David J. Sheehan Presentment Date: December 7, 2012 Marc E. Hirschfield at 12:00 pm Paul S. Enockson BAKER & HOSTETLER LLP Objections Due: December 7, 2012 45 Rockefeller Plaza at 11:00 am New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201 Attorneys for Irving H. Picard, Trustee for the Substantively Consolidated SIPA Liquidation of Bernard L. Madoff Investment Securities LLC and Bernard L. Madoff UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES INVESTOR PROTECTION CORPORATION, Plaintiff-Applicant, v. BERNARD L. MADOFF INVESTMENT SECURITIES LLC, Defendant. Adv. Pro. No. 08-01789 (BRL) SIPA LIQUIDATION (Substantively Consolidated) In re: BERNARD L. MADOFF, Debtor. IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC, Plaintiff, v. TODD R. SHACK, Defendant. Adv. Pro. No. 10-04583 (BRL) 10-04583-brl Doc 19 Filed 11/29/12 Entered 11/29/12 12:48:18 Main Document Pg 1 of 9
Transcript
David J. Sheehan Presentment Date: December 7, 2012 Marc E. Hirschfield at 12:00 pm Paul S. Enockson BAKER & HOSTETLER LLP Objections Due: December 7, 2012 45 Rockefeller Plaza at 11:00 am New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201 Attorneys for Irving H. Picard, Trustee for the Substantively Consolidated SIPA Liquidation of Bernard L. Madoff Investment Securities LLC and Bernard L. Madoff UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES INVESTOR PROTECTION CORPORATION,
IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Plaintiff,
v.
TODD R. SHACK,
Defendant.
Adv. Pro. No. 10-04583 (BRL)
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TRUSTEE’S FOURTH MOTION FOR AN ORDER PURSUANT TO RULE 4(m) OF THE FEDERAL RULES OF CIVIL PROCEDURE
EXTENDING THE TIME THE TRUSTEE MAY EFFECT SERVICE OF PROCESS
Irving H. Picard (the “Trustee”), as trustee for the liquidation of the business of Bernard
L. Madoff Investment Securities LLC (“BLMIS” or “Debtor”) under the Securities Investor
Protection Act, 15 U.S.C. §§ 78aaa, et seq. (“SIPA”),1 and as trustee for the substantively
consolidated Chapter 7 Estate of Bernard L. Madoff (“Madoff”), by and through his undersigned
counsel, hereby moves (the “Motion”) for entry of an order, pursuant to section 105(a) of the
United States Bankruptcy Code, 11 U.S.C. § 101, et seq. (the “Bankruptcy Code”) and Rule 4(m)
of the Federal Rules of Civil Procedure (the “Federal Rules”), as incorporated by Rule 7004 of
the Federal Rules of Bankruptcy Procedure (the “Bankruptcy Rules”), extending the time within
which he may effect service of process on the above-captioned defendant (the “Defendant”) in
this adversary proceeding (the “Adversary Proceeding”), and, in support thereof, respectfully
states:
BACKGROUND AND RELEVANT PROCEDURAL HISTORY
1. On December 11, 2008 (the “Filing Date”),2 Madoff was arrested by federal
agents for violation of criminal securities laws, including securities fraud, investment adviser
fraud, and mail and wire fraud. Contemporaneously, the Securities and Exchange Commission
(“SEC”) filed a complaint in the United States District Court for the Southern District of New
York (the “District Court”), commencing the District Court Proceeding against Madoff and
BLMIS. The SEC complaint alleged that Madoff and BLMIS engaged in fraud through the
investment advisor activities of BLMIS. The District Court Proceeding remains pending in the
District Court.
1 Future reference to SIPA will not include “15 U.S.C.” 2 See SIPA section 78lll(7)(B).
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2. On December 12, 2008, the Honorable Louis L. Stanton of the District Court
entered an order that appointed Lee S. Richards, Esq. as receiver (the “Receiver”).
3. On December 15, 2008, pursuant to SIPA § 78eee(a)(4)(A), the SEC consented to
combining its action with an application of the Securities Investor Protection Corporation
(“SIPC”). Thereafter, pursuant to SIPA § 78eee(a)(4)(B), SIPC filed an application in the
District Court, stating, among other allegations, that BLMIS was not able to meet its obligations
to securities customers as they came due and, accordingly, its customers needed the protections
afforded by SIPA.
4. Also on December 15, 2008, Judge Stanton granted the SIPA application and
entered an order pursuant to SIPA (the “Protective Decree”), which, in pertinent part:
(a) appointed the Trustee for the liquidation of the business of the Debtor pursuant to SIPA § 78eee(b)(3);
(b) appointed Baker & Hostetler LLP as counsel to the Trustee pursuant to SIPA § 78eee(b)(3); and
(c) removed the case to the United States Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”) pursuant to SIPA § 78eee(b)(4).
By this Protective Decree, the Receiver was removed as receiver for BLMIS.
5. By orders dated December 23, 2008, and February 4, 2009, respectively, the
Bankruptcy Court approved the Trustee’s bond and found that the Trustee was a disinterested
person. Accordingly, the Trustee is duly qualified to serve and act on behalf of the BLMIS
estate.
6. On December 1, 2010, the Trustee filed a complaint (the “Complaint”),
commencing the Adversary Proceeding, which seeks, among other relief, to avoid and recover
the value of certain alleged fraudulent and/or preferential transfers made by BLMIS to the
Defendant.
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7. In accordance with Federal Rule 4(a), the Trustee requested that the Clerk of the
Court issue a summons (the “Summons”) for the Complaint.
8. Pursuant to Federal Rule 4(m), the Trustee had 120 days from the date the
Complaint was filed within which to serve the Summons and Complaint on the Defendant,
assuming that Defendant was located within the United States.
9. The 120-day time limit for service does not apply to service in a foreign country.
FED. R. CIV. P. 4(m).
10. On February 2, 2011 the Court issued the Summons, and on that same date the
Trustee arranged through Donlin Recano & Company to serve upon the Defendant a true and
accurate copy of the Complaint, Notice of Applicability of the Order Approving Case
Management Procedures for Avoidance Actions, Summons and Notice of Pretrial Conference in
an Adversary Proceeding, Order dated November 11, 2010, Avoidance Action Executive
Summary letter dated December 20, 2010, and the Second Amended Notice of Omnibus
Avoidance Action Hearing Dates. All the above-listed documents were served via first-class
U.S. mail. A copy of the Affidavit of Service is attached hereto as Exhibit A.
11. On April 8, 2011, the documents were returned as undeliverable from the United
States Postal Service with the designation that the forwarding address had expired. The deadline
to complete service under Federal 4(m) expired on March 31, 2011. The Trustee’s counsel did
not receive notice of incomplete service until April 8, 2011.
12. On May 13, 2011 the Trustee filed a Motion for an Order Pursuant to Rule 4(m)
of the Federal Rules of Civil Procedure Extending the Time the Trustee May Effect Service of
Process. The May 13, 2011 Motion was not opposed.
13. On May 17, 2011 the Court issued the Second Summons.
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14. On May 25, 2011 the Court granted the Trustee’s May 13, 2011 Motion, giving
an extension of time until July 22, 2011 to serve the Defendant.
15. Since the Court granted the Trustee’s May 13, 2011 Motion, the Court has issued
a Third Summons on June 3, 2011, and a Fourth Summons on July 7, 2011.
16. Despite the Trustee’s diligent efforts since the May 13, 2011 Motion was granted,
he was unable to locate and serve Defendant.
17. On January 18, 2012, the Trustee filed his Second Motion For An Order Pursuant
To Rule 4(m) Of The Federal Rules Of Civil Procedure Extending The Time Trustee May Effect
Service Of Process. The January 18, 2012 Motion was not opposed.
18. On January 30, 2012, the Court granted the January 18, 2012 Motion and entered
an Order Extending the Time Within Which the Trustee may Effect Service of Process until
August 1, 2012.
19. On June 12, 2012, the Court issued a Fifth Summons.
20. Despite the Trustee’s diligent efforts since the January 18, 2012 Motion was
granted, he was unable to serve Defendant. The Trustee’s diligent efforts to serve Defendant are
explained in the following section.
21. On August 1, 2012, the Trustee filed his Third Motion For An Order Pursuant To
Rule 4(m) Of The Federal Rules Of Civil Procedure Extending The Time Trustee May Effect
Service Of Process. The August 1, 2012 Motion was not opposed.
22. On August 9, 2012, the Court granted the August 1, 2012 Motion and entered an
Order Extending the Time Within Which the Trustee may Effect Service of Process until
December 1, 2012.
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GROUNDS FOR REQUESTED THIRD EXTENSION
23. Since the August 1, 2012 Motion was granted, the Trustee has continued to take
steps to locate and serve Defendant, but has thus far been unable to effect service. The Trustee’s
investigation, however, has yielded information that the Trustee believes may result in service
being possible on Defendant.
24. At the time the August 1, 2012 Motion was granted, the Trustee possessed
information indicating that Defendant was residing in Thailand.
25. Given the Trustee’s confirmation of Defendant’s location in Thailand, the Trustee
believes that the additional time requested in this Motion will permit him to effect service of
process on Defendant.
26. Although the 120-day time limit in Federal Rule of Civil Procedure 4(m) does not
apply to service on a defendant in a foreign country, the Trustee brings this Motion out of an
abundance of caution to ensure that service on Defendant is valid.
27. The Trustee also brings this Motion in the event that Defendant returns to the
United States and the Trustee is able to effect service on Defendant in this country.
RELIEF REQUESTED
28. By this Motion, the Trustee seeks an order extending the time within which the
Trustee may effect service of process on Defendant to and including December 1, 2013 (the
“Extension Request”).3 Copies of the First, Second, Third, Fourth, and Fifth Summonses are
attached hereto as Exhibit B. A request for a Sixth Summons will be filed upon the Court’s grant
of this Motion and at such time as the Trustee believes that service will be possible upon
Defendant..
3 The relief requested in this Motion is without prejudice or limitation to additional requests upon application to the Court by the Trustee to extend the time within which the Trustee may effect service of process on the Defendant.
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BASIS FOR RELIEF REQUESTED
29. Federal Rule 4(m) provides: If a defendant is not served within 120 days after the complaint is filed, the court—on motion or on its own after notice to the plaintiff—must dismiss the action without prejudice against that defendant or order that service be made within a specified time. But if the plaintiff shows good cause for the failure, the court must extend the time for service for an appropriate period.
FED. R. CIV. P. 4(m) (emphasis added).
30. Good cause is determined by (1) the plaintiff's reasonable efforts to effect service,
and (2) the prejudice to defendant from the delay. Muhammad v. Coughlin, No. 1994 U.S. Dist.
LEXIS 2175, at * 11 (S.D.N.Y. Feb. 28, 1994); Nat’l Union Fire Ins. Co. v. Barney Assocs., 130
F.R.D. 291, 293 (S.D.N.Y. 1990). Particular regard should be given to whether “the plaintiff
was diligent in making reasonable efforts to effect service . . . .” In re Motel 6 Secs. Litig., 1995
U.S. Dist. LEXIS 9954, *5-6 (S.D.N.Y. July 5, 1995) (citing Gordon v. Hunt, 116 F.R.D. 313,
31. Courts, including courts in this circuit, interpret this rule to give them wide
latitude in deciding when to grant extensions of time to serve, including permitting them to grant
extensions even absent good cause. See Gerena v. Korb, 617 F.3d 197, 201 (2d Cir. 2010);
Zapata v. City of New York, 502 F.3d 192, 196 (2d Cir. 2007) (“[d]istrict courts have discretion
to grant extensions even in the absence of good cause.”); Savage & Assocs., P.C. v. Williams
Communs. (In re Teligent Servs.), 372 B.R. 594, 601 (S.D.N.Y. 2007) (“The Bankruptcy Court
has the discretion to extend the period for service of the complaint absent a showing of good
cause.”).
32. The Trustee submits that his diligent efforts to locate and serve Defendant provide
good cause under Federal Rule 4(m). The Trustee further submits that Defendant’s probable
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location in Thailand has necessitated the Trustee’s diligent efforts to date and will necessitate
additional diligent efforts to precisely locate and serve Defendant. The Trustee will continue to
make diligent efforts to timely effect service and will request a Sixth Summons once the Court
approves the Trustee’s request for an extension of time and at such time as the Trustee believes
that service will be possible on Defendant.
33. The Trustee further submits that there will be no prejudice to Defendant in
granting the Extension Request. The time within which Defendant will have to answer the
Complaint is calculated from the date of the issuance of the Summons, pursuant to either (i)
Bankruptcy Rule 7012(a), or (ii) the Order (1) Establishing Litigation Case Management
Procedures for Avoidance Actions and (2) Amending the February 16, 2010 Protective Order
entered by the Bankruptcy Court on November 10, 2010. Thus, Defendant will be afforded the
same time within which to respond to the Complaint as he would have if the original Summons
and Complaint had been served upon the Defendant within the prior 120-day period provided by
Federal Rule 4(m).
34. Additionally, the Trustee notes that the 120-day time limit provided by Federal
Rule 4(m) will not be applicable if in fact he successfully serves Defendant in Thailand or
another foreign country. See F.R.C.P. 4(m); In re Bernard L. Madoff Investment Securities LLC,
418 B.R. 75, 83 (Bankr. S.D.N.Y. 2009). Accordingly, the Trustee files this Motion out of an
abundance of caution in the event that Defendant returns to the United States and the Trustee is
able to effect service in this country.
NOTICE
35. Notice of this Motion has been provided by U.S. mail, postage prepaid, or email
to (i) all parties that have filed a notice of appearance in this case; (ii) SIPC; (iii) the SEC;
(iv) the Internal Revenue Service; (v) the United States Attorney for the Southern District of
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New York; and (vi) the Defendant named in the above captioned Adversary Proceeding at his
last known address. The Trustee submits that no other or further notice need be given.
WHEREFORE, the Trustee respectfully requests that the Court (a) enter an order
substantially in the form attached hereto as Exhibit C, granting the relief requested herein; and
(b) grant such other and further relief to the Trustee as the Court deems proper.
Dated: New York, New York November 29, 2012 Of Counsel: Baker & Hostetler LLP 303 E. 17th Avenue, Suite 1100 Denver, Colorado 80203 Telephone: (303) 861-0600 Facsimile: (303) 861-7805 Laurin D. Quiat Email: [email protected] Paul S. Enockson Email: [email protected]
Respectfully submitted, /s/ Marc Hirschfield Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201 David J. Sheehan Email: [email protected] Marc Hirschfield Email: [email protected] Attorneys for Irving H. Picard, Trustee for the Substantively Consolidated SIPA Liquidation of Bernard L. Madoff Investment Securities LLC and Bernard L. Madoff
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David J. Sheehan Presentment Date: December 7, 2012 Marc E. Hirschfield at 12:00 pm Paul S. Enockson BAKER & HOSTETLER LLP Objections Due: December 7, 2012 45 Rockefeller Plaza at 11:00 am New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201 Attorneys for Irving H. Picard, Trustee for the Substantively Consolidated SIPA Liquidation of Bernard L. Madoff Investment Securities LLC and Bernard L. Madoff UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES INVESTOR PROTECTION CORPORATION,
IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Plaintiff,
v.
TODD R. SHACK,
Defendant.
Adv. Pro. No. 10-4583 (BRL)
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NOTICE OF PRESENTMENT OF TRUSTEE’S FOURTH MOTION FOR AN ORDER PURSUANT TO RULE 4(m) OF THE FEDERAL RULES OF CIVIL PROCEDURE EXTENDING THE TIME THE TRUSTEE MAY EFFECT SERVICE OF PROCESS
PLEASE TAKE NOTICE that upon the Trustee’s Fourth Motion for an Order Pursuant
to Rule 4(m) of the Federal Rules of Civil Procedure Extending the Time the Trustee May Effect
Service of Process (the “Motion”) of Irving H. Picard, as trustee for the liquidation of the
business of Bernard L. Madoff Investment Securities LLC, under the Securities Investor
Protection Act, 15 U.S.C. §§ 78aaa, et seq., and the substantively consolidated estate of Bernard
L. Madoff, the undersigned will present the attached proposed order (the “Order”) to the
Honorable Burton R. Lifland, United States Bankruptcy Judge, for signature and entry on
December 7, 2012 at 12:00 pm.
PLEASE TAKE FURTHER NOTICE that objections, if any, to the Motion must: (i)
be made in writing; (ii) conform to the Federal Rules of Bankruptcy Procedure, the Local
Bankruptcy Rules for the Southern District of New York and other applicable rules and
guidelines; (iii) be filed, in accordance with General Order M-399, electronically with the
Bankruptcy Court, with a hard copy marked “Chambers Copy” delivered, pursuant to Local Rule
9070-1, to the Chambers of the Honorable Burton R. Lifland, One Bowling Green, New York,
New York 10004, and served upon the following: (a) Baker & Hostetler LLP, 45 Rockefeller
Plaza, New York, New York 10111, Attn: David J. Sheehan, Esq., and Marc Hirschfield, Esq.;
and (b) Securities Investor Protection Corporation, 805 Fifteenth Street, N.W., Suite 800,
Washington, D.C. 20005, Attn: Kevin H. Bell, Esq., so as to be received no later than December
7, 2012 at 11:00 am.
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PLEASE TAKE FURTHER NOTICE that unless a written objection to the Motion
with proof of service is filed with the Court by the Objection Deadline, the relief requested shall
be deemed unopposed, there will not be a hearing and the Bankruptcy Court may enter an order
granting the relief sought.
PLEASE TAKE FURTHER NOTICE that if an objection to the Motion is timely filed,
a hearing may be held before the Honorable Burton R. Lifland, United States Bankruptcy Judge,
at a date to be scheduled by the Court, upon such additional notice as the Court may direct. The
moving and objecting parties are required to attend the hearing, and failure to attend in person or
by counsel may result in relief being granted or denied upon default.
Dated: New York, New York November 29, 2012 Of Counsel: Baker & Hostetler LLP 303 E. 17th Avenue, Suite 1100 Denver, Colorado 80203 Telephone: (303) 861-0600 Facsimile: (303) 861-7805 Laurin D. Quiat Email: [email protected] Paul S. Enockson Email: [email protected]
Respectfully submitted, /s/ Marc E. Hirschfield Baker & Hostetler LLP 45 Rockefeller Plaza New York, New York 10111 Telephone: (212) 589-4200 Facsimile: (212) 589-4201 David J. Sheehan Email: [email protected] Marc E. Hirschfield Email: [email protected] Attorneys for Irving H. Picard, Trustee for the Substantively Consolidated SIPA Liquidation of Bernard L. Madoff Investment Securities LLC and Bernard L. Madoff
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EXHIBIT A
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(AFFIDAVIT OF SERVICE)
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EXHIBIT B
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(SUMMONSES)
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300108860
UNITED STATES BANKRUPTCY COURT Southern District of New York
---------------------------------------------------------------------- SECURITIES INVESTOR PROTECTION CORPORATION, Adv. Pro. No. 08-01789 (BRL) Plaintiff-Applicant, SIPA LIQUIDATION v. BERNARD L. MADOFF INVESTMENT (Substantively Consolidated) SECURITIES LLC, Defendant. ---------------------------------------------------------------------- In re: BERNARD L. MADOFF, Case No. 09-11893 (BRL) Debtor. ---------------------------------------------------------------------- IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC, Adv. Pro. No. 10-04583 (BRL) Plaintiff, v. TODD R. SHACK, Defendant. ----------------------------------------------------------------------
SUMMONS AND NOTICE OF PRETRIAL CONFERENCE IN AN ADVERSARY PROCEEDING
YOU ARE SUMMONED and required to submit a motion or answer to the complaint which is attached to this summons to the clerk of the bankruptcy court within 60 days after the date of issuance of this summons pursuant to an Order of the Bankruptcy Court dated November 10, 2010 (the “Procedures Order”) and the Notice of Applicability filed in this adversary proceeding (each of which are enclosed herewith). Address of Clerk: Clerk of the Court United States Bankruptcy Court Southern District of New York One Bowling Green New York, NY 10004−1408
At the same time, you must also serve a copy of the motion or answer upon the plaintiff’s attorney. Name and Address of Plaintiff's Attorney:
David J. Sheehan Marc E. Hirschfield
Baker & Hostetler LLP 45 Rockefeller Plaza New York, NY 10111
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If you make a motion, your time to answer is governed by Bankruptcy Rule 7012 and the Procedures Order. YOU ARE NOTIFIED that a pretrial conference of the proceeding commenced by the filing of the complaint will be held at the following time and place: United States Bankruptcy Court Room: Courtroom 623 (BRL), One Bowling Southern District of New York Green, New York, NY 10004−1408 One Bowling Green New York, NY 10004−1408 Date and Time: To Be Determined By The Court IF YOU FAIL TO RESPOND TO THIS SUMMONS, YOUR FAILURE WILL BE DEEMED TO BE YOUR CONSENT TO ENTRY OF A JUDGMENT BY THE BANKRUPTCY COURT AND JUDGMENT BY DEFAULT MAY BE TAKEN AGAINST YOU FOR THE RELIEF DEMANDED IN THE COMPLAINT.
Dated: February 2, 2011 Vito Genna
Clerk of the Court
By: /s/ Jessica Gomez
Deputy Clerk
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300108860
UNITED STATES BANKRUPTCY COURT Southern District of New York
---------------------------------------------------------------------- SECURITIES INVESTOR PROTECTION CORPORATION, Adv. Pro. No. 08-01789 (BRL) Plaintiff-Applicant, SIPA LIQUIDATION v. BERNARD L. MADOFF INVESTMENT (Substantively Consolidated) SECURITIES LLC, Defendant. ---------------------------------------------------------------------- In re: BERNARD L. MADOFF, Case No. 09-11893 (BRL) Debtor. ---------------------------------------------------------------------- IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Adv. Pro. No. 10-04583 (BRL) Plaintiff, v. TODD R. SHACK, Defendant. ----------------------------------------------------------------------
SECOND SUMMONS AND NOTICE OF PRETRIAL CONFERENCE
IN AN ADVERSARY PROCEEDING
YOU ARE SUMMONED and required to submit a motion or answer to the complaint which is attached to this summons to the clerk of the bankruptcy court within 60 days after the date of issuance of this summons pursuant to an Order of the Bankruptcy Court dated November 10, 2010 (the “Procedures Order”) and the Notice of Applicability filed in this adversary proceeding (each of which are enclosed herewith). However, if you were served with this summons in a country outside the United States, you are required to respond to the complaint within 180 days after the date of issuance of this summons pursuant to the above-referenced Procedures Order and Notice of Applicability. Address of Clerk: Clerk of the Court United States Bankruptcy Court Southern District of New York One Bowling Green New York, NY 10004−1408
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300108860
At the same time, you must also serve a copy of the motion or answer upon the plaintiff’s attorney. Name and Address of Plaintiff's Attorney:
David J. Sheehan Marc E. Hirschfield
Baker & Hostetler LLP 45 Rockefeller Plaza New York, NY 10111 If you make a motion, your time to answer is governed by Bankruptcy Rule 7012 and the Procedures Order. YOU ARE NOTIFIED that a pretrial conference of the proceeding commenced by the filing of the complaint will be held at the following time and place: United States Bankruptcy Court Room: Courtroom 623 (BRL), One Bowling Southern District of New York Green, New York, NY 10004−1408 One Bowling Green New York, NY 10004−1408 Date and Time: To Be Determined By The Court IF YOU FAIL TO RESPOND TO THIS SUMMONS, YOUR FAILURE WILL BE DEEMED TO BE YOUR CONSENT TO ENTRY OF A JUDGMENT BY THE BANKRUPTCY COURT AND JUDGMENT BY DEFAULT MAY BE TAKEN AGAINST YOU FOR THE RELIEF DEMANDED IN THE COMPLAINT.
Dated: 5/17/11 Vito Genna
Clerk of the Court
By: /s/ Tiffany Campbell
Deputy Clerk
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300108860
UNITED STATES BANKRUPTCY COURT Southern District of New York
---------------------------------------------------------------------- SECURITIES INVESTOR PROTECTION CORPORATION, Adv. Pro. No. 08-01789 (BRL) Plaintiff-Applicant, SIPA LIQUIDATION v. BERNARD L. MADOFF INVESTMENT (Substantively Consolidated) SECURITIES LLC, Defendant. ---------------------------------------------------------------------- In re: BERNARD L. MADOFF, Case No. 09-11893 (BRL) Debtor. ---------------------------------------------------------------------- IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Adv. Pro. No. 10-04583 (BRL) Plaintiff, v. TODD R. SHACK, Defendant. ----------------------------------------------------------------------
THIRD SUMMONS AND NOTICE OF PRETRIAL CONFERENCE
IN AN ADVERSARY PROCEEDING
YOU ARE SUMMONED and required to submit a motion or answer to the complaint which is attached to this summons to the clerk of the bankruptcy court within 60 days after the date of issuance of this summons pursuant to an Order of the Bankruptcy Court dated November 10, 2010 (the “Procedures Order”) and the Notice of Applicability filed in this adversary proceeding (each of which are enclosed herewith). However, if you were served with this summons in a country outside the United States, you are required to respond to the complaint within 180 days after the date of issuance of this summons pursuant to the above-referenced Procedures Order and Notice of Applicability. Address of Clerk: Clerk of the Court United States Bankruptcy Court Southern District of New York One Bowling Green New York, NY 10004−1408
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At the same time, you must also serve a copy of the motion or answer upon the plaintiff’s attorney. Name and Address of Plaintiff's Attorney:
David J. Sheehan Marc E. Hirschfield
Baker & Hostetler LLP 45 Rockefeller Plaza New York, NY 10111 If you make a motion, your time to answer is governed by Bankruptcy Rule 7012 and the Procedures Order. YOU ARE NOTIFIED that a pretrial conference of the proceeding commenced by the filing of the complaint will be held at the following time and place: United States Bankruptcy Court Room: Courtroom 623 (BRL), One Bowling Southern District of New York Green, New York, NY 10004−1408 One Bowling Green New York, NY 10004−1408 Date and Time: To Be Determined By The Court IF YOU FAIL TO RESPOND TO THIS SUMMONS, YOUR FAILURE WILL BE DEEMED TO BE YOUR CONSENT TO ENTRY OF A JUDGMENT BY THE BANKRUPTCY COURT AND JUDGMENT BY DEFAULT MAY BE TAKEN AGAINST YOU FOR THE RELIEF DEMANDED IN THE COMPLAINT.
Dated: 6/3/11 Vito Genna
Clerk of the Court
By: /s/ Tiffany Campbell
Deputy Clerk
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300108860
UNITED STATES BANKRUPTCY COURT Southern District of New York
---------------------------------------------------------------------- SECURITIES INVESTOR PROTECTION CORPORATION, Adv. Pro. No. 08-01789 (BRL) Plaintiff-Applicant, SIPA LIQUIDATION v. BERNARD L. MADOFF INVESTMENT (Substantively Consolidated) SECURITIES LLC, Defendant. ---------------------------------------------------------------------- In re: BERNARD L. MADOFF, Case No. 09-11893 (BRL) Debtor. ---------------------------------------------------------------------- IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Adv. Pro. No. 10-04583 (BRL) Plaintiff, v. TODD R. SHACK, Defendant. ----------------------------------------------------------------------
FOURTH SUMMONS AND NOTICE OF PRETRIAL CONFERENCE
IN AN ADVERSARY PROCEEDING
YOU ARE SUMMONED and required to submit a motion or answer to the complaint which is attached to this summons to the clerk of the bankruptcy court within 60 days after the date of issuance of this summons pursuant to an Order of the Bankruptcy Court dated November 10, 2010 (the “Procedures Order”) and the Notice of Applicability filed in this adversary proceeding (each of which are enclosed herewith). However, if you were served with this summons in a country outside the United States, you are required to respond to the complaint within 180 days after the date of issuance of this summons pursuant to the above-referenced Procedures Order and Notice of Applicability. Address of Clerk: Clerk of the Court United States Bankruptcy Court Southern District of New York One Bowling Green New York, NY 10004−1408
10-04583-brl Doc 19-3 Filed 11/29/12 Entered 11/29/12 12:48:18 Exhibit B Pg 8 of 11
300108860
At the same time, you must also serve a copy of the motion or answer upon the plaintiff’s attorney. Name and Address of Plaintiff's Attorney:
David J. Sheehan Marc E. Hirschfield
Baker & Hostetler LLP 45 Rockefeller Plaza New York, NY 10111 If you make a motion, your time to answer is governed by Bankruptcy Rule 7012 and the Procedures Order. YOU ARE NOTIFIED that a pretrial conference of the proceeding commenced by the filing of the complaint will be held at the following time and place: United States Bankruptcy Court Room: Courtroom 623 (BRL), One Bowling Southern District of New York Green, New York, NY 10004−1408 One Bowling Green New York, NY 10004−1408 Date and Time: To Be Determined By The Court IF YOU FAIL TO RESPOND TO THIS SUMMONS, YOUR FAILURE WILL BE DEEMED TO BE YOUR CONSENT TO ENTRY OF A JUDGMENT BY THE BANKRUPTCY COURT AND JUDGMENT BY DEFAULT MAY BE TAKEN AGAINST YOU FOR THE RELIEF DEMANDED IN THE COMPLAINT.
Dated: 7/7/11 Vito Genna
Clerk of the Court
By: /s/ Tiffany Campbell
Deputy Clerk
10-04583-brl Doc 19-3 Filed 11/29/12 Entered 11/29/12 12:48:18 Exhibit B Pg 9 of 11
UNITED STATES BANKRUPTCY COURT Southern District of New York
---------------------------------------------------------------------- SECURITIES INVESTOR PROTECTION CORPORATION, Adv. Pro. No. 08-01789 (BRL) Plaintiff-Applicant, SIPA LIQUIDATION v. BERNARD L. MADOFF INVESTMENT (Substantively Consolidated) SECURITIES LLC, Defendant. ---------------------------------------------------------------------- In re: BERNARD L. MADOFF, Case No. 09-11893 (BRL) Debtor. ---------------------------------------------------------------------- IRVING H. PICARD, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC,
Adv. Pro. No. 10-04583 (BRL) Plaintiff, v. TODD R. SHACK, Defendant. ----------------------------------------------------------------------
FIFTH SUMMONS AND NOTICE OF PRETRIAL CONFERENCE
IN AN ADVERSARY PROCEEDING
YOU ARE SUMMONED and required to submit a motion or answer to the complaint which is attached to this summons to the clerk of the bankruptcy court within 60 days after the date of issuance of this summons pursuant to an Order of the Bankruptcy Court dated November 10, 2010 (the “Procedures Order”) and the Notice of Applicability filed in this adversary proceeding (each of which are enclosed herewith); however, if you were served with this summons outside of the United States, you are required to respond to the complaint within 180 days after the date of issuance of this summons pursuant to the above-referenced Procedures Order and Notice of Applicability. Address of Clerk: Clerk of the Court United States Bankruptcy Court Southern District of New York One Bowling Green New York, NY 10004−1408
10-04583-brl Doc 16 Filed 06/12/12 Entered 06/12/12 14:52:59 Main Document Pg 1 of 2
10-04583-brl Doc 19-3 Filed 11/29/12 Entered 11/29/12 12:48:18 Exhibit B Pg 10 of 11
At the same time, you must also serve a copy of the motion or answer upon the plaintiff’s attorney. Name and Address of Plaintiff's Attorney:
David J. Sheehan Marc E. Hirschfield
Baker & Hostetler LLP 45 Rockefeller Plaza New York, NY 10111 If you make a motion, your time to answer is governed by Bankruptcy Rule 7012 and the Procedures Order. YOU ARE NOTIFIED that a pretrial conference of the proceeding commenced by the filing of the complaint will be held at the following time and place: United States Bankruptcy Court Room: Courtroom 623 (BRL), One Bowling Southern District of New York Green, New York, NY 10004−1408 One Bowling Green New York, NY 10004−1408 Date and Time: To Be Determined By The Court IF YOU FAIL TO RESPOND TO THIS SUMMONS, YOUR FAILURE WILL BE DEEMED TO BE YOUR CONSENT TO ENTRY OF A JUDGMENT BY THE BANKRUPTCY COURT AND JUDGMENT BY DEFAULT MAY BE TAKEN AGAINST YOU FOR THE RELIEF DEMANDED IN THE COMPLAINT.
Dated: 6/12/12 Vito Genna
Clerk of the Court
By: /s/ Tiffany Campbell
Deputy Clerk
10-04583-brl Doc 16 Filed 06/12/12 Entered 06/12/12 14:52:59 Main Document Pg 2 of 2
10-04583-brl Doc 19-3 Filed 11/29/12 Entered 11/29/12 12:48:18 Exhibit B Pg 11 of 11
10-04583-brl Doc 19-4 Filed 11/29/12 Entered 11/29/12 12:48:18 Exhibit C Pg 1 of 3
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EXHIBIT C
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(PROPOSED ORDER)
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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES INVESTOR PROTECTION CORPORATION,
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