USXP Pacer NY Update 07 Nov 08
Date Filed # Docket Text
11/07/2008 357 MOTION Set Disgorgement, and Penalties for George Sandhu. Document filed by U.S. Securities and Exchange Commission. (Attachments: # 1 Memo of Law Supporting Motion for Disgorgement & Penalties from Defendant Sandu, # 2 Exhibit 1 Mendiratta depositions, # 3 Exhibit 2 Margolis Deposition, # 4 Exhibit Morgan Affidavit, # 5 Exhibit Matticks Affidavit, # 6 Exhibit 5 Sandhu Deposition, # 7 Exhibit 6 Sandhu investigative testimony, # 8 Exhibit 7 Spiga Article of Incorp., # 9 Exhibit 8 Subscription agreements, # 10 Exhibit 9 Letters of Authorization, # 11 Exhibit 10 Spiga subscription agreement, # 12 Exhibit 7b Spiga Consulting Agreement, # 13 Exhibit 11c List of shares to Spiga, # 14 Exhibit 20a Closing price, # 15 Exhibit 21 May 2002 press release, # 16 Exhibit 23 Sandhu March letter, # 17 Exhibit 24 Sandhu May letter, # 18 Exhibit 50 Form 10-K for 2003, # 19 Exhibit 173 Bear Stearns account document, # 20 Exhibit 176 Bear Stearns trading authorization, # 21 Exhibit 180, # 22 Exhibit 238 Form S-8 2001, # 23 Exhibit 239 Form S-8 2002, # 24 Exhibit 290 List of Spiga shares, # 25 Exhibit 291, # 26 Exhibit 320 Target Growth Fund new account, # 27 Exhibit 321 REsearch Capital new account form, # 28 Exhibit 355 Jensen Pacific wires, # 29 Exhibit 475 Subscription agreement Target & IIG, # 30 Exhibit GS002 Bear Stearnss Trading authorization, # 31 Exhibit GS004 Bear Stearns new account form)(Hughes, Leslie) (Entered: 11/07/2008)
11/07/2008 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.. 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: 11/07/2008)
11/07/2008 355 MOTION Order for Disgorgement and Civil Penalties against Defendant Mark Neuhaus. Document filed by U.S. Securities and Exchange Commission.(Lutz, Julie) (Entered: 11/07/2008)
Doc 355
5 pages
Doc 356
Part Description
1 Main Document 26 pages
2 Exhibit Att.1 4 pages
3 Exhibit Att. 2 1 page
4 Exhibit Att. 3(1) 41 pages
5 Exhibit Att. 3(2) 30 pages
6 Exhibit Att. 4 1 page
7 Exhibit Att. 5 51 pages
8 Exhibit Att. 5(a) 3 pages
9 Exhibit Att. 6 1 page
10 Exhibit Att. 7 3 pages
11 Exhibit Att. 8 1 page
or 162 pages
Doc 357
Part Description
1 Main Document 5 pages
2 Memo of Law Supporting Motion for Disgorgement & Penalties from Defendant Sandu 21 pages
3 Exhibit 1 Mendiratta depositions 30 pages
4 Exhibit 2 Margolis Deposition 14 pages
5 Exhibit Morgan Affidavit 44 pages
6 Exhibit Matticks Affidavit 3 pages
7 Exhibit 5 Sandhu Deposition 39 pages
8 Exhibit 6 Sandhu investigative testimony 8 pages
9 Exhibit 7 Spiga Article of Incorp. 38 pages
10 Exhibit 8 Subscription agreements 9 pages
11 Exhibit 9 Letters of Authorization 4 pages
12 Exhibit 10 Spiga subscription agreement 8 pages
13 Exhibit 7b Spiga Consulting Agreement 7 pages
14 Exhibit 11c List of shares to Spiga 10 pages
15 Exhibit 20a Closing price 2 pages
16 Exhibit 21 May 2002 press release 4 pages
17 Exhibit 23 Sandhu March letter 1 page
18 Exhibit 24 Sandhu May letter 1 page
19 Exhibit 50 Form 10-K for 2003 3 pages
20 Exhibit 173 Bear Stearns account document 2 pages
21 Exhibit 176 Bear Stearns trading authorization 1 page
22 Exhibit 180 59 pages
23 Exhibit 238 Form S-8 2001 9 pages
24 Exhibit 239 Form S-8 2002 10 pages
25 Exhibit 290 List of Spiga shares 56 pages
26 Exhibit 291 1 page
27 Exhibit 320 Target Growth Fund new account 1 page
28 Exhibit 321 REsearch Capital new account form 1 page
29 Exhibit 355 Jensen Pacific wires 20 pages
30 Exhibit 475 Subscription agreement Target & IIG 13 pages
31 Exhibit GS002 Bear Stearnss Trading authorization 6 pages
32 Exhibit GS004 Bear Stearns new account form 1 page
or 431 pages
AI
