Case Name: UNITED STATES of America, Appellee, v. Peter S. GRIMM, Dominick P. Carollo, Steven E. Goldberg, Defendants-Appellants, UBS AG, UBS Securities LLC, UBS Financial Services, Inc., Intervenors
Court: United States Court of Appeals for the Second Circuit
Jurisdiction: United States
Decision Date: 2014-08-15
Citations: 763 F.3d 221
Docket Number: Nos. 12-4310 (Lead), 12-4365(Con), 12-4371(Con)
Parties: UNITED STATES of America, Appellee, v. Peter S. GRIMM, Dominick P. Carollo, Steven E. Goldberg, Defendants-Appellants, UBS AG, UBS Securities LLC, UBS Financial Services, Inc., Intervenors.
Judges: PRESENT: ROBERTA. KATZMANN, Chief Judge, DENNIS JACOBS, JOSÉ A. CABRANES, ROSEMARY S. POOLER, REENA RAGGI, RICHARD C. WESLEY, PETER W. HALL, GERARD E. LYNCH, DENNY CHIN, RAYMOND J. LOHIER, JR., SUSAN L. CARNEY, and CHRISTOPHER F. DRONEY, Circuit Judges.
Reporter: Federal Reporter 3d Series
Volume: 763
Pages: 221–222

Head Matter:
UNITED STATES of America, Appellee, v. Peter S. GRIMM, Dominick P. Carollo, Steven E. Goldberg, Defendants-Appellants, UBS AG, UBS Securities LLC, UBS Financial Services, Inc., Intervenors.
Nos. 12-4310 (Lead), 12-4365(Con), 12-4371(Con).
United States Court of Appeals, Second Circuit.
Aug. 15, 2014.
James J. Fredericks, United States Department of Justice, Washington, DC, (Brent Snyder, Deputy Assistant Attorney General, Finnuala K. Tessier, United States Department of Justice, Washington, DC; Antonia R. Hill, Steven Tugander, United States Department of Justice, New York, N.Y., on the brief), for Appellee.
Howard E. Heiss, O’Melveny & Myers LLP, New York, N.Y. (Jonathan D. Hacker, Anton Metlitsky, Deanna M. Rice, Mark A. Racanelli, on the brief), for De-fendanb-Appellant Grimm.
James R. Smart, McElroy, Deutsch, Mulvaney & Carpenter LLP, Morristown, NJ (Walter F. Timpone, on the brief), for Defendant-Appellant Carollo.
David C. Frederick, Kellogg, Huber, Hansen, Todd, Evans & Figel, P.L.L.C., Washington, DC (Brendan J. Crimmins, Emily T.P. Rosen, Andrew E. Goldsmith, Kellogg, Huber, Hansen, Todd, Evans & Figel, P.L.L.C., Washington, DC; John S. Siffert, Daniel M. Gitner, Lanker Siffert & Wohl LLP, New York, N.Y., on the brief), for Defendant-Appellant Goldberg.
PRESENT: ROBERTA. KATZMANN, Chief Judge, DENNIS JACOBS, JOSÉ A. CABRANES, ROSEMARY S. POOLER, REENA RAGGI, RICHARD C. WESLEY, PETER W. HALL, GERARD E. LYNCH, DENNY CHIN, RAYMOND J. LOHIER, JR., SUSAN L. CARNEY, and CHRISTOPHER F. DRONEY, Circuit Judges.
Circuit Judge Debra Ann Livingston recused herself from these proceedings.

Opinion:
ORDER
Following disposition of this appeal on December 9, 2013, an active judge of the Court requested a poll on whether to rehear the case en banc. A poll having been conducted and there being no majority favoring en banc review, rehearing en banc is hereby DENIED.
GERARD E. LYNCH, Circuit Judge, joined by REENA RAGGI, PETER W. HALL, and RAYMOND J. LOHIER, JR., Circuit Judges, dissents by opinion from the denial of rehearing en banc.