UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 03-80612 CIV-MARRA/HOPKINS
SECURITIES AND EXCHANGE COMMISSION,
Plaintiff,
v.
MICHAEL LAUER, LANCER MANAGEMENT
GROUP, LLC, and LANCER MANAGEMENT
GROUP II, LLC,
Defendants,
and
LANCER OFFSHORE, INC., LANCER
PARTNERS, LP, OMNIFUND, LTD., LSPV,
INC., and LSPV, LLC,
Relief Defendants.
_________________________________
/
RECEIVER'S MOTION FOR ORDER AUTHORIZING
THIRD INTERIM DISTRIBUTION OF ESTATE ASSETS
Marty Steinberg, court-appointed receiver (the "Receiver") of Lancer Management
Group, LLC ("LMG"), Lancer Management Group II, LLC ("LMG II"), Lancer Offshore, Inc.
("Offshore"), The Omnifund, Ltd. ("Ornnifund"), LSPV, Inc. ("Offshore LSPV"), LSPV, LLC
("Partners LSPV"), Alpha Omega Group, Inc. ("Alpha Omega"), G.H. Associates, LLC ("G.H.
Associates"), and CLR Associates, LLC ("CLR") (collectively, the "Receivership Entities"), and
formerly the responsible person for Lancer Partners, L.P. ("Partners"),
1
hereby files this Motion
for Order Authorizing Third Interim Distribution of Estate Assets (the "Motion"), and in support
thereof states the following:
1
I.
INTRODUCTION
Since his appointment on July 10, 2003, the Receiver has accumulated cash on behalf of
the Receivership Entities as a result of selling various assets, including, without limitation,
securities, warrants, as well as real and personal property, and through the settlement of certain
litigation initiated by the Receiver. Also, since his appointment, the Receiver has reviewed,
analyzed and objected to or allowed nearly all of the approximately $2.3 billion in claims filed
against the Receivership Entities. Based upon his analysis, and after litigating and resolving
multiple omnibus claim objections, the Receiver reduced the total universe of allowed claims
against the Receivership Entities to $643,601,967, excluding certain claims that the Receivership
Entities have against each other. In addition, based upon a Court-approved settlement among
Partners and the Receivership Entities, Partners holds an allowed claim against the Receivership
Entities in the amount of $110,679,277, while the Receivership Entities have an allowed claim
against Partners in the amount of$643,601,967?
At the time of this Motion, the estates of the Receivership Entities collectively hold
approximately $15,100,000. in cash.
3The Receiver continues to liquidate assets of the
Receivership Entities and to prosecute certain litigation, which he believes will generate
additional value for the investors and creditors of the Receivership Entities. The Receiver
recognizes, however, that due to the pending litigation, a final liquidation of assets and resolution
of litigation cannot be accomplished at this time. Thus, in order to avoid delay in disbursing
2Under the terms of the Court-approved settlement, the claim of Partners against the
Receivership Entities will not share in certain litigation recoveries achieved by the Receivership
Entities, or in monies that Partners distributes to the Receivership Entities on account of the
Receivership Entities' claim against Partners (the 'Non-Partner Distributions").
3
Case No. 03-80612 CIV-MARRA/JOHNSON
cash to investors and creditors of the Receivership Entities that currently hold allowed claims,
the Receiver files this Motion to authorize a third interim distribution.
II.
BACKGROUND
A.
The Receivership
1.
In or around September 1995, Michael Lauer ("Lauer") formed Offshore, a
British Virgin Islands ("BVI") international business corporation ("IBC"), as an offshore hedge
fund for the purpose of investing in various securities.
2.
Omnifund is also a BVI IBC originally incorporated by Lauer in January 1999 as
the Orbiter Fund, Ltd. ("Orbiter"). In March 2002, Lauer merged Orbiter and The Viator Fund,
Ltd., another BVI IBC incorporated in September, 1999, to form Omnifund. Omnifund is
similarly an offshore hedge fund formed for the purpose of investing in securities.
3.
Partners was a Connecticut limited partnership formed by Lauer as a domestic
hedge fund for the purpose of investing in securities.
4.
On April 16, 2003, Partners commenced a voluntary Chapter II bankruptcy case
styled
In re Lancer Partners L.P.,
Case No. 03-50492 (the "Bankruptcy Case"), before the
United States Bankruptcy Court for the District of Connecticut (the "Connecticut Bankruptcy
Court").
5.
On July 8, 2003, the United States Securities and Exchange Commission (the
"SEC") commenced an enforcement action (the "Enforcement Action") against Michael Lauer,
LMG, LMG II, Partners, Offshore, Omnifund, Offshore LSPV, and Partners LSPV before the
United States District Court for the Southern District of Florida (the "District Court"), based
upon a host of alleged securities law violations concerning Lauer's operation and management of
the Funds.
6.
On July I 0, 2003, the District Court entered the Order Appointing Receiver (the
"Receivership Order") in the Enforcement Action which, among other things, appointed Marty
Steinberg, Esq. as the Receiver for LMG, LMG II, Offshore, Omnifund, Offshore LSPV and
Partners LSPV.
7.
Pursuant to the Receivership Order, this Court directed the Receiver to "[take
immediate possession of all property, assets and estates of every kind" of the Receivership
Entities and "to administer such assets."
This Court further directed the Receiver to
"[i]nvestigate the manner in which the affairs of [the Receivership Entities] were conducted and
institute such actions and legal proceedings, for their benefit and on their behalf . . . as the
Receiver deems necessary." Finally, this Court directed the Receiver to "[m]ake or authorize
such payments and disbursements from the funds and assets taken into control, or thereafter
received by the Receiver."
8.
In accordance with the authority bestowed upon him in the Receivership Order,
the Receiver filed a number of ancillary proceedings against numerous third parties, asserting a
variety of claims (the "Ancillary Actions").
The Receiver also commenced an orderly
liquidation of the Receivership Entities' assets, including without limitation, the securities owned
by Offshore and Omnifund.
9.
Shortly after the entry of the Receivership Order, on July 24, 2003, the Receiver
was designated the responsible person for Partners by the Connecticut Bankruptcy Court based
upon his role as the Receiver for LMG II, the management company for Partners.
10.
On September 3, 2003, the District Court entered an Order expanding the
receivership to include Alpha Omega and G.H. Associates as Receivership Entities.
Case No. 03-80612 CIV-MARRA/JOHNSON
12.
On January 8, 2004, this Court entered a Case Management Order (the "Case
Management Order") that, among other things, established April 4, 2004 as the deadline to file
claims against the Receivership Entities.
13.
Ultimately, investors and creditors filed claims against the Receivership Entities
in the total amount of $2,315,710,317, excluding the claim that Partners asserted against the
Receivership Entities, and the claims that the Receivership Entities asserted against one another.
14.
On March 29, 2004, the Connecticut Bankruptcy Court entered an order
transferring venue of the Bankruptcy Case to this Court.
15.
The Transfer Order provides in paragraph 2 that the Bankruptcy Case "is hereby
transferred to the United States District Court for the Southern District of Florida to be
administered by the District Court as a bankruptcy case under Title 11 and pursuant to 28 U.S.C.
§ 1334(a) through (c)."
16.
On March 3, 2005, the Receiver filed his Amended Motion to Approve Protocol
for Interim Distribution of Estate Assets (DE 836, the "Amended Motion to Approve Protocol").
By the Amended Motion to Approve Protocol, the Receiver requested that this Court authorize
him to utilize the "Net Invested Capital" ("NIC") methodology for determining each investor's
allowed claims herein.
417.
On September 30, 2005, this Court entered its Agreed Order Granting in Part and
Deeming Withdrawn Remainder of Receiver's Amended Motion to Approve Protocol for
4
The Receiver also requested that the Court authorize him to make an interim distribution to the
investors. On May 25, 2005, the Receiver filed a Notice of Partial Withdrawal of Amended
Motion to Approve Protocol for Interim Distribution of Estate Assets Without Prejudice (DE
948), pursuant to which the Receiver clarified that he was limiting the requested relief
exclusively to selecting a valuation methodology for the determination of allowed claims, rather
than to make an interim distribution. The Receiver needed to liquidate multiple disputed claims
before he could make a meaningful distribution.
Interim Distribution of Estate Assets (DE 1079), wherein this Court authorized the Receiver to
utilize the NIC methodology as defined in the Amended Motion to Approve Protocol for
purposes of analyzing and determining allowed claims against the Receivership Entities, and
thereafter for purposes of making distributions.
18.
Thereafter, the Receiver filed omnibus objections to the $2,315,710,317 in claims
filed against the Receivership Entities. As a result of those objections, the Receiver reduced the
total amount of allowed claims against the Receivership Entities to $643,601,967, excluding the
claim held by Partners against the Receivership Entities and the claims that the various
Receivership Entities held against each other.
5
19.
On May 2, 2006, the District Court entered an Order referring Partners'
Bankruptcy Case to the United States Bankruptcy Court for the Southern District of Florida (the
"Bankruptcy Court"). The Bankruptcy Case was assigned Case No. 06-11721-JKO.
20.
On March 25, 2008, the Receiver filed before this Court a Motion to Estimate the
Claim of Lancer Partners, L.P. (DE 2043, the "Receivership Motion to Estimate"). By the
Receivership Motion to Estimate, the Receiver requested that Partners' total claim against the
Receivership Entities be estimated in the amount of $110,679,277, the total amount of allowed
claims by investors and creditors against Partners plus the face amount of remaining disputed
claims against Partners, for allowance and distribution purposes in the Enforcement Action. The
5
Case No. 03-80612 CIV-MARRA/JOHNSON
Partners' claim would receive distributions from the monetized assets of the Receivership
Entities, except for the recoveries generated by certain litigation brought by the Receivership
Entities.
21.
On March 25, 2008, the Receiver, as the Responsible Person for Partners, filed in
the Bankruptcy Case a Motion to Estimate the Claim of the Receivership Entities Pursuant to
Section 502(c) of the Bankruptcy Code (the "Bankruptcy Motion to Estimate"). The Bankruptcy
Motion to Estimate requested that the Receivership Entities be allowed a single consolidated
claim against the Partners' bankruptcy estate in the amount of $643,601,967, the total amount of
allowed claims by investors and creditors against the Receivership Entities, for the purposes of
allowance and distribution in the Bankruptcy Case. The Receivership Entities' claim would
similarly receive distributions from the monetized assets of Partners, except for the recoveries
generated by certain litigation brought by Partners.
22.
On May 12, 2008, the Bankruptcy Court entered its Order Granting Motion to
Estimate Claim of the Receivership Entities Pursuant to Section 502(c) of the Bankruptcy Code,
wherein the Bankruptcy Court granted the Bankruptcy Motion to Estimate, allowing the
Receivership Entities a single consolidated claim against Partners in the amount of $643,601,967
for allowance and distribution purposes.
6
6
Pursuant to the Bankruptcy Court's Order, the claim of Partners against the Receivership
Entities will not share in (a) the proceeds of certain litigation brought by the Receivership
Entities against its service providers, or (b) the proceeds of the claim that the Receivership
Entities hold against Partners.
23.
On June 18, 2008, this Court entered its Order granting the Receivership Motion
to Estimate, allowing Partners a single consolidated claim for allowance and distribution
purposes against the Receivership Entities in the amount of $110,679,277.
724.
In addition, each of the Receivership Entities filed claims against the other, based
on various factors, including without limitation intercompany transfers made among the entities
prior to the commencement of the Enforcement Action.
25.
On September 17, 2010, the Receiver filed his Motion to Approve Procedure for
Distributions to obtain approval from this Court for the Receiver's proposed procedure for
making distributions in the Receivership Case, and to address the issues relating to the
intercompany claims (DE 2405, the "Motion to Approve Procedure for Distributions").
26.
By the Motion to Approve Procedure for Distributions, the Receiver sought
authority to, in effect, consolidate the assets and liabilities of all of the Receivership Entities for
the sole purpose of making distributions in the Enforcement Action to investors and creditors
with allowed claims therein,
8
and to exclude from distributions the claims that the Receivership
7
Case No. 03-80612 CIV-MARRA/JOHNSON
Entities hold against each other. The rationale for this relief is set forth in more detail in the
Motion to Approve Procedure for Distributions.
27.
On September I 7, 2010, the Receiver filed his Motion for Order Authorizing First
Interim Distribution of Estate Assets (DE 2404, the "Motion for First Interim Distribution"),
seeking authority to distribute $32 million of the assets of the Receivership Entities. Due to the
nature of the $32 million in assets, the payees are comprised of the investors with allowed claims
in the Receivership, including Lancer Partners.
28.
On October 7, 2010, this Court entered its Order Granting the Motion to Approve
Procedure for Distributions (DE 2408, the "Order Granting Procedure for Distributions").
29.
As of the date of this Motion, the total amount of allowed claims against the
various Receivership Entities, including Partners' claim in the amount of $110,679,277, is
$754,281,244.
30.
On October 7, 2010, this Court entered its Order Granting the Motion for First
Interim Distribution (DE 2407, the "Order Approving First Interim Distribution").
31.
On October 20, 2010, Lauer filed his Emergency Motion for Court to Stay its
Order Approving First Interim Distribution (DE 2413, the "Emergency Motion to Stay").
32.
On October 20, 2010, this Court entered its Order on the Emergency Motion to
Stay, denying it to the extent it sought emergency relief, but reserved ruling on the request for a
stay (DE 2414 ).
33.
On November 4, 2010, the Receiver filed his Response to the Emergency Motion
to Stay (DE 2419).
34.
On November 24, 2010, this Court entered its Order Denying the Emergency
Motion to Stay (DE 2421).
35.
On January 28, 2011, the Receiver began making the distributions of the $32
million to the investors with allowed claims.
36.
On Aprill6, 2012, the Receiver filed his Motion for Order Authorizing Second
Interim Distribution of Estate Assets (DE 2600, the "Motion for Second Interim Distribution"),
seeking authority to distribute $6 million of the assets of the Receivership Entities. Due to the
nature of the $6 million in assets that the Receiver sought to distribute (Non-Partner
Distributions), Lancer Partners was not a payee from this distribution.
37.
On May 15, 2012, this Court entered its Order Granting the Motion for Second
Interim Distribution (DE 2611, the "Order Approving Second Interim Distribution").
38.
On July 24, 2012, the Receiver began making the distributions of the $6 million to
the investors with allowed claims.
B.
The Cowen Criminal Action (Case No. 02-20473-CMA)
39.
On May 28, 2002, the United States of America indicted Bruce Cowen for
conspiracy to commit wire, mail and securities fraud (Count I), wire fraud (Counts II-V), mail
fraud (Count VI), securities fraud (Count VII) (the "Cowen Indictment") in a criminal action
styled
United States of America v. Joseph R. Huard, Jr., et al.,
Case No. 02-20473-CMA
pending before the District Court (the "Cowen Criminal Action").
40.
On August 21, 2003, Cowen pled guilty to Count I in the Cowen Criminal Action.
41.
Prior to his sentencing and restitution hearing, the Receiver and Cowen reached a
tentative settlement as to various claims that the Receiver had asserted against Cowen.
42.
On June 14, 2005, the District Court imposed a sentence and on August 15, 2005,
Case No. 03-80612 CIV-MARRA/JOHNSON
Entities in accordance with the damages presented by the Department of Justice (14.22% to
Lancer Partners, and 85.88% to the Offshore Entities. The Receiver currently holds $890,693.44
in restitution payments made by Cowen.
43.
On November 10, 2006, the Receiver filed in the Enforcement Action a Motion
for Approval of Settlement Agreement with Bruce Cowen and Kathryn Braithwaite (DE 1672,
the "Cowen Settlement Agreement"). Pursuant to the Cowen Settlement Agreement, Cowen was
to pay the Receiver $600,000.00 to settle the Receiver's claims against Cowen, with the full
settlement payment to be credited towards Cowen's restitution payments to the U.S.
Government. Cowen has made the $600,000.00 payment to the Receiver.
44.
On December 8, 2006, the District Court entered an Order Approving the Cowen
Settlement Agreement (DE 1703).
C.
The Hauser Criminal Action (Case 08-20071-AJ)
45.
On or about January 29, 2008, the United States of America indicted Hauser and
certain other Lancer Entities' insiders for conspiracy to commit wire, mail and securities fraud
(Count
I) and wire fraud (Counts 2-7) (the "Hauser Indictment") in a criminal action styled
United States Of America v. Michael Lauer, et al., Case No. 08-20071-CR-JORDAN pending
before the District Court (the "Hauser Criminal Action").
46.
On or about April 15, 2009, Hauser plead guilty to Count 1 of the Hauser
Indictment in the Hauser Criminal Action. Thereafter, Hauser and the government entered into a
plea agreement.
47.
On October 16, 2009, the District Court entered a Judgment as to Hauser in the
Hauser Criminal Action (DE 390, the "Hauser Judgment").
48.
On January 15, 2010, the District Court held a restitution hearing as to Hauser,
wherein the Court ordered Hauser to pay restitution in the amount of $752,935,448. (the
"Restitution Award").
See Restitution Hearing Transcript, pp. 14-16 (DE 494). The Court
ordered that the Restitution Award be made to the victims on the Victim Distribution List
provided by the Assistant U.S. Attorney.
Hauser made an initial restitution payment of
$250,000.00 to the U.S. Probation Office, which distributed those funds to the Victim
Distribution List.
49.
On January 19, 2010, the District Court entered an Amended Judgment against
Hauser in the Hauser Criminal Action (the "Hauser Amended Judgment"), which required,
among other things, that Hauser make a $1,000,000.00 payment toward restitution within 90
days ofthe Hauser Amended Judgment (the "$1 Million Payment").
50.
Shortly after his sentencing, Hauser began cooperating with the Receiver in the
Insider Action, and the parties commenced good faith settlement negotiations, eventually
entering into a Settlement and Cooperation Agreement (the "Hauser Settlement Agreement").
51.
On December 28, 2011, the Receiver filed a Motion to Approve Settlement and
Cooperation Agreement with Hauser in the Enforcement Action (DE 2558).
52.
On January 13, 2012, Hauser filed in the Hauser Criminal Action an Unopposed
Motion Concerning Payment of Restitution by Hauser to Receiver (DE 1144, the "Hauser
Unopposed Motion"). Pursuant to the Hauser Unopposed Motion, Hauser requested that the
Court permit Hauser to make all future restitution payments (including the $1 Million Payment)
to the Receiver to be distributed to the victims on the Victim Distribution List.
Case No. 03-80612 CIV-MARRA/JOHNSON
54.
On April 4, 2012, the Receiver filed a Motion to Approve Amended Settlement
and Cooperation Agreement with Hauser in the Enforcement Action (DE 2594).
55.
Pursuant to the terms of the Hauser Settlement Agreement:
Hauser shall pay the Receiver $1,550,000.00 (the "Settlement
Amount").
The Settlement Amount is comprised of: (i) a
$1,000,000.00 payment made pursuant to the Restitution Award;
and (ii) a $550,000.00 payment. ... The $1,000,000.00 portion of
the Settlement Amount shall be distributed to the Victims as
identified by the District Court in the Criminal Case.
The
$550,000.00 portion of the Settlement shall be apportioned
between the Receiver and the Liquidating Trustee [to be
distributed pursuant to the procedures and to the claimants in the
Enforcement Action and the Bankruptcy Case].
56.
On April 11, 2012, this Court entered an Order Granting the Motion to Approve
Amended Settlement Agreement (DE 2597).
57.
Hauser has made the $1 Million Payment to the Receiver, along with an
additional $1,000.00 toward his restitution responsibilities.
58.
The Receiver is currently preparing to distribute the $1,001,000.00 to the victims
on the Victim Distribution List.
9
III.
TIDRD INTERIM DISTRIBUTION
59.
By this Motion, the Receiver proposes to make a third interim distribution of $6.2
million of the cash recoveries in the Receivership Entities' estates to those creditors and
investors of the Receivership Entities whose claims have been allowed (the "Third Interim
Distribution"). The Third Interim Distribution will consist of the following:
9
The Receiver does not by this Motion seek authority from this Court to make the Hauser
Restitution Payments to the victims on the Victim Distribution List as the Court in the Criminal
Action has already authorized and directed the Receiver to make these payments. The Receiver
has included this section regarding the Hauser distribution payments to provide this Court with
further information regarding distributions.
a.
the $1,001,000.00 Hauser Restitution Payments (to the victims on the
Victim Distribution List) (the "Hauser Distribution");
b.
the $890,693.44 Cowen Distribution Payments (to the Offshore investors
with allowed claims, including Lancer Partners attached as Exhibit "A")
(the "Cowen Distribution");
c.
a $1,208,306.56 distribution (to the Offshore investors with allowed
claims, including Lancer Partners attached as Exhibit "B") (the "$1.2
Million Distribution"); and
d.
a $3,100,000.00 distribution payment to the Offshore investors, not
including Lancer Partners attached as Exhibit "C") (the $3.1 Million
Distribution").
60.
The Receiver proposes to make this Third Interim Distribution in accordance with
the procedures set forth in the Order Granting Procedure for Distributions (with respect to a, c,
and d above), and in accordance with Exhibit C on the Motion for Approval of Settlement
Agreement with Bruce Cowen and Kathryn Braithwaite (DE 1672) (with respect to b above). In
addition, the Receiver will holdback certain of the Receivership Entities' funds from
distributions as a reserve for ongoing administrative expenses of the Receivership Entities.
Case No. 03-80612 CIV-MARRA/JOHNSON
62.
As stated previously, the Receivership Entities' estates currently have
approximately $15,100,000 in cash (the "Cash Assets") which is currently available for this
Third Interim Distribution to investors and creditors with allowed claims. The Receiver does not
believe it would be prudent to distribute all of the Cash Assets at this time as the Receiver and
the Receivership Entities' estates will continue to accrue various litigation and administrative
expenses. The Receiver currently has one Ancillary Action pending before this Court. The
Receiver continues to litigate this Ancillary Action and is actively involved in trial preparation.
The Receiver believes that this Ancillary Action will ultimately provide a benefit to the
Receivership Entities' estates. The Receiver also has administrative and other duties in the
Enforcement Action, including reporting responsibilities to investors and creditors, the SEC and
this Court. Accordingly, the Receiver proposes to reserve sufficient funds for these litigation and
other ongoing Enforcement Action expenses (the "Expense Reserve").
63.
As of the date of this Motion, the Receiver believes that $6.2 million is an
appropriate sum to distribute pursuant to this Third Interim Distribution. The Receiver intends to
move quickly toward resolving the final issues in this Receivership so that he can make a final
distribution.
64.
A district court has broad powers and wide discretion to determine relief in an
equity receivership.
See SEC v. Elliot, 953 F. 2d 1560 (11th Cir. 1992); SEC v. Great White
Marine
&
Recreation, Inc., 428 F.3d 553 (5th Cir. 2005); SEC v. Merrill Scott
&
Assocs., Ltd.,
2007 WL 26981 (D. Utah 2007)
(citations omitted); FDIC v. Bernstein, 786 F. Supp. 170, 177
(E.D.N.Y. 1992) ("[O]ne common thread keeps emerging out of the cases involving equity
receiverships -- that is, a district court has extremely broad discretion in supervising an equity
receivership and in determining the appropriate procedures to be used in its administration.").
Concerning methods or plans for distributions, the district court administering the equity
receivership has the power to fashion any remedy that is fair and equitable. See SEC v. Sunwest
Mgmt., Inc.,
2009 WL 3245879 (D. Ore. 2009). There are no set rules or specific plan terms or
means of implementation that govern distribution plans
in
federal equity receiverships. See SEC
v. Byers,
2009 WL 2185491, at *6 (S.D.N.Y. 2009); SEC v. AmeriFirst Funding, Inc., 2008 WL
919546 (N.D. Tex. 2008) (where court approved a first interim partial distribution of
receivership funds to investors); CFTC v. Eustace, 2008 WL 471574 (E.D. Pa. 2008) (Court
approved first and second interim distribution requests from Receiver).
65.
"A substantial body of case law governing distributions through federal
receiverships supports the equitable pooling of assets of receivership entities in order to enable
pro rata
distributions to investors." Sunwest Mgmt., 2009 WL 3245879, at *8; AmeriFirst
Funding,
2008 WL 919546 (the most equitable approach to distributions is to pool the assets of
the three receivership entities).
66.
Accordingly, the Receiver requests authority to make a Third Interim Distribution
(as discussed above) to the investors and creditors from the Cash Assets in the Receivership
Entities' estates.
Case No. 03-80612 CIV-MARRA/JOHNSON
WHEREFORE,
the Receiver respectfully requests that this Court enter an order, in the
form attached hereto as Exhibit "D" (i) granting this Motion, (ii) authorizing the Receiver to
make the Third Interim Distribution in accordance with the procedures set forth in the Order
Granting Procedure for Distributions, Exhibit C to the Motion for Approval of Settlement
Agreement with Bruce Cowen and Kathryn Braithwaite, and pursuant to the terms and
provisions of the Receivership Order and the Case Management Order, and (iii) for such other
and further relief as the Court deems just and proper.
Date: October 11, 2013
Miami, Florida
Respectfully submitted,
HUNTON
&
WILLIAMS LLP
Counsel for the Receiver
1111 Brickell A venue - Suite 2500
Miami, FL 33131
Telephone: (305) 810-2500
Facsimile: (305) 810-2460
Is/ Juan
C.
Enjamio
Juan C. Enjamio (FBN 571910)
David E. Bane (FBN 515701)
CERTIFICATE OF SERVICE
I HEREBY CERTIFY
that a true and correct copy of the foregoing will be furnished via
First Class U.S. Mail to Michael Lauer, 101 West End Avenue, Apt. 8P, New York, NY 10023;
Martin Garvey, 11 School Street, Apt. 11, Clinton, NJ 08809; and via First Class U.S. Mail
and/or Electronic Mail as designated upon the parties set forth on the Master Service List and the
attached Exhibits A-C, on the
14th day of October, 2013.
Christopher Martin Senior Trial Counsel
U.S. Securities & Exchange Commission 801 Brickell Avenue- Suite 1800 Miami, F133131
KeMeth G. M.l\l[ather, Esq.
Hinshaw & Culbertson 100 S. Ashley Drive, Suite 830 Tampa, Florida 33602-5348
· Gregocy L. McClelland McClelland & Andernon LLP 1305 S. Washington Avenue, Suite 102
Lansing, .MI 48910
Trisha D. Sindler Special Counsel
U.S. Securities & Exchange Commission 801 Brickell Avenue- Suite 1800 :Miarni, Fl33131
FrankP. Terzo GrayRobinson, P.A.
1221 Brickell Avenue, Suite 1600 Miami, Florida33131
Kenneth B. Robinson, Esq.
Rice, Pugatch, Robinson & Schiller, P.A. 101 NE Third Avenue, Suite 1800 Fort Lauderdale, FL 33301
ReHaiEi 13. Rtt i:l:e&; Bsft. } IaKfte t'. 9a i:4seH, Bsft.
\lteiH'Iftfl Senteilitt
9He SeiilfleMt'HlitEi • eHae,25!1tFleer Hiflffli,Fb331311711
Jonathan M. Borg
Piteny Hardin Kipp & Szuch LLP 7 Times Square
New York, NY 10036-7311
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3115se~:~lhSeJ!lil eEiaBelile 8I'Ei PeHI:fte!l;le Sltite 1299 bes Aageles, t;• 99931 691:<! Return Mail
LANCER RECEIVERSHIP
CASE NO.
03-80612-MARRA/JOHNSON
MASTER SERVICE LIST
Michael Lauer
101 West End Ave., Apt. SP New York, New York 10023 [email protected]
JamesSowka
Office of the Assistant United States Trustee
51 SW 1st Avenue- Suite 1204 Miami, FL 33130 Paul Gentilozzi Rocketsports, Inc. 3400 West Road East Lansing, MI 48823 Jimmy Tsakni
clo Shari A Brandt, Esq. Richard Spears Kibbe & Orbe, LLP One World Financial Center New York, NY 10281
Sheldon Toll
Law Office of SHELDON S. TOLL PLLC 2000 Town Center, Suite 2100 Southfield, MI 48075
Robert M. Dombrotf, Esq. Jonathan Alter, Esq. Bingham McCutchen LLP One State Street Hartford, CT 06103
RfisbiB & Rasl:iH
Gefft!. Gatiles, Fb 33116
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Thomas D. Goldberg Day, Beny & Howard LLP One Canterbury Green Stamford, CT 06901
JosephP. Moodhe Debevoise and Plimpton 919ThirdAvenue New York, NY 10022 Kjetil Myhrvold TrygVesta ~orsikring Folke Bemadottesvei 50 P.O. Box 7070 NO- 5020 Bergen Norway Ms. Nina Fiskaaen
Controller, Nordea Liv Norge AS Folke Bemadottes vei 38 5147 Fyllingsdalen 1201 Bergen- NORWAY
David Blaylock, Esq. Glanklef Brown, PLLC 6000 Poplar Avenue Suite400 Memphis, TN 38119 Mr. Morton Sherman 560 Landsdowne Avenue Westmount (Quebec) H3Y2V6
Noah J. Schafler, Esq.
The Law Offices of David W. Rubin 600 Summer Street, Suite 201 Stamford, CT 06901
Bany E. Steiner Ladenburg Thalman & Co. 4400 Biscayne Blvd., 14th Floor Miami, FL 33137
David M. Dorsen,
Esq. 2900 K Street, N.W.Suite
500Washington, DC 20007
Barbaro. H.Katz
Law Office ofBarbaru H. Katz 57 Trumbull Street New Haven, CT 06510
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Laura E. Ward DLA Piper LLP (US) 100 N. Tampa Street, Suite 2200 Tampa, FL 33602
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Gerald McHale, Jr. 1601 Jackson Street, Suite 200 Fort Myers, FL 33901
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One New Haven Avenue Millford, CT 06460
Scott M. Bennan, Esq.
Anne E. Beaumont, Esq.
Friedman, Kaplan,Siiler & Adelman LLP 1633 Broadway, 46th Floor
New York, NY 10019·6708
[email protected]@fklaw.eom
David Cimo Esq.
Genovese Joblove & Battista, P.A Bank ofT ower, 36th Floor 100 S.E. 2nd Street Miami, FL 33131 dcimo@ajb·law.com
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Adam Moscowitz David P. Milian, Esq. Harley S. Tropin, Esq.
Kozyak Tropin & Throckmorton, P.A. 2525 Ponce de Leon Blvd., FL 9 Coral Gables 33134 [email protected]
Joel H. Bernstein, Esq.
Labaton Sucharow & RudoffLLP 140 Broadway 23m Floor New York NY 10005-1108 [email protected]
Carol Felicetta Reid and Riege, P.C.
One Financial Plaza, 2/'1 Floor
Hartford, CT 06103 Counsel for Equity Committee
Sat !Here •. Baffietftfls, Est}. Fele) & b9ftltm
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John Hochman, Esq.
Schindler Cohen & Hochman LLP 100 Wall Street, IS"' Floor New York, New York 10005 [email protected]
"R sileR 'J.JJ'flg!H, Esq. Celfe) & mrigflt, HP GrBAti BEl) PlRM; Peaffiel:!Se 2B 2663" S. Ba) sfle!'t! Bti e
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David L. Snyder, Esq.
Neuberger, Quitu1, Gielen, Rubin & Gibber One South Street, 27"' Floor
Baltimore, MA 21202-3282 [email protected]/[email protected]
Lewis N. Brown Dyanne E. Feinberg, Esq. Gilbride, Heller & Brown, PA One Biscayne Tower, Suite 1570 Two South Biscayne Blvd. Miami, Florida 33131 [email protected]
Mr. Dylan Wolff
Managing Director Norges Investor Value P.O. Box 1863 Vika
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Robert Pershes, Esq.
Buckingham, Doolittle & Bouroughs, LLP 5355 Town Center Road, Suite 900 Boca Raton, FL 33486 [email protected]
William R. Maguire, Esq. Jeffrey Greilsheimer, Esq. Hugl1es Hubbard & Reed, LLP One Battery Park Plaza New York, NY 10004 [email protected] [email protected]
WilliamS. Fish, Esq. William H. Champlin, Esq. Hinckley, Allen & Snyder LLP 20 Church Street
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Drew M. Dillworth, Esq.
Steams Weaver Miller Weissler Alhadeff Sitterson 150 West Flagler Street, Ste. 2200
Miami,FL 33130 [email protected]
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Aaron Podhurst, Esq. Podhurst, Orseck, Josefsburg, Eaton, Meadow, Olin & Perwin, P.A. 25 West Flagler Street- Suite 800 Miami, Florida33130 apodhurstlalpodhurst.com
Joseph Matthews, Esq. Colson Hicks Eidson P.A. 255 Alahambra Circle, Suite PH Coral Gables, FL 33134-7414 [email protected]
Rudolph F. Aragon, Esq. White &Case
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New York, New York 10036 [email protected]
Paul Steven Singerman Berger Singerman
200 S. Biscayne Blvd., Suite 1000 Miami, Florida 33131
Jacqueline Wilson
British Virgin Islands Financial Services Commission PaseaEstate, Road Town
Tortola, British Virgin Islands [email protected]
Robert E. Grossman/ScottS. Balber Chadbourne & Parke LLP 30 Rockefeller Plaza NewYork,NY 101l2 [email protected]/ [email protected]
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David Barrack, Esq. Hal M. Hirsch, Esq. Greenberg Traurig, LLP Met Life Building 200 Park Avenue New York, NY 10166
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Barristers, Solicitors & Notaries Public Tropic Isle Building, BVI
P.O. Box3331 Road Town, Tortola British Virgin Islands VG 1110
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333, SHERBROOKE EAST #808 MONTREAL H2X 4E3 QUEBEC, CANADA
ANDRE CHAGNON C/0 NORMAND GREGOIRE
2001 MCGILL COLLEGE AVE., SUITE 1000 MONrREAL, QUEBEC IDA !Gl
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ABERDEEN INVESTNIENTS LTD. C/0 JOHN GENNARO
305 COUNTRY CLUB LANE
SCOTCH PLAINS, NJ 07076
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CH-1211 Geneva I Swisse
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CIO KATERINA PRODROMOU A.J.K. BUREAU OF CONSULTANTS LTD. l NAOUSIS S1R.
POBOX40634 6018 LARNACA CYPRUS
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ANNE CHANTAL PIGELET 344 RUE CHENAL 74700 SALLANCHES FRANCE ••qsGNGGlW.NY£ • BERNARB :b'GRE \b 11 RIJ6 £''' G6NER \b b'b'¥GHR ~ GE~!E''·., guq:rze:PJ:. 'IJJ:b'
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CHRISTA GUNTER TERASSES DU LEMAN 2 CH-1272 GENOLIER SWITZERLAND
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COMMONFUND GLOBAL HEDGED PARTNERS
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ALTAR FUND, LTD. C/0 CBH (Bahamas) LID. ATTN: MS. URSULA ROLLE
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CIO JEAN FRANCOIS SCHMrfr
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Fondation Lucie et Andre Chagnon
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2001, av. McGill College, bureau 1000
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CIO PAUL LEPAGE P.O. BOX45 HIRZEL HOUSE
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GT OPPORTUNITIES 30 PLACE DE LA MADELEINE 75008 PARIS
HSBC PRIVATE BANK (SUISSE) SA QUAI GENERAL GUISAN P.O. BOX 3580 1211 GENEVA3 SWITZERLAND
JO~ST·GE~rN
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NORGES INVESTOR LONG SHORT AS PICTET & CIE BANQUIERS
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HUNNICUT & CO. DB PLAN IIO EAST 59TH STREET, 32ND FLOOR NEW YORK, NY 10022
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CH121
GENEVA II, SWITZERLAND
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NORGES~TORVALUEAS
PICTET & CIE BANQUIERS ATIN: JURG EGLI ROUTE DES ACACIAS 60 1211 GENEVA 73 SWITZERLAND
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JOYCE SrNCLAIR SPOUSAL TRUST C/0 :MR. JAY MANN, CFO PANDION rNVESTMENTS LTD.
1010 SHERBROOKE STREET WEST, SUITE 1409 MONTREAL QUEBEC H3A 2R7
CANADA
KREDIETBANK SA LUXEMBOURGEOISE
AJC SPECIAL OPPORTUNITIES FUND
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DOMrNION RESOURCES MASTER TRUST BNYMELLON
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TilE MORTON MEYERSON FAMILY FOUNDATION 3401 AR}v!SlRONG AVE.
DALLAS, TEXAS 75205
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REGIME DE RENTES DU Jl;fOUVEMENT DESJARDINS
JEAN-FRANCOIS DELISLE 100, A VENUE DES COMMANDEURS LEVIS (QUEBEC) CANADA G6V 7N5
SIMISA INTERNATIONAUISCANDAR INC. OCTOGONE GESTION SA
26 RUE DE CANDOLLE 1205 GENEVA, SWITZERLAND
ST ARVEST FUNDS, LTD.
CIO VINCENT CAMPAGNA
WAFRA INVESTMENT ADVISORY GROUP, INC. 345 PARKAVE.,41STFLOOR
NEW YORK, NY 10154-0101
TEAM HAAS USA, LTD. FACT INC, 1035 ANTIQUE LN NORTHBROOK, IL 60062 'HIB QB''t»f '}:RUST G'fl' QBH'IIS NER:b "NB SIIEiNER:b 'N~ G 'rb?b'}l ~,... '''KS"',S''l+E 19QQ G\bG'PY, 'bBERl'' 'h!P2X€i
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RCA INTRUST CLAUDIA REINHOLD 1604 ST. REGIS BLVD.
DORY AL, QUEBEC CANADA H9P 1H6
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SOJECCI II LTEE (1) FOR!v!ERL Y KNOWN AS 9091-2601 QUEBEC INC., AN ASSIGNEE OF SOJECCI LTEE
CIO NORMAND GREGOIRE
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STATE STREET TRUSTEES (GUERNSEY) LIMITED-AS CUSTODIAN FOR NEMROD LEVERAGED HOLDINGS LIMITED
ATIN: ANDREW 1HOMPSON P.O. BOX 238- 2"" FLOOR TUDOR HOUSE LEBORDAGE
ST. PETER PORT, GUERNSEY GYI3PF CHANNEL ISLANDS
THE ARROWSI\IUTH FUND, LTD.
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THE ISRAEL HENRY BEREN CHARITABLE 1RUST 2020 NORTH BRAMBLEWOOD STREET WICHITA, KS 67206
THE .MEYERSON 1999 CHARITABLE REMAINDER 1RUST
THE PENSION COMMITIEE OF THE REGIME DE RERAITE DE LA CORPORATION DE ECOLE POL YTECHNIQUE
CJO BERNARD SANSCHAGRIN ECOLE POL YTECHNIQUE C.P. 6079, SUCCE. CENfER VILLA MONTREALQC CANADA, H3C 3A7 VESTA FORKSIKRING AS PO BOX 7070 5020 BERGEN NORWAY VITfORIO MOSCA
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KUWAIT & MIDDLE EAST FINANCIAL INVESTMENT COMPANY
ATTN: MOHAMED A. ALMARZOOK ASSISTANT GENERAL
MANAGER-INTERNATIONAL MARKETABLE SECURITIES P.O. BOX819
SAFAT 13009 KUWAIT
FIRST TRUST CORPORATION TTEE FBO/· SHIRLEY A. SIMON
ACCT #031-038-12-835 P.O. BOX 173301 DENVER, CO 80217-3301
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ANDREW L. JIRANEK, ESQ. 16 WILLOW AVENUE
BALTUv:IORE, MARYLAND 21286
Citco Bank Nederland N.Y. Dublin Branch
Branch Officerustom House Plaza Block 3
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EMF 36145264 v2
TilE PENSION COMMIITEE OF TilE UNIVERSITY OF MONTREAL PENSION PLAN
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ITS CAPACITY AS ADMINISTRATOR FOR TilE UNNERSITY OFMONlREAL PENSION PLANANDREEMAYRAND
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DEUTSCHE BANK NOMINEES (JERSEY) LIMITED AJCSIGNET
P.O. BOX727
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C/0 SILNOM HOLDINGS LTD. 165 CROSS AVENUE, SUITE 302
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Mr Kjetil Myhrvold Vesta Eiendom AS c/o Tryg Forsikring NUF PO Box7070
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P"!'IB • J QR ']>f:F, ESQ
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LABISCOliTI TRUST OCTOGONE GESTION SA26 RUE DE CANDOLLE 1205 GENEVA, SWITZERLAND
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C/0 CIRCLE INVESTMENT SUPPORT SERVICES B.V.
ATTN: Mr. Simon Hiemstra!Mrs. Eva Slovenciakova P.O. BOX2052
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ROBERT REYNOLDS SLATKIN & REYNOLDS P.A.
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THE CORBETT FAMILY CHARITABLE FOUNDATION, INC.
RICHARD A CORBETT
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Claim Name of Claimant Against Non Investor No.
66 171212 Canada Inc. Lancer $
Offshore, Inc.
31 175020 Canada Inc. Lancer $
Offshore, Inc.
188 3421317 Canada, Inc. Lancer $
Offshore, Inc.
190 Aberdeen Investments Ltd. Lancer $
Offshore, Inc.
403 ABSA Bank Limited as trustee on behalf Lancer $
of the Coronation International Active Offshore, Inc. Fund of Funds
508 Acedon Fondation de Famille Lancer $
Offshore, Inc.
250 AIS Holdings Series Trust II Lancer $
Offshore, Inc.
377 Ajial Holdings Ltd. Lancer $
Offshore, Inc.
378 A'ial Holdin s Ltd. Omnifund Ltd. $
3 AI Mashal Investment Enterprises, Ltd. Lancer $
Offshore, Inc.
421 Alain W. Dunand Lancer $
Offshore, Inc.
461 Altar Fund, Ltd. do Citco Fund SeNices Lancer $
Offshore, Inc.
462 Altar Fund, Ltd. c/o Citco Fund SeNices Omnifund Ltd. $
376 Amatra Investments Ltd. Omnifund Ltd. $
375 Amatra Investments Ltd. Lancer $
Offshore, Inc.
318 Andre Chagnon Lancer $
Offshore, Inc.
110 Anne Chantal Pi~:~elet Omnifund Ltd. $
107 Anne Chantal Pigelet Lancer $
Offshore, Inc.
470 Aries Trading Ltd. Lancer $
Offshore, Inc.
414 Avison Company SA Lancer $
Offshore, Inc.
436 AXA Alternative Strategies, Ltd. Lancer $
Offshore, Inc.
439 AXA New Horizons Select Dollar Fund Lancer $
Offshore, Inc.
452 AXA New Horizons Select Plus Euro Lancer $
Fund Offshore, Inc.
454 AXA New Horizons Select Plus Euro Lancer $
Fund Offshore, Inc.
178 Banca Unione Di Credito Lancer $
Offshore, Inc.
366 Banco Nominees (10M) Ltd. Lancer $
'
- Offshore, Inc. Distribution Schedule Cowen Restitution Allowed Proposed Amount Distribution Amount 1,000,000 $ 1,187.13 75,000 $ 89.03 86,520 $ 102.71 203,276 $ 241.31 20,730,629 $ 24,609.88 400,000 $ 474.85 1,000,000 $ 1,187.13 500,000 $ 593.56 500,000 $ 593.56 2,000,000 $ 2,374.25 450,000 $ 534.21 1,600,000 $ 1,899.40 2,150,000 $ 2,552.32 1,600,000 $ 1,899.40 4,000,000 $ 4,748.51 2,000,000 $ 2,374.25 50,006 $ 59.36 300,007 $ 356.15 105,000 $ 124.65 499,999 $ 593.56 6,000,000 $ 7,122.76 1,000,000 $ 1,187.13 2,800,000 $ 3,323.95 5,000,000 $ 5,935.63 420,000 $ 498.59 599,559 $ 711.75-Transferred Shares Transferred To
Amount Transferred
$ 203,276 910.00 Mr. John Gennaro
$ 105,000 247.50 Ethos Investments Ltd.
$ 6,000,000 6, 188.4' Deutsche Bank Custody N.V.
$ 1,000,000 1,046.8, Deutsche Bank Custody N.V.
$ 2,800,000 2,848.7' Deutsche Bank Custody N.V.
