USXP Pacer NY Update 13 Nov 08
Date Filed # Docket Text
11/13/2008 361 ENDORSED LETTER addressed to Judge Gerard E. Lynch from Leslie J. Hughes dated 11/12/2008 re: Counsel writes requesting permission to use Courtroom Connect to provide access to the internet during the hearing in this case set for 11/17/2008 at 9:30 a.m. ENDORSEMENT: SO ORDERED. (Signed by Judge Gerard E. Lynch on 11/12/2008) (tve) (Entered: 11/13/2008)
11/10/2008 360 MEMORANDUM OF LAW in Support re: 358 MOTION To Set Disgorgement and Civil Penalties for Sandhu.. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit 1 Mendiratta deposition, # 2 Exhibit Margolis deposition, # 3 Exhibit 3 Morgan Affidavit and Attachments, # 4 Exhibit 4 Matticks Affidavit and Attachment, # 5 Exhibit 5 Sandhu deposition, # 6 Exhibit 6 Sandhu investigative transcript, # 7 Exhibit 7 Spiga Articles of Incorporation, # 8 Exhibit 8 Investor subscription agreements, # 9 Exhibit 9 Letters of Authorization, # 10 Exhibit 10 Spiga subsription agreement, # 11 Exhibit 7b Spiga Consulting agreement, # 12 Exhibit 11c List of Spiga shares, # 13 Exhibit 20a Closing price May 2002, # 14 Exhibit 21 USXP press release May 2002, # 15 Exhibit 23 Sandhu March letter, # 16 Exhibit 24 Sandhu May letter, # 17 Exhibit 173 Spiga new account Bear Stearns, # 18 Exhibit 176 Spiga trading authorization Bear Stearns, # 19 Exhibit 180 Form 10-K 2003, # 20 Exhibit 228 Form S-8 2001, # 21 Exhibit 239 Form S-8 2002, # 22 Exhibit 290 List of Spiga Shares, # 23 Exhibit 291 Spiga trading authorization Yorkton, # 24 Exhibit 320 Target new account form, # 25 Exhibit 321 Spiga new account form Research Capital, # 26 Exhibit 355 Jensen Pacific wires, # 27 Exhibit 475, # 28 Exhibit GS002 Spiga trading authorization, # 29 Exhibit GS004 Spiga new account form)(Hughes, Leslie) (Entered: 11/10/2008)
11/10/2008 359 MEMORANDUM OF LAW in Support re: 355 MOTION Order for Disgorgement and Civil Penalties against Defendant Mark Neuhaus. (Re-filed). Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Exhibit Att. 1, # 2 Exhibit Att. 2, # 3 Exhibit Att.3(1), # 4 Exhibit Att.3 (2), # 5 Exhibit Att. 4, # 6 Exhibit Att. 5, # 7 Exhibit Att. 5(a), # 8 Exhibit Att. 6, # 9 Exhibit Att. 7, # 10 Exhibit Att. 8)(Lutz, Julie) (Entered: 11/10/2008)
11/10/2008 358 MOTION To Set Disgorgement and Civil Penalties for Sandhu. Document filed by U.S. Securities and Exchange Commission.(Hughes, Leslie) (Entered: 11/10/2008)
11/07/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Leslie Hughes to RE-FILE Document 357 MOTION Set Disgorgement, and Penalties for George Sandhu. ERROR(S): Supporting documents must be filed individually. Use event type Memorandum of Law in Support found under Replies, Oppositions, Supporting documents. (jar) (Entered: 11/10/2008)
11/07/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Julie Lutz to RE-FILE Document 356 MOTION Memorandum in Support of Motion for Disgorgement and Penalties against Defendant Mark Neuhaus re: 355 MOTION Order for Disgorgement and Civil Penalties against Defendant Mark Neuhaus. Use the event type Memorandum of Law in Support found under the event list Replies, Oppositions, Supporting Documents. (jar) (Entered: 11/10/2008) |
