2 Quotations are taken from the Assistant United States Attorneys’ notes of recorded conversations that have been provided to the defense. While they do not purport to be verbatim transcripts, the government believes these quotations to be accurate. The government is filing a separate Appendix today with copies of several recordings for the Court’s consideration at sentencing.
3 In this portion of the recording, in the context of discussing someone else’s promotion, Michael Affa says:
MICHAEL AFFA: I mean bro, this other one did what? F***ing 10, 12 million bucks?
CW: Oh yeah, yeah, listen, f***ing, if you’re, uh, if you’re, if you’re on the small partnership side on that deal, it’s well worth it, you know?
MICHAEL AFFA: Yeah, you and I grab a shell, and you know we can get 8 million shares of something at f***ing 30 cents, 40 cents . . . I don’t give a s**t if we give the rest away, would you? . . . Grab a million bucks apiece, take a [inaudible] and do another one.
1:14-cr-10221-WGY USA v. Affa et al 1:14-cr-10221-WGY-1 Michael Affa 1:14-cr-10221-WGY-2 Andrew Affa 1:14-cr-10221-WGY-3 Mitchell Brown 1:14-cr-10221-WGY-4 Christopher Putnam 1:14-cr-10221-WGY-5 Christopher Nix
Date Filed # Docket Text
02/19/2016 173 Judge William G. Young: ORDER entered. STATEMENT OF REASONS as to Michael Affa. (Gaudet, Jennifer) (Entered: 02/22/2016)
02/19/2016 172 Judge William G. Young: ORDER entered. JUDGMENT as to Michael Affa (1), Count(s) 1, 2, 3-7, The defendant is sentenced to 33 months in custody of Bureau of Prisons on each count, each count to run concurrently with each other, to be followed by 36 months of supervised release with standard and special conditions. $700 special assessment. $1,000,000 fine. (Attachments: # 1 Transcript Excerpt of Sentencing Hearing) (Gaudet, Jennifer) (Entered: 02/22/2016)
02/12/2016 171 Electronic Clerk's Notes for proceedings held before Judge William G. Young: Sentencing held on 2/12/2016 for Michael Affa (1), Count(s) 1, 2, 3-7. The Court announces the guideline calculations, average sentences and acceptance of guilty plea. The defendant is sentenced to 33 months in custody of Bureau of Prisons on each count, each count to run concurrently with each other, to be followed by 36 months of supervised release with standard and special conditions. $700 special assessment. $1,000,000 fine. The Court makes a Judicial Recommendation that the defendant participate in the 500 Hour Drug Treatment Program and that he serve his sentence at Lewisburg Camp. The defendant is notified of the right to appeal. Should an appeal be contemplated, the Court ORDERS the parties to move for the production of the necessary transcript, PRIOR to the filing of the notice of appeal. The defendant is released on same conditions previously set and shall self surrender to the place of confinement on 3/25/2016. (Attorneys present: Ausa Forni, Thomadakis and Palid, Defense counsel Goldstein, US Probation Officer Victoria. )Court Reporter Name and Contact or digital recording information: Richard Romanow at bulldog@richromanow.com. (Gaudet, Jennifer) (Entered: 02/19/2016)
United States District Court District of Massachusetts (Boston)
CRIMINAL DOCKET FOR CASE #: 1:14-cr-10221-WGY All Defendants Case title: USA v. Affa et al
Magistrate judge case numbers: 1:14-mj-01051-RBC 1:14-mj-01052-RBC 1:14-mj-01053-RBC 1:14-mj-07112-JCB
Date Filed: 07/23/2014 Assigned to: Judge William G. Young
Defendant (1) Michael Affa TERMINATED: 02/19/2016 also known as Michael A. Affa TERMINATED: 02/19/2016 represented by Robert M. Goldstein 20 Park Plaza, Suite 1000 Boston, MA 02116 617-742-9015 Fax: 617-742-9016 Email: rmg@goldstein-lawfirm.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Retained
Pending Counts Disposition 18:371...CONSPIRACY TO COMMIT SECURITIES FRAUD AND WIRE FRAUD (1) The defendant is sentenced to 33 months in custody of Bureau of Prisons on each count, each count to run concurrently with each other, to be followed by 36 months of supervised release with standard and special conditions. $700 special assessment. $1,000,000 fine. 15:78j(b), 78(ff); 17 C.F.R. SEC. 240.10b5; AND 18:2...SECURITIES FRAUD (2) The defendant is sentenced to 33 months in custody of Bureau of Prisons on each count, each count to run concurrently with each other, to be followed by 36 months of supervised release with standard and special conditions. $700 special assessment. $1,000,000 fine. 18:1343, 1349, AND 2...WIRE FRAUD (3-7) The defendant is sentenced to 33 months in custody of Bureau of Prisons on each count, each count to run concurrently with each other, to be followed by 36 months of supervised release with standard and special conditions. $700 special assessment. $1,000,000 fine.
Highest Offense Level (Opening) Felony
Terminated Counts Disposition None
Highest Offense Level (Terminated) None
Complaints Disposition 18:371 - CONSPIRACY Assigned to: Judge William G. Young
Defendant (2) Andrew Affa also known as Andrew J. Affa epresented by Steven E. Losquadro 649 Route 25A Suite 4 Rocky Point, NY 11778 631-744-9070 Fax: 631-744-9421 Email: losquadrolaw@aol.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained
William H. Connolly Law Offices of William H. Connolly 20 Park Plaza Suite 1000 Boston, MA 02210 617-542-0200 Email: whc@williamconnollylaw.com ATTORNEY TO BE NOTICED Designation: Retained
Pending Counts Disposition 18:371...CONSPIRACY TO COMMIT SECURITIES FRAUD AND WIRE FRAUD (1) 15:78j(b), 78(ff); 17 C.F.R. SEC. 240.10b5; AND 18:2...SECURITIES FRAUD (2) 18:1343, 1349, AND 2...WIRE FRAUD (3-7)
Highest Offense Level (Opening) Felony
Terminated Counts Disposition None
Highest Offense Level (Terminated) None
Complaints Disposition 18:371 - CONSPIRACY Assigned to: Judge William G. Young
Defendant (3) Mitchell Brown also known as Mitchell H. Brown represented by Richard Roth The Roth Law Firm, PLLC 295 Madison Avenue Floor 22 New York, NY 10017 (212) 542-8882 Fax: (212) 542-8883 Email: rich@rrothlaw.com LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained
Danielle Pomeraniec The Roth Law Firm, PLLC 295 Madison Avenue Floor 22 New York, NY 10017 (212) 542-8882 Fax: (212) 542-8883 Email: danielle@rrothlaw.com TERMINATED: 06/01/2015 PRO HAC VICE ATTORNEY TO BE NOTICED Designation: Retained
Robert S. Messinger Nystrom Beckman & Paris LLP One Marina Park Drive, 15th Flr. Boston, MA 02210 617-778-9104 Fax: 617-778-9110 Email: robert.messinger@gmail.com ATTORNEY TO BE NOTICED Designation: Retained
Pending Counts Disposition 18:371...CONSPIRACY TO COMMIT SECURITIES FRAUD AND WIRE FRAUD (1) 15:78j(b), 78(ff); 17 C.F.R. SEC. 240.10b5; AND 18:2...SECURITIES FRAUD (2) 18:1343, 1349, AND 2...WIRE FRAUD (3-7)
Highest Offense Level (Opening) Felony
Terminated Counts Disposition None
Highest Offense Level (Terminated) None
Complaints Disposition 18:371 - CONSPIRACY Assigned to: Judge William G. Young
Defendant (4) Christopher Putnam also known as Christopher R. Putnam represented by Joshua Robert Hanye Federal Public Defender's Office 5th Floor 51 Sleeper Street Boston, MA 02210 617-223-8061 Email: joshua_hanye@fd.org LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Public Defender or Community Defender Appointment
Pending Counts Disposition 18:371...CONSPIRACY TO COMMIT SECURITIES FRAUD AND WIRE FRAUD (1) 15:78j(b), 78(ff); 17 C.F.R. SEC. 240.10b5; AND 18:2...SECURITIES FRAUD (2) 18:1343, 1349, AND 2...WIRE FRAUD (3-7)
Highest Offense Level (Opening) Felony
Terminated Counts Disposition None
Highest Offense Level (Terminated) None
Complaints Disposition 18 U.S.C. § 371 Conspiracy to Commit Securities Fraud. Assigned to: Judge William G. Young
Defendant (5) Christopher Nix also known as Gabe Nix also known as Christopher G. Nix represented by Jonathan L. Kotlier Nutter, McClennen & Fish, LLP Seaport West 155 Seaport Boulevard Boston, MA 02210-2604 617-439-2000 Fax: 617-310-9683 Email: jkotlier@nutter.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Retained
Andrew R. McArdell Nutter, McClennen & Fish, LLP Seaport West 155 Seaport Boulevard Boston, MA 02210-2604 617-439-2339 Email: amcardell@nutter.com ATTORNEY TO BE NOTICED Designation: Retained
Pending Counts Disposition 18:371...CONSPIRACY TO COMMIT SECURITIES FRAUD AND WIRE FRAUD (1) 15:78j(b), 78(ff); 17 C.F.R. SEC. 240.10b5; AND 18:2...SECURITIES FRAUD (2) 18:1343, 1349, AND 2...WIRE FRAUD (3-7)
Plaintiff USA represented by Eric A. Forni United States Attorney's Office MA Suite 9200 1 Courthouse Way Boston, MA 02210 617-573-8827 Email: eric.forni@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Assistant US Attorney
Vassili Thomadakis US Attorney's Office - MA J. Joseph Moakley U.S. Courthouse 1 Courthouse Way Suite 9200 Boston, MA 02210 617-748-3248 Email: vassili.thomadakis@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Assistant US Attorney
Andrew J. Palid Securities and Exchange Commission - MA 33 Arch Street 23rd Floor Boston, MA 02110-1424 (617) 573-4540 Email: palida@sec.gov ATTORNEY TO BE NOTICED
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