Case Details

CourtEastern District of New York
Docket number1:12-cv-03338
Date case filed2012-07-05
Date case closed
Date of latest filing
Assigned toJudge John Gleeson
Case cause15:77 Securities Fraud
Nature of suit850 Securities/Commodities
Jury demandDefendant
Demand
JurisdictionU.S. Government Plaintiff

Case Parties

Party: Securities And Exchange Commission
Party type: Plaintiff
Attorney name: Andrew M. Calamari
Attorney Contact:
United States Securities and Exchange Commission
3 World Financial Center
New York, NY 10281
212-336-0042
Fax: 212-336-1323
Email: calamaria@sec.gov
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Todd Daniel Brody
Attorney Contact:
Securities and Exchange Commission
3 World Financial Center
New York, NY 10281
212-336-0080
Fax: 212-336-1324
Email: brodyt@sec.gov
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Katharine Ferguson Brownstein
Attorney Contact:
U.S. Securities & Exchange Commission
450 Fifth Street, N.W.
Mail Stop 8-8
Washington, DC 20549
212-336-1018
Fax: 212-336-1322
Email: brownsteink@sec.gov
ATTORNEY TO BE NOTICED
Party: Department of Justice
Party type: Intervenor Plaintiff
Attorney name: Justin Goodyear
Attorney Contact:
Fraud Section
Department Of Justice
Bond Building
1400 New York Avenue Nw
Washington, DC 20005
202-307-5797
Fax: 202-514-0152
Email: justin.goodyear@usdoj.gov
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ilene Weininger Jaroslaw
Attorney Contact:
United States Attorneys Office
Criminal Division
271 Cadman Plaza East
Brooklyn, NY 11201-1820
(718) 254-6236
Fax: 718-254-6076
Email: ilene.jaroslaw@usdoj.gov
ATTORNEY TO BE NOTICED
Party: Axius, Inc.
Party type: Defendant
Attorney name: William M. Pinzler
Attorney Contact:
William M. Pinzler, Esq.
488 Madison Avenue
Suite 1100
New York, NY 10022
(212)486-9494
Fax: (212)486-0701
Email: wmpinzler@aol.com
LEAD ATTORNEY
Party: Roland Kaufmann
Party type: Defendant
TERMINATED: 09/18/2013
Attorney name: Eric J Snyder
Attorney Contact:
Kobre & Kim LLP
800 Third Avenue, Floor 6
New York, NY 10022
212-488-1200
Fax: 212-488-1220
Email: eric.snyder@kobrekim.com
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Josef Maxim Klazen
Attorney Contact:
Kobre & Kim LLP
800 Third Avenue
6th Floor
New York, NY 10022
212-488-1200
Fax: 212-488-1220
Email: jef.klazen@kobrekim.com
ATTORNEY TO BE NOTICED
Party: Jean-Pierre Neuhaus
Party type: Defendant
TERMINATED: 03/22/2013

Case Docket

Docket
Item
Date FiledDocument
Available
Short
Description
Long Description
12012-07-05 COMPLAINT against Axius, Inc., Roland Kaufmann, Jean-Pierre Neuhaus, filed by Securities And Exchange Commission. (Attachments: # 1 Civil Cover Sheet) (Davis, Kimberly) (Entered: 07/10/2012)
22012-07-10 In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action (including a jury or nonjury trial) and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: http://www.uscourts.gov/uscourts/FormsAndFees/Forms/AO085.pdf. You may withhold your consent without adverse substantive consequences.Do NOT return or file the consent unless all parties have signed the consent. (Davis, Kimberly) (Entered: 07/10/2012)
32012-08-01 NOTICE of Appearance by Katharine Ferguson Brownstein on behalf of Securities And Exchange Commission (aty to be noticed) (Brownstein, Katharine) (Entered: 08/01/2012)
42012-08-01 NOTICE of Appearance by Todd Daniel Brody on behalf of Securities And Exchange Commission (aty to be noticed) (Brody, Todd) (Entered: 08/01/2012)
52012-08-01 WAIVER OF SERVICE Returned Executed by Securities And Exchange Commission. Jean-Pierre Neuhaus waiver sent on 7/16/2012, answer due 9/14/2012. (Brownstein, Katharine) (Entered: 08/01/2012)
62012-08-01 SUMMONS Returned Executed by Securities And Exchange Commission. Axius, Inc. served on 7/17/2012, answer due 8/7/2012; Roland Kaufmann served on 7/17/2012, answer due 8/7/2012. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C) (Brownstein, Katharine) (Entered: 08/01/2012)
72012-08-02 STIPULATION Extending Defendant Roland Kaufmann's Time to Respond to the Complaint by Securities And Exchange Commission (Brownstein, Katharine) (Entered: 08/02/2012)
82012-08-02 STIPULATION Extending Defendant Axius Inc.'s Time to Respond to the Complaint by Securities And Exchange Commission (Brownstein, Katharine) (Entered: 08/02/2012)
92012-08-06 STIPULATION AND ORDER EXTENDING DEFENDANT ROLAND KAUFMANN'S TIME TO RESPOND TO THE COMPLAINT, endorsed on doc.# 7 : SO ORDERED by Magistrate Judge Lois Bloom, on 8/6/2012. (Roland Kaufmann's answer due by 8/30/2012.) (Latka-Mucha, Wieslawa) (Entered: 08/07/2012)
102012-08-06 STIPULATION AND ORDER EXTENDING DEFENDANT AXIUS'S TIME TO RESPOND TO THE COMPLAINT, endorsed on doc.# 8 : SO ORDERED by Magistrate Judge Lois Bloom, on 8/6/2012. (Axius, Inc.'s answer due by 8/30/2012.) (Latka-Mucha, Wieslawa) (Entered: 08/07/2012)
112012-08-30 NOTICE of Appearance by Eric J Snyder on behalf of Roland Kaufmann (aty to be noticed) (Snyder, Eric) (Entered: 08/30/2012)
122012-08-30 NOTICE of Appearance by Josef Maxim Klazen on behalf of Roland Kaufmann (aty to be noticed) (Klazen, Josef) (Entered: 08/30/2012)
132012-08-30 ANSWER to Complaint by Axius, Inc.. (Pinzler, William) (Entered: 08/30/2012)
142012-08-30 ANSWER to 1 Complaint by Roland Kaufmann. (Snyder, Eric) (Entered: 08/30/2012)
152012-08-31 CERTIFICATE OF SERVICE by Roland Kaufmann re 14 Answer to Complaint (Snyder, Eric) (Entered: 08/31/2012)
162012-11-07 SETTLEMENT AGREEMENT as to Defendant Jean-Pierre Neuhaus by Securities And Exchange Commission (Brownstein, Katharine) (Entered: 11/07/2012)
172012-11-26 First MOTION to Take Deposition from Jean-Pierre Neuhaus by Roland Kaufmann. (Attachments: # 1 Exhibit 1) (Snyder, Eric) (Entered: 11/26/2012)
182012-11-27 ORDER granting 17 Motion to Take Deposition from Neuhaus and setting initial conference for December 11, 2012 at 3:00 p.m. in Courtroom 11A. See attached Order. Ordered by Magistrate Judge Lois Bloom on 11/27/2012. (Toledo, Amelia) (Entered: 11/27/2012)
192012-12-03 Notice of MOTION to Intervene , MOTION to Stay Neuhaus Deposition by Department of Justice. (Goodyear, Justin) (Entered: 12/03/2012)
202012-12-03 Proposed Pretrial Order to Stay Neuhaus Deposition by Department of Justice (Goodyear, Justin) (Entered: 12/03/2012)
212012-12-03 MEMORANDUM in Support re 19 Notice of MOTION to Intervene MOTION to Stay Neuhaus Deposition filed by Department of Justice. (Goodyear, Justin) (Entered: 12/03/2012)
222012-12-04 REPORT of Rule 26(f) Planning Meeting (Brownstein, Katharine) (Entered: 12/04/2012)
232012-12-05 MEMORANDUM in Opposition re 19 Notice of MOTION to Intervene MOTION to Stay Neuhaus Deposition filed by Roland Kaufmann. (Klazen, Josef) (Entered: 12/05/2012)
242012-12-05 AFFIDAVIT/DECLARATION in Opposition re 19 Notice of MOTION to Intervene MOTION to Stay Neuhaus Deposition filed by Roland Kaufmann. (Attachments: # 1 Exhibit 1-17) (Klazen, Josef) (Entered: 12/05/2012)
252012-12-06 First MOTION to Set Aside or Modify Discovery Order, First MOTION to Stay Discovery Order Pending Outcome of Motion by Department of Justice. (Goodyear, Justin) (Entered: 12/06/2012)
262012-12-06 MEMORANDUM in Support re 25 First MOTION to Set Aside or Modify Discovery OrderFirst MOTION to Stay Discovery Order Pending Outcome of Motion filed by Department of Justice. (Goodyear, Justin) (Entered: 12/06/2012)
272012-12-06 AFFIRMATION filed by Assistant U.S. Attorney Ilene Jaroslaw, dated 12/6/2012. (Latka-Mucha, Wieslawa) (Entered: 12/07/2012)
282012-12-06 ORDER as to Jean-Pierre Neuhaus. IT IS HEREBY ORDERED that Special Agents of the Federal Bureau of Investigation and the Internal Revenue Service Criminal Investigations Division be permitted to obtain custody of Jean-Pierre Neuhaus, Inmate No. 80052-053, on Monday, 12/10/2012, and to return the defendant to the Metropolitan Detention Center, Brooklyn, New York before 11:59 p.m. that same day. ORDERED by Magistrate Judge Lois Bloom, on 12/6/2012. C/mailed to the Warden of Metropolitan Detention Center. (Latka-Mucha, Wieslawa) (Entered: 12/07/2012)
292012-12-07 ORDER granting 19 Motion to Intervene; denying 19 Motion to Stay. See attached Order. Ordered by Magistrate Judge Lois Bloom on 12/7/2012. (Sullivan, Meghan) (Entered: 12/07/2012)
302012-12-07 Letter by Roland Kaufmann (Attachments: # 1 Exhibit A-C) (Snyder, Eric) (Entered: 12/07/2012)
312012-12-07 Letter by Roland Kaufmann (Attachments: # 1 Exhibit A) (Snyder, Eric) (Entered: 12/07/2012)
322012-12-07 TRANSCRIPT of Proceedings held on 12/6/12, before Judge Bloom. Court Transcriber TYPEWRITE WORD PROCESSING SERVICE, Telephone number 718-966-1401. Transcript may be viewed at the court public terminal or purchased through the Court Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/28/2012. Redacted Transcript Deadline set for 1/7/2013. Release of Transcript Restriction set for 3/7/2013. (Hong, Loan) (Entered: 12/07/2012)
332012-12-07 NOTICE of Appearance by Ilene Weininger Jaroslaw on behalf of Department of Justice (aty to be noticed) (Jaroslaw, Ilene) (Entered: 12/07/2012)
342012-12-07 Minute Entry for proceedings held before Judge John Gleeson: Case called. Plaintiffs represented by Todd Brody, Esq.; Katherine F. Brownstein, Esq.; AUSA Justin Goodyear; and AUSA Ilene Jaroslaw. Defendants represented by Johanna Zapp, Esq.; David S. Zapp, Esq.; Eric Snyder, Esq.; and Josef M. Klazen, Esq. Defendant Jean Pierre Neuhaus, in custody, was present during the proceeding. Motion Hearing and Appeal held on 12/7/2012 regarding 19 Notice of MOTION to Intervene MOTION to Stay Neuhaus Deposition filed by Department of Justice and (under criminal docket 12-CR-439) Motion 77 to appoint civil counsel for defendant Jean Pierre Neuhaus during his deposition in the civil case matter. The Court heard all arguments and has DENIED the motion to appoint civil counsel for this defendant and has upheld Magistrate Judge Bloom's decision to deny the Stay of Neuhaus' deposition to the extent that the parties are requesting. The Court has agreed to adjourn the deposition only until December 13, 2012. The defendants further request for a Protective Order on the tapes that will be brought into the trial is granted by the Court without objections. (Court Reporter Anthony Frisolone.) (Lee, Ilene) (Entered: 12/07/2012)
352012-12-07 AFFIDAVIT/AFFIRMATION and Signed Takeout Order for Jean-Pierre Neuhaus for December 13, 2012 by Department of Justice (Jaroslaw, Ilene) (Entered: 12/07/2012)
362012-12-07 ORDER endorsed on doc.# 35 : IT IS HEREBY ORDERED that Special Agents of the Federal Bureau of Investigation and the Internal Revenue Service Criminal Investigations Division be permitted to obtain custody of Jean-Pierre Neuhaus, Inmate No. 80052-053, on Thursday, 12/13/2012, and to return the defendant to the Metropolitan Detention Center, Brooklyn, New York before 11:59 p.m. that same day. SO ORDERED by Magistrate Judge Lois Bloom, on 12/7/2012. (W/Attachments: # 1 Affirmation of Ilene Jaroslaw.) C/mailed to the Warden of Metropolitan Detention Center & Jean-Pierre Neuhaus. (Latka-Mucha, Wieslawa) (Entered: 12/10/2012)
372013-01-03 Letter MOTION to Compel Roland Kaufmann to Appear for January 8, 2013 Deposition by Securities And Exchange Commission. (Brownstein, Katharine) (Entered: 01/03/2013)
382013-01-07 RESPONSE in Opposition re 37 Letter MOTION to Compel Roland Kaufmann to Appear for January 8, 2013 Deposition filed by Roland Kaufmann. (Klazen, Josef) (Entered: 01/07/2013)
392013-02-15 Process Receipt and Return by Securities And Exchange Commission, Service of Deposition Subpoena executed on 12/5/12 upon Jean-Pierre Neuhaus, Register #80062-053, MDC Brooklyn. (Piper, Francine) (Entered: 02/15/2013)
402013-03-22 JUDGMENT in favor of Securities And Exchange Commission against Jean-Pierre Neuhaus.. Ordered by Judge John Gleeson on 3/21/2013. c/m (Piper, Francine) (Entered: 03/22/2013)
412013-04-09 Mail Returned as Undeliverable. "Judgment" sent to Jean-Pierre Neuhaus, MDC Brooklyn, 80 29th Street, Brooklyn, NY 11232. Postal notation: "Return to Sender, attempted not known, unable to forward" (Fernandez, Erica) (Entered: 04/09/2013)
422013-08-13 Letter MOTION to Adjourn Conference Scheduled for August 20, 2013 by Securities And Exchange Commission. (Brownstein, Katharine) (Entered: 08/13/2013)
432013-08-13 CERTIFICATE OF SERVICE by Securities And Exchange Commission re 40 Judgment against Jean-Pierre Neuhaus (Brownstein, Katharine) (Entered: 08/13/2013)
442013-09-11 SETTLEMENT AGREEMENT as to Defendant Roland Kaufmann by Securities And Exchange Commission (Brownstein, Katharine) (Entered: 09/11/2013)
452013-09-12 Letter MOTION to Alter Judgment to Convert Partial Judgment Against Defendant Jean-Pierre Neuhaus to a Final Judgment by Securities And Exchange Commission. (Brownstein, Katharine) (Entered: 09/12/2013)
462013-09-18 FINAL JUDGMENT AS TO DEFENDANT ROLAND KAUFMAN.Ordered by Judge John Gleeson on 9/16/2013. (Piper, Francine) (Entered: 09/18/2013)