (jd) (Entered: 10/24/2012) 10/25/2012 25 ORDER granting 23 Motion to Dismiss. ORDERS at the request is GRANTED. The SEC shall file its opposition to defendant Steffen's motion to dismiss by November 12,2012. Defendant Steffen's reply shall be due December 6, 2012. SO ORDERED.(Signed by Judge Shira A. Scheindlin on 10/24/2012) (ama) (Entered: 10/25/2012) 10/25/2012 Set/Reset Deadlines: Responses due by 11/12/2012 Replies due by 12/6/2012. (ama) (Entered: 10/25/2012) 11/12/2012 26 MEMORANDUM OF LAW in Opposition re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 11/12/2012) 11/12/2012 27 ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Robert I. Dodge dated 11/9/2012 re: Counsel for plaintiff writes to advise the Court that Mr. Sharef and the SEC are continuing to finalize the proposed settlement of the SEC's Claims and jointly request that the 30-day stay of Mr. Sharef's deadlines in this litigation be extended for another 30 days. ENDORSEMENT: The 30-day stay of Mr. Sharef's deadlines is extended an additional 30 days until December 10, 2012. this does not apply to any other defendants. So Ordered. (Signed by Judge Shira A. Scheindlin on 11/9/2012) (pl) (Entered: 11/13/2012) 11/13/2012 28 AMENDED MEMORANDUM OF LAW in Opposition re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Notice of filing corrected brief)(Dodge, Robert) (Entered: 11/13/2012) 12/06/2012 29 REPLY MEMORANDUM OF LAW in Support re: 23 MOTION to Dismiss the Complaint.. Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 12/06/2012) 02/08/2013 30 NOTICE of Supplemental Authority re: 28 Memorandum of Law in Opposition to Motion. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/08/2013) 02/11/2013 31 RESPONSE re: 30 Notice (Other). Document filed by Herbert Steffen. (Schwartz, Erich) (Entered: 02/11/2013) 02/13/2013 32 REPLY to Response to Motion re: 23 MOTION to Dismiss the Complaint.. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/13/2013) 02/19/2013 33 OPINION AND ORDER # 102939; re: Steffen's motion to dismiss for lack of personal jurisdiction is granted. The Clerk of the Court is directed to close this motion [Docket No. 23]. (Signed by Judge Shira A. Scheindlin on 2/19/2013) (sac) Modified on 2/27/2013 (rsh). (Entered: 02/19/2013) 03/15/2013 34 REQUEST TO ENTER DEFAULT against Andres Ricardo Truppel. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 03/15/2013) 04/12/2013 35 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - SETTLEMENT AGREEMENT Consent of defendant Uriel Sharef. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order Proposed final judgment)(Dodge, Robert) Modified on 4/15/2013 (ka). (Entered: 04/12/2013) 04/15/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Robert Irving Dodge to E-MAIL to [email protected]., Document No. 35 Consent. This document is not filed via ECF. (ka) (Entered: 04/15/2013) 04/15/2013 36 FINAL JUDGMENT AS TO DEFENDANT URIEL SHAREF #13,0737 in favor of U.S. Securities and Exchange Commission against Uriel Sharef in the amount of $ 275,000.00. (Signed by Judge Shira A. Scheindlin on 4/15/13) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 04/16/2013) 04/29/2013 37 CLERK'S CERTIFICATE OF DEFAULT as to Andres Ricardo Truppel. (jno) (Entered: 04/29/2013) 10/25/2013 38 MOTION for Default Judgment as to defendants Bock, Signer, and Truppel . Document filed by U.S. Securities and Exchange Commission. Responses due by 11/25/2013(Dodge, Robert) (Entered: 10/25/2013) 10/25/2013 39 MEMORANDUM OF LAW in Support re: 38 MOTION for Default Judgment as to defendants Bock, Signer, and Truppel .. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 10/25/2013) 10/25/2013 40 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Carlos Sergi. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) Modified on 10/28/2013 (jno). (Entered: 10/25/2013) 10/28/2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Robert Dodge Document 40 Notice of Voluntary Dismissal, was referred to Judge Shira A. Scheindlin for approval. (jno) (Entered: 10/28/2013) 10/29/2013 ***DELETED DOCUMENT. Deleted document number 41 Notice of Dismissal As To Defendant Carlos Sergi. The document was incorrectly filed in this case. (ja) (Entered: 10/29/2013) 10/29/2013 41 MEMO ENDORSEMENT on re: 40 NOTICE OF DISMISSAL AS TO DEFENDANT CARLOS SERGI, filed by U.S. Securities and Exchange Commission. Pursuant to Federal Rule 41(a)(1)(A)(i), Plaintiff Securities and Exchange Commission ("SEC") notifies the Court and all parties that the SEC hereby dismisses all claims in this action against defendant Carlos Sergi. SO ORDERED. (Signed by Judge Shira A. Scheindlin on 10/29/2013) (ja) (Entered: 10/29/2013) 11/01/2013 42 NOTICE OF APPEARANCE by Arthur D. Middlemiss on behalf of Andres Truppel. (Middlemiss, Arthur) (Entered: 11/01/2013) 11/01/2013 43 NOTICE OF APPEARANCE by David Guerrero Liston on behalf of Andres Truppel. (Liston, David) (Entered: 11/01/2013) 11/16/2013 44 MOTION to Withdraw 38 MOTION for Default Judgment as to defendants Bock, Signer, and Truppel.. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 11/16/2013) 11/16/2013 45 MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer . Document filed by U.S. Securities and Exchange Commission. Responses due by 12/16/2013(Dodge, Robert) (Entered: 11/16/2013) 11/16/2013 46 MEMORANDUM OF LAW in Support re: 45 MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer .. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 11/16/2013) 01/31/2014 47 SETTLEMENT AGREEMENT Consent to entry of final judgment by defendant Andres Truppel. Document filed by U.S. Securities and Exchange Commission.(Dodge, Robert) (Entered: 01/31/2014) 02/03/2014 48 FINAL JUDGMENT AS TO DEFENDANT ANDRES TRUPPEL in favor of U.S. Securities and Exchange Commission against Andres Truppel. Defendant shall pay a civil penalty in the amount of $80,000.00. (Signed by Judge Shira A. Scheindlin on 2/3/14) (Attachments: # 1 Notice of Right to Appeal)(ml) (Entered: 02/03/2014) 02/03/2014 49 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 45 MOTION for Default Judgment as to defendants Ulrich Bock and Stephan Signer .. Document filed by U.S. Securities and Exchange Commission. (Dodge, Robert) (Entered: 02/03/2014) 02/04/2014 50 FINAL JUDGMENT AS TO DEFENDANTS ULRICH BOCK AND STEPHAN SIGNER: in favor of U.S. Securities and Exchange Commission against Ulrich Bock in the amount of $ 937,957.00, and in favor of U.S. Securites and Exchange Commission against Stephan Signer in the amount of $524,000.00. (Signed by Judge Shira A. Scheindlin on 2/3/2014) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 02/04/2014) Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. 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