EFTA00610965.pdf

CM/ECF - Live Database - flsd Page 1 of 97 APPEAL, CLOSED, LSS, MERGED U.S. District Court Southern District of Florida (Ft. Lauderdale) CRIMINAL DOCKET FOR CASE #: 0:09-cr-60331-JIC All Defendants Case title: USA v. Rothstein Date Filed: 12/01/2009 Date Terminated: 06/09/2010 Petitioner Regions Bank represented by Louis Mario Ursini , III Adams and Reese LLP Fax: Email: ATTORNEY TO BE NOTICED Assigned to: Judge James I. Cohn Referred to: Magistrate Judge Lurana S. Snow Appeals court case numbers: 10-15324- B USCA, 11-10676-B USCA Defendant (1) Scott W. Rothstein represented by Marc S. Nurik 91256-004 Law Offices of Marc S Nurik TERMINATED: 06/09/2010 Fax: Email: ATTORNEY TO BE NOTICED Designation: Retained Pending Counts Disposition Imprisonment: 240 Months to run RACKETEERING consecutively; Supervised Release: 3 (1) years to run concurrently MONEY LAUNDERING= CR Imprisonment: 240 Months to run ENTERPRISE consecutively to count 1; Supervised https://ecalsd.uscourts.gov/cgi-bin/DktRpt.pr791192596859255-L_942_0-1 5/29/2011 EFTA00610965 CM/ECF - Live Database - flsd Page 2 of 97 (2) Release: 3 years to run concurrently Imprisonment: 120 Months to run ATTEMPT AND CONSPIRACY TO consecutive to counts 1 and 2; COMMIT MAIL FRAUD Supervised Release: 3 years to run (3) concurrently Imprisonment: 240 Months as to counts FRAUD BY WIRE, RADIO, OR 4 and 5 to run concurrently with each TELEVISION other and concurrently with counts 1,2, (4-5) and 3; Supervised Release: 3 Years to run concurrently Highest Offense Level (Opening) Felony Terminated Counts Disposition None Highest Offense Level (Terminated) None Complaints Disposition None Interpleader Solar Air, Inc. represented by Kimberly Anne Gessner 1 11 .1 Fax: 5 7-1778 Email: LEAD ATTORNEY ATTORNEY TO BE NOTICED Claimant Ruben Vine represented by Thomas Louis Abrams Gamberg & Abrams https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791 1 92596859255-L_942_0-1 5/29/2011 EFTA00610966 CM/ECF - Live Database - flsd Page 3 of 97 Fax: Email: ATTORNEY TO BE NOTICED Claimant Sharon Vine represented by Thomas Louis Abrams (See above for address) ATTORNEY TO BE NOTICED Claimant VRLP1, LLC. represented by Mark Francis Booth Rogers Morris & Ziegler Victoria Park Centre Fax: 763-2692 Email: LEAD ATTORNEY ATTORNEY TO BE NOTICED Claimant Wachovia Bank represented by Ana Hirfield Barnett formerly known as Steams Weaver Miller Weissler Wells Fargo Bank Alhadeff & Sitterson Fax: 789-3395 Email: ATTORNEY TO BE NOTICED Designation: Public Defender Appointment Claimant Palm Beach County Tax Collector represented by James Michael Brako https://ecalsd.uscourts.gov/cgi-bin/DktRpt.p17791192596859255-L_942_0-1 5/29/2011 EFTA00610967 CM/ECF - Live Database - flsd Page 4 of 97 Fax: Email: ATTORNEY TO BE NOTICED Marta M. Suarez-Murias Breton, Lynch, Eubanks & Suarez- Fax: Email: TERMINATED: 07/16/2010 ATTORNEY TO BE NOTICED Plaintiff USA represented by Alison Whitney Lehr y's Office Fax: 536-7599 Email: ATTORNEY TO BE NOTICED Evelyn Baltodano-Sheehan United States Attorney's Office Jeffrey Kaplan United States Attorney's Office 500 E Broward Boulevard 3515 Fax: 356-7336 Email: ATTORNEY TO BE NOTICED Lawrence D. LaVecchio United States Attorney's Office hups://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610968 CM/ECF - Live Database - flsd Page 5 of 97 Fort Lauderdale, FL 33394 Fax: Email: ATTORNEY TO BE NOTICED Paul Schwartz United States Attorne 's Office Fax: 356-7230 Email: ATTORNEY TO BE NOTICED Date Filed # Docket Text 12/01/2009 1 INFORMATION as to Scott W. Rothstein (1) count(s) 1, 2, 3, 4-5. FORFEITURE ATTACHED. Arraignment set for 12/1/2009 11:00 AM in Fort Lauderdale Division before Magistrate Judge Robin S. Rosenbaum. (dd) (Main Document 1 replaced on 12/2/2009) (dd). (Entered: 12/01/2009) 12/01/2009 Arrest of Scott W. Rothstein (dd) (Entered: 12/01/2009) 12/01/2009 2 Report Commencing Criminal Action as to Scott W. Rothstein - DOB: **/**/1962 Prisoner #: 91256-004 (dd) (Entered: 12/01/2009) 12/01/2009 3 Order on Initial Appearance as to Scott W. Rothstein for proceeding held on 12/1/2009 Attorney Marc S. Nurik for Scott W. Rothstein added for the defendant. as to Scott W. Rothstein (1) PTD Requested. Tape #0947. Signed by Magistrate Judge Robin S. Rosenbaum on 12/1/2009. (dd) (Entered: 12/01/2009) 12/01/2009 4 WAIVER OF INDICTMENT by Scott W. Rothstein (dd) (Entered: 12/01/2009) 12/01/2009 5 Minute Entry for proceedings held before Magistrate Judge Robin S. Rosenbaum: Initial Appearance as to Scott W. Rothstein held on 12/1/2009 (Digital 11:06:00.) (Tape #0947.) (dd) (Entered: 12/01/2009) 12/01/2009 6 ORDER RE: STATUS CONFERENCE, SPEEDY TRIAL, PRETRIAL MATTERS as to Scott W. Rothstein Status Conference set for 12/16/2009 11:00 AM in Fort Lauderdale Division before Magistrate Judge Robin S. Rosenbaum.. Signed by Magistrate Judge Robin S. Rosenbaum on 12/1/2009. (dd) (Entered: 12/01/2009) 12/01/2009 7 STANDING DISCOVERY ORDER as to Scott W. Rothstein. All motions concerning matters not covered by this order must be filed within 28 days of this order.. Signed by Magistrate Judge Robin S. Rosenbaum on 12/1/2009. (dd) (Entered: 12/01/2009) https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610969 CM/ECF - Live Database - flsd Page 6 of 97 12/01/2009 8 ORDER OF DETENTION as to Scott W. Rothstein. Signed by Magistrate Judge Robin S. Rosenbaum on 12/1/2009. (dd) (Entered: 12/01/2009) 12/01/2009 2 NOTICE OF ATTORNEY APPEARANCE: Marc S. Nurik appearing for Scott W. Rothstein (Nurik, Marc) (Entered: 12/01/2009) 12/02/2009 10 NOTICE of Change of Address by Marc S. Nurik (Nurik, Marc) (Entered: 12/02/2009) 12/02/2009 11 ORDER SETTING JURY TRIAL as to Scott W. Rothstein. Calendar Call set for 1/6/2010 at 09:00 AM in Fort Lauderdale Division before Judge James I. Cohn., Jury Trial set for 1/11/2010 at 09:00 AM in Fort Lauderdale Division before Judge James I. Cohn. Signed by Judge James I. Cohn on 12/2/2009. (vtl) (Entered: 12/02/2009) 12/06/2009 12 MOTION for Protective Order by USA as to Scott W. Rothstein. Responses due by 12/23/2009 (Attachments: # 1 Exhibit Properties for Which Protective Order Is Sought, # 2 Affidavit Affidavit of Special Agent Klitz in Support of Probable Cause Determination, # 3 Text of Proposed Order, # 4 Exhibit Properties Subject to Proposed Protective Order)(Lehr, Alison) (Entered: 12/06/2009) 12/07/2009 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in the following property: SEE EXHIBIT A B. Property owner(s) are required to maintain the present condition of the real properties subject to this Order, including timely payment of all mortgage payments, and insurance, utilities, taxes, and assessments until further order of the Court. C. Any financial institutions, other entities or individuals, holding mortgages on real properties subject to this Order shall respond promptly to requests by the Government for information on said mortgage's current status. No action shall be taken to foreclose against the real properties; D. Any financial institutions, other entities or individuals, holding liens on the vehicles and vessels subject to this Order shall respond promptly to requests by the Government for information on the current status of said liens. No action shall be taken to accelerate any loans on the vehicles and vessels in question; E. Any financial institutions holding accounts subject to this Order shall respond promptly to requests by the Government for information on said accounts' current status. F. Any persons or entities having an interest in those business interests named as subject to forfeiture, shall respond promptly to requests by the Government for information on the status of said business https://ecalsd.uscourts.gov/cgi-bin/DktRpt.p17791192596859255-L_942_0-1 5/29/2011 EFTA00610970 CM/ECF - Live Database - flsd Page 7 of 97 interests. G. The Secretary of the Treasury or his designee, or other authorized agent of the United States shall promptly serve a copy of this Protective Order upon defendant, and make a return thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to known institutions, entities or individuals, having an interest in the subject property, where such interest is defined as a "legal interest" and not merely an interest as a creditor of defendant. Such notice may be given by facsimile transmission. H. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). (Entered: 12/07/2009) 12/07/2009 14 ORDER OF RECUSAL in case as to Scott W. Rothstein. Case reassigned to Magistrate Judge Lurana S. Snow. Signed by Magistrate Judge Barry S. Seltzer on 12/7/2009. (mb) (Entered: 12/07/2009) 12/08/2009 15 MOTION Correct and Substitute Attachment Regarding Properties Subject to Protective Order re B Order on Motion for Protective Order by USA as to Scott W. Rothstein. Responses due by 12/28/2009 (Attachments: # 1 Exhibit List of Properties Subject to Protective Order Correcting $1.6 billion to $1.2 billion, # 2 Text of Proposed Order)(Lehr, Alison) (Entered: 12/08/2009) 12/08/2009 16 ORDER 15 Government's ExParte Motion to Correct and Substitute Attachment to Protective Order is hereby Granted. The previously-entered Protective Order remains in full force and effect. The Protective Order is hereby corrected through the substitution of the attached exhibit, which reflects that the amount of currency sought for forfeiture is $1,200,000,000 and not $1,600,000,000. Signed by Judge James I. Cohn on 12/8/2009. (vtl) (Entered: 12/08/2009) 12/15/2009 17 Third Party MOTION Modify Protective Order [■. 13] and Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, 13 Order on Motion for Protective Order,,,,,,,,,,,, by Herbert Stettin as to Scott W. Rothstein. Responses due by 1/4/2010 (Marcushamer, I.saac) (Entered: 12/15/2009) 12/16/2009 18 STATUS REPORT as to Scott W. Rothstein. Signed by Magistrate Judge Robin S. Rosenbaum on 12/16/2009. (RSR) (Entered: 12/16/2009) 12/16/2009 12 ORDER: United States of America shall file a response to Chapter 11 Bankruptcy Trustees Motion to Modify Protective Order and to Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts [DE 17] by no later than December 23, 2009. Signed by Judge James I. Cohn on 12/16/2009. (rke) (Entered: 12/16/2009) 12/16/2009 20 NOTICE OF UNAVAILABILITY Chapter 11 Bankruptcy Trustee by Herbert Stettin as to Scott W. Rothsteinfor dates ofDecember 18, 2009 (Marcushamer, Isaac) Modified on 12/18/2009 (Is). (Entered: 12/16/2009) I 2/16/2009 Set/Reset Deadlines per Order at DE 19 re Motion or Report and Recommendation in case as to Scott W. Rothstein 17 Third Party MOTION Modify Protective Order [■. 13] and Authorize the United States Marshals https://ecalsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610971 CM/ECF - Live Database - flsd Page 8 of 97 Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, 13 Order on Motion for Protective Order Responses due by 12/23/2009 (bb) (Entered: 12/16/2009) 12/16/2009 21 NOTICE OF UNAVAILABILITY Chapter 11 Bankruptcy by Herbert Stettin as to Scott W. Rothstein for dates of 01/04/2010 -01/08/2010 (Marcushamer, Isaac) (Entered: 12/16/2009) 12/16/2009 22 Minute Entry for proceedings held before Magistrate Judge Robin S. Rosenbaum: Status Conference as to Scott W. Rothstein held on 12/16/2009 (Digital 10:01:14.) (Tape #09-RSR-48:1429-1453.) (gw) (Entered: 12/17/2009) 12/23/2009 23 RESPONSE in Opposition by USA as to Scott W. Rothstein re 17 Third Party MOTION Modify Protective Order [E. 13] and Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, 13 Order on Motion for Protective Order„„„„„„Third Party MOTION Modify Protective Order .. 13] and Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, B Order on Motion for Protective Order (Lehr, Alison) (Entered: 12/23/2009) 12/31/2009 24 REPLY TO RESPONSE to Motion by Herbert Stettin as to Scott W. Rothstein re 17 Third Party MOTION Modify Protective Order [■. 13] and Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, 13 Order on Motion for Protective Order Third Party MOTION Modify Protective Order [■. 13] and Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts re 16 Order on Motion for Miscellaneous Relief, 13 Order on Motion for Protective Order,,,,,,,,,,,, (Singerman, Paul) (Entered: 12/31/2009) 01/04/2010 25 ORDER Denying Without Prejudice Chapter 11 Trustee's Motion to Modify Protective Order and to Authorize Turnover of Eight Accounts 17 Chapter 11 Bankruptcy Trustee's Motion to Modify Protective Order and to Authorize the United States Marshals Service to Turnover 8 RRA Bank Accounts. Signed by Judge James I. Cohn on 1/4/2010. (vtl) (Entered: 01/04/2010) 01/05/2010 26 MOTION For Alternative Victim Notification Procedures by USA as to Scott W. Rothstein. Responses due by 1/22/2010 (Attachments: # 1 Exhibit Website Notification Publication, # 2 Text of Proposed Order)(LaVecchio, Lawrence) Modified text to reflect correct event on 4/7/2010 (mrl). (Entered: 01/05/2010) 01/06/2010 27 Minute Order for proceedings held before Judge James I. Cohn: Calendar Call as to Scott W. Rothstein held on 1/6/2010. Defendant's Ore Tenus Motion for Continuance is hereby Granted. The Court finds that the ends of justice served by a continuance outweigh the best interest of the public and the Defendant in a speedy tri e Court hereby sets a McClain hearing for January 13, 2010 at 9:30 The Court also sets a Change of Plea hearing for Janua 27, 2010 at 9:30 . Court Reporter: Tammy Nestor, Phone: (vtl) (Entered: 01/06/2010) https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610972 CM/ECF - Live Database - flsd Page 9 of 97 01/06/2010 28 ORDER SETTING McCLAIN HEARING AND DIRECTING GOVERNMENT TO RES The Court hereby sets a McClain hearing for January 13, 2010 at 9:34, in Courtroom 203E of the United States Courthouse, 299 East Broward Blvd., Fort Lauderdale, Florida. The Government shall advise the Court in writing no later than January 11, 2010, whether Mr. Rothstein's attorney is under criminal investigation or subject to potential criminal liability which may create a conflict bearing on Mr. Rothstein's Sixth Amendment right to counsel. Signed by Judge James I. Cohn on 1/6/2010. (vtl) (Entered: 01/06/2010) 01/06/2010 22 ORDER 26 Government's Motion for Alternative Victim Notification Procedures is hereby Granted. The Court finds that (1) the "multiple crime victims" provision set forth in 18 U.S.C. 3771(d)(2) applies to the above- captioned case; (2) due to the number of victims it is impractical for the Government and the Court to identify direct and proximate victims of the charged offenses, on an individual basis, without unduly complicating or prolonging the proceedings; and (3) the basis of notification set forth in the Government's motion constitutes a "reasonable procedure" for giving effect to the provisions of 18 U.S.C. 3771. Accordingly, it is ORDERED AND ADJUDGED as follows: 1. The Government is authorized to comply with the provisions of 18 U.S.C. 3771(a)(2) in the above-captioned case by providing notice of upcoming proceedings by publication of the notice via the Internet on the following website: http://www.justice.gov/usao/flsNictimWitness/USvRothstein.html 2. The Government shall provide notice directly to any known crime victim(s) by mail, email, fax, or telephone. Signed by Judge James I. Cohn on 1/6/2010. (vtl) (Entered: 01/06/2010) 01/06/2010 30 NOTICE/ORDER OF CHANGE OF PLE to Scott W. Rothstein. Change of Plea Hearing set for 1/27/2010 at 09:30 M., before the Honorable James I. Cohn, United States District Judge, United States Courthouse, 299 East Broward Blvd., Courtroom 203E, Fort Lauderdale, Florida. (vtl) (Entered: 01/06/2010) 01/06/2010 Set/Reset Hearings per Order at DE 28 as to Scott W. Rothstein: McClain Hearing set for 1/13/2010 09:30 AM in Fort Lauderdale Division before Judge James I. Cohn. (bb) (Entered: 01/07/2010) 01/07/2010 31 RESPONSE/REPLY by USA as to Scott W. Rothstein to aa Order„ Setting McLain Hearing (LaVecchio, Lawrence) (Entered: 01/07/2010) 01/08/2010 32 Return of Service Executed on 12/22/2009 re 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610973 CM/ECF - Live Database - flsd Page 10 of 97 withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in the following property: SEE EXHIBIT A B. Property owner(s) are required to maintain the present condition of the real properties subject to this Order, including timely payment of all mortgage payments, and insurance, utilities, taxes, and assessments until further order of the Court. C. Any financial institutions, other entities or individuals, holding mortgages on real properties subject to this Order shall respond promptly to requests by the Government for information on said mortgage's current status. No action shall be taken to foreclose against the real properties; D. Any financial institutions, other entities or individuals, holding liens on the vehicles and vessels subject to this Order shall respond promptly to requests by the Government for information on the current status of said liens. No action shall be taken to accelerate any loans on the vehicles and vessels in question; E. Any financial institutions holding accounts subject to this Order shall respond promptly to requests by the Government for information on said accounts' current status. F. Any persons or entities having an interest in those business interests named as subject to forfeiture, shall respond promptly to requests by the Government for information on the status of said business interests. G. The Secretary of the Treasury or his designee, or other authorized agent of the United States shall promptly serve a copy of this Protective Order upon defendant, and make a return thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to known institutions, entities or individuals, having an interest in the subject property, where such interest is defined as a "legal interest" and not merely an interest as a creditor of defendant. Such notice may be given by facsimile transmission. H. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). Service information - 353 4 Avenue Unit 12-H, Brooklyn, NY (Is) (Entered: 01/08/2010) 01/08/2010 33 Return of Service Executed on 12/31/2009 re 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in the following property: SEE EXHIBIT A B. Property owner(s) are required to maintain the present condition of the real properties subject to this Order, including timely payment of all mortgage payments, and insurance, utilities, taxes, and assessments until further order of the Court. C. Any financial institutions, other entities or individuals, holding mortgages on real properties https://ecalsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610974 CM/ECF - Live Database - flsd Page 11 of 97 subject to this Order shall respond promptly to requests by the Government for information on said mortgage's current status. No action shall be taken to foreclose against the real properties; D. Any financial institutions, other entities or individuals, holding liens on the vehicles and vessels subject to this Order shall respond promptly to requests by the Government for information on the current status of said liens. No action shall be taken to accelerate any loans on the vehicles and vessels in question; E. Any financial institutions holding accounts subject to this Order shall respond promptly to requests by the Government for information on said accounts' current status. F. Any persons or entities having an interest in those business interests named as subject to forfeiture, shall respond promptly to requests by the Government for information on the status of said business interests. G. The Secretary of the Treasury or his designee, or other authorized agent of the United States shall promptly serve a copy of this Protective Order upon defendant, and make a return thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to known institutions, entities or individuals, having an interest in the subject property, where such interest is defined as a "legal interest" and not merely an interest as a creditor of defendant. Such notice may be given by facsimile transmission. H. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). Service information - Kipp Hunter Epstein do Attorney Alan Geffin (Is) (Entered: 01/08/2010) 01/10/2010 34 BILL OF PARTICULARS by USA as to Scott W. Rothstein Regarding Forfeiture (Lehr, Alison) (Entered: 01/10/2010) 01/13/2010 35 Minute Order for proceedings held before Judge James I. Cohn, on January 13, 2010.The Court noticed this hearing to address attorney conflicts or potential conflicts which may bear on Defendant Rothstein's Sixth Amendment Right to competent counsel. Through a written response the Government has advised the Court that attorney Mark Nurik is neither a target nor subject of a criminal investigation therefore the McClain issue is now MOOT. GARCIA HEARING HELD: The Court finds that Defendant Rothstein, is fully competent and capable of waiving his right to conflict free counsel. He is aware of the charges and the potential penalties. The Defendant knowingly, intelligently and voluntarily waives any attorney conflict in this case. The Court will therefore accept Defendant Rothstein's waiver and honor his attorney of choice Mark Nurik. Court Reporter: Tammy Nestor, (vtl) (Entered: 01/13/2010) 01/13/2010 36 DEFENDANT'S WAIVER OF POTENTIAL ATTORNEY CONFLICTS OF INTEREST. (vtl) (Entered: 01/13/2010) 01/15/2010 37 Return of Service Executed on 12/22/09 re B Protective ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). (1k) (Entered: 01/15/2010) 01/15/2010 38 Return of Service Executed on 1/6/10 re B ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610975 CM/ECF - Live Database - flsd Page 12 of 97 ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in the following property: SEE EXHIBIT A B. Property owner(s) are required to maintain the present condition of the real properties subject to this Order, including timely payment of all mortgage payments, and insurance, utilities, taxes, and assessments until further order of the Court. C. Any financial institutions, other entities or individuals, holding mortgages on real properties subject to this Order shall respond promptly to requests by the Government for information on said mortgage's current status. No action shall be taken to foreclose against the real properties; D. Any financial institutions, other entities or individuals, holding liens on the vehicles and vessels subject to this Order shall respond promptly to requests by the Government for information on the current status of said liens. No action shall be taken to accelerate any loans on the vehicles and vessels in question; E. Any financial institutions holding accounts subject to this Order shall respond promptly to requests by the Government for information on said accounts' current status. F. Any persons or entities having an interest in those business interests named as subject to forfeiture, shall respond promptly to requests by the Government for information on the status of said business interests. G. The Secretary of the Treasury or his designee, or other authorized agent of the United States shall promptly serve a copy of this Protective Order upon defendant, and make a return thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to known institutions, entities or individuals, having an interest in the subject property, where such interest is defined as a "legal interest" and not merely an interest as a creditor of defendant. Such notice may be given by facsimile transmission. H. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). (1k) (Entered: 01/15/2010) 01/15/2010 39 Return of Service Executed on 1/4/10 re 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified on 12/7/2009 (vtl). Modified on 12/7/2009 (vtl). (1k) (Entered: 01/15/2010) 01/15/2010 57 Return of Service Executed on 1/4/2010 re 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1 5/29/2011 EFTA00610976 CM/ECF - Live Database - flsd Page 13 of 97 property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in the following property: SEE EXHIBIT A B. Property owner(s) are required to maintain the present condition of the real properties subject to this Order, including timely payment of all mortgage payments, and insurance, utilities, taxes, and assessments until further order of the Court. C. Any financial institutions, other entities or individuals, holding mortgages on real properties subject to this Order shall respond promptly to requests by the Government for information on said mortgage's current status. No action shall be taken to foreclose against the real properties; D. Any financial institutions, other entities or individuals, holding liens on the vehicles and vessels subject to this Order shall respond promptly to requests by the Government for information on the current status of said liens. No action shall be taken to accelerate any loans on the vehicles and vessels in question; E. Any financial institutions holding accounts subject to this Order shall respond promptly to requests by the Government for information on said accounts' current status. F. Any persons or entities having an interest in those business interests named as subject to forfeiture, shall respond promptly to requests by the Government for information on the status of said business interests. G. The Secretary of the Treasury or his designee, or other authorized agent of the United States shall promptly serve a copy of this Protective Order upon defendant, and make a return thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to known institutions, entities or individuals, having an interest in the subject property, where such interest is defined as a "legal interest" and not merely an interest as a creditor of defendant. Such notice may be given by facsimile transmission. H. This Protective Order shall remain in full force and effect until further order of this Court. Signed by Judge James I. Cohn on 12/7/2009. (vtl) Modified o 7/2009 (vtl). Modified on 12/7/2009 (vtl). Service information - Mgt Investment, LLC 615 Baitic St., Brooklyn, NY 11217 (Is) (Entered: 01/19/2010) 01/15/2010 58 Return of Service Executed on 12/22/2009 re 13 ORDER 12 Motion for Protective Order is hereby Granted as to Scott W. Rothstein. It is hereby ORDERED and ADJUDGED that: A. Effective immediately, defendant, his agents, servants, employees, attorneys, family members and those persons in active concert or participation with him, and those persons, financial institutions, or other entities who have any interest or control over the subject property listed in Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval of this Court and upon notice to the United States and an opportunity for the United States to be heard, from attempting or completing any action that would affect the availability, marketability or value of said property, including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way diminishing the value of, all or any part of their interest, direct or indirect, in https://ectflsd.uscourts.gov/cgi-bin/DktRpt.pl?791192596859255-L_942_0-1