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IN THE UNITED STATES COURT OF FEDERAL CLAIMS __________________________________________ ) ) ) ) Plaintiffs, ) ) and ) ) FEDERAL DEPOSIT INSURANCE ) CORPORATION, ) Plaintiff-Intervenor, ) ) v. ) ) THE UNITED STATES OF AMERICA, ) ) Defendant. ) __________________________________________) AMBASE CORPORATION AND CARTERET BANCORP, INC.
Case No. 93-531C (Senior Judge Loren Smith)
DEFENDANT'S REVISED EXHIBIT LIST Defendant, the United States, respectfully submits the attached revised list of exhibits to be used at trial, other than those to be used for impeachment or rebuttal. We hereby reserve the right to offer any exhibit listed on the exhibit lists filed by plaintiffs and plaintiff-intervenor, which we incorporate by reference, and to supplement or amend this list in accordance with the Rules and Orders of this Court, by stipulation, or to rebut or address testimony offered by plaintiffs or plaintiff-intervenor.
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Respectfully submitted,
MICHAEL F. HERTZ Deputy Assistant Attorney General
JEANNE E. DAVIDSON Director s/ Kenneth M. Dintzer KENNETH M. DINTZER Assistant Director TAREK SAWI Senior Trial Counsel s/ David A. Levitt by Elizabeth M. Hosford DAVID A. LEVITT ARLENE PIANKO GRONER ELIZABETH M. HOSFORD F. JEFFERSON HUGHES DELISA SANCHEZ AMANDA TANTUM Trial Attorney Commercial Litigation Branch Civil Division U.S. Department of Justice 1100 L Street, NW Washington, DC 20005 Tel: (202) 307-0309 Fax: (202) 514-7969 February 8, 2008 Attorneys for Defendant
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CERTIFICATE OF FILING I hereby certify that on this 8th day of January 2008, a copy of the foregoing "DEFENDANT'S REVISED EXHIBIT LIST" was filed electronically. I understand that notice of this filing will be sent to all parties by operation of the Court's electronic filing system. Parties may access this filing through the Court's system.
s / Elizabeth M. Hosford Elizabeth M. Hosford
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 4 Date 03/17/1992 Bates Range ADIIS Range WOQ679 1376 - 1376 Description
MEMO FROM ROBERT ALBANESE TO FILE RE CARTERET RECAPITALIZATION, CARTERET SAVINGS BANK FA, 3/17/1992 MEMO FROM BRENT BEESLEY TO FHLBB RE FSLIC ASSISTED MERGER OF BARTON S&LA AND UNASSISTED SUPERVISORY MERGER OF FIRST FS&LA OF DELRAY BEACH INTO CARTERET S&LA, FA, 9/30/1982 CARTERET SAVINGS BANK, FA V. OTS, FHLBB, T. TIMOTHY RYAN, JR. , FDIC AND FSLIC, OPINION, 04/25/1991
DX 19
09/30/1982
WOB011 0390 - 0402
DX 21
04/25/1991
C-AM-A-0403574 -0403627 WOP763 1843 - 1846
DX 22
03/01/1991
LTR FROM WILLIAM PURCELL TO CHARLES O'TOOLE, RE RESPONSE TO 2/27/1991 OTS LETTER, 3/1/1991 LTR FROM CLIVE CUMMIS TO JOHN GRIFFIN, RE BIANCO AND PURCELL RECOLLECTION OF TRANSACTION, 4/10/1991 MEMO FROM ROBERT O'BRIEN TO ROBERT WALSH RE TELEPHONE CALL FROM RICHARD KALIKOW, 4/22/1991 TIMETABLE FOR COMPLIANCE WITH SUPERVISORY AGREEMENT DATED APRIL 29, 1991 BETWEEN CARTERET SAVINGS BANK, FA AND OTS, 4/29/1991
DX 23
04/10/1991
WOQ653 0433 - 0435
DX 24
04/22/1991
AMB069603 - -069603
PAM009 0643 - 0643
DX 25
04/29/1991
WOQ653 0406 - 0411
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 26 Date 05/21/1991 Bates Range AM00064684 - -0064684 ADIIS Range RAM004 0005 - 0005 Description
LTR FROM ANGELO VIGNA, TO BOARD OF DIRECTORS CARTERET BANCORP, INC. AND CARTERET SAVINGS BANK, FA RE NOTICE OF NOMINATIONS OF RICHARD BIANCO, RONALD BURNS AND DONALD KRAMER AS DIRECTORS OF CARTERET BANCORP, INC. AND CARTERET SAVINGS BANK, FA, 5/21/1991 FAX OF LETTER FROM ROBERT WALSH TO ANGELO VIGNA, RE NOTICE PURSUANT TO SECTION 914 OF FIRREA, CARTERET SAVINGS FA, 5/22/1991 MEMO OF ORAL COMMUNICATION, OTS NO. 4702, BY MICHAEL FINN, OF NOTES FROM MEETING WITH WITH RICHARD BIANCO, CARTERET SAVINGS FA AND VIGNA/ALBANESE/SIMONE, OTS-NE, RE GENERAL DISCUSSION, CARTERET SAVINGS BANK, FA, 5/31/1991 EXECUTED EMPLOYMENT AGREEMENT DATED JUNE 1, 1991 BETWEEN AMBASE CORPORATION AND RICHARD A. BIANCO, AMBASE CORPORATION, 6/1/1991
DX 27
05/22/1991
WOQ685 0274 - 0274
DX 29
05/31/1991
WOQ685 1769 - 1769
DX 30
06/01/1991
WOQ642 1815 - 1822
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 32 Date 06/05/1991 Bates Range AMB33494 - AMB33495 ADIIS Range PAM010 1186 - 1187 Description
FAX OF LTR FROM RANDOLPH ELKINS TO RICHARD BIANCO AND ROBERT WALSH RE SUPERVISORY DIRECTIVE ON BONUSES AND OTHER COMPENSATION ARRANGEMENTS, ONGOING BONUS/INCENTIVES/SEVERENCE ARRANGEMENTS, 6/5/1991 MEMO FROM ROBERT CYCON TO RICHARD BIANCO RE POTENTIAL SALE OF IMPERIAL PREMIUM FINANCE, INC., IMPERIAL PREMIUM, 6/20/1991 LTR FROM GEO. T. SCHARFFENBERGER TO MR. RICHARD BIANCO, RE RESTRICTED STOCK AWARD, 6/25/1991 LTR FROM RICHARD BIANCO TO WILLIAM PURCELL RE AGREEMENT TO RENDER FINANCIAL ADVISORY SERVICES TO AMBASE CORPORATION, 6/25/1991 LTR FROM DONALD KRAMER TO MICHAEL SIMONE RE EMPLOYMENT AGREEMENT WITH RICHARD BIANCO, KCP HOLDING COMPANY, 7/10/1991 FAX AMBASE CORP. NEWS RELEASE ANNOUNCING "AMBASE AND KOHLBERG & CO. SIGN LETTER OF INTENT FOR CARTERET SAVINGS BANK RECAPITALIZATION, 7/20/1992
DX 36
06/20/1991
AMB069903 - -069903
PAM009 0685 - 0685
DX 37
06/25/1991
WOQ690 0873 - 0874
DX 38
06/25/1991
WOQ642 1827 - 1828
DX 39
07/10/1991
WOQ674 2036 - 2037
*DX 40
07/20/1991
WOP332 0803 - 0804
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 41 Date 07/22/1991 Bates Range ADIIS Range WOQ692 2227 - 2232 Description
MEMO FROM WILLIAM PURCELL TO RICHARD BIANCO RE SUMMARY REPORT OF ATTEMPT TO SELL IMPERIAL PREMIUM FINANCE ("IPF"), CARTERET SAVINGS FA, 7/22/1991 MEMO FROM WAYNE MOOR TO RICHARD BIANCO RE PORTFOLIO ANALYSIS, CARTERET SAVINGS BANK FA, 8/8/91 LTR FROM VAUGHN BLAKE AND JOHN QUIRK TO RICHARD BIANCO RE PROGRESS IN THE FINANCING ARRANGEMENTS FOR AMBASE CORPORATION TO PURCHASE THE COMMON STOCK OF IMPERIAL PREMIUM FINANCE, INC. FOR $65.0 MILLION, AMBASE CORPORATION, 8/9/1991 LTR FROM VAUGHN BLAKE TO RICHARD BIANCO RE REVISED FEE ARRANGEMENT, AMBASE CORPORATION, 8/12/91 MEMO FROM GEORGE HERGER TO THE FILE RE 8/13/91 MEETING WITH NEW MANAGEMENT, CARTERET SAVINGS BANK FA, 8/16/91 LTR FROM DAVID MAUGHAN TO RICHARD BIANCO RE KIDDER PEABODY'S FINANCIAL AND MARKETING PROPOSAL FOR RECAPITALIZATION, CARTERET SAVINGS BANK FA, 10/22/91
*DX 44
08/08/1991
WOQ666 1770 - 1772
DX 45
08/09/1991
WOQ674 1899 - 1900
DX 46
08/12/1991
AM00047287 - -00047288
RAM002 2843 - 2844
DX 47
08/16/1991
WOQ690 2385 - 2386
DX 49
10/22/1991
WOT692 1486 - 1487
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 51 Date 11/12/1991 Bates Range ADIIS Range WOQ653 0672 - 0672 Description
LTR FROM NGAIRE CUNEO TO RICHARD BIANCO RE GE CAPITAL REQUEST TO BE CONSIDERED AS A CARTERET SAVINGS BANK POTENTIAL INVESTOR, CARTERET SAVINGS BANK FA, 11/12/91 MEMO FROM MICHAEL SIMONE TO FILE RE 11/19/91 CONFERENCE CALL TO DISCUSS AMERICAN STOCK TRANSFER AND TRUST COMPANY'S INTEREST IN INFUSING CAPITAL INTO CARTERET FEDERAL SAVINGS BANK, CARTERET SAVINGS BANK FA, 12/16/91 LTR FROM STEVEN GOULART TO RICHARD BIANCO RE SUMMATION OF 12/20/1991 TELEPHONE CONVERSATION CONCERNING MERRILL LYNCH'S FINANCIAL PROPOSAL FOR THE MERGER OF CARTERET AND AMERICAN STOCK TRANSFER AND RAISING CAPITAL, CARTERET SAVINGS BANK FA, 12/23/1991 LTR FROM MICHAEL KARFUNKEL TO AMBASE CORPORATION, ATTENTION RICHARD BIANCO, RE CONFIRMATION OF RECENT DISCUSSIONS REGARDING CONTINUING INTEREST IN MERGING WITH CARTERET, CARTERET SAVINGS BANK, 12/20/91
DX 52
12/16/1991
WOQ653 2330 - 2331
DX 53
12/23/1991
AMB0010598 AMB0010599
PAM002 3131 - 3132
DX 54
12/20/1991
AMB0010593 - -0010593
PAM002 3126 - 3126
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 55 Date 02/19/1992 Bates Range ADIIS Range WOP332 2016 - 2017 Description
ARTICLE FROM THE RECORD 2/19/1992 REPORTING ON CARTERET'S QUEST FOR AN ADDITIONAL $150-200 MILLION IN NEW CAPITAL, CARTERET SAVINGS BANK FA, 2/19/99 MEMO FROM RICHARD BIANCO TO AMBASE DIRECTORS, SENIOR OFFICERS AND ADVISORS RE CONTACT WITH OTS AND FDIC, CARTERET SAVINGS BANK FA, 3/9/92 MEMO FROM JOHN FLEMING TO RICHARD BIANCO RE WESTERN FEDERAL SAVINGS AND LOAN, CARTERET SAVINGS BANK FA, 5/29/92 FAX TRANSMITTAL FROM MERRILL LYNCH TO DICK BIANCO AND NEIL COHEN, K. ALBERT RE DRAFT OF PRESENTATION TO THE BOARD OF DIRECTORS, AMBASE CORPORATION 7/15/92 LTR OF INTENT FROM KOHLBERG & COMPANY TO AMBASE CORPORATION RE PURCHASE OF CARTERET SAVINGS BANK FA BY NEWCO, AMBASE CORPORATION, 7/17/92 MEMO FROM PURCELL TO BIANCO AND COHEN RE LISTING OF LARGE AMBASE COMMON SHAREHOLDERS, AMBASE, 7/29/99
DX 56
03/09/1992
AMB068452 - -068452
PAM007 0351 - 0351
DX 57
05/29/1992
C-AM-A-0323526 -0323526
CAM244 0036 - 0036
DX 61
07/15/1992
C-AM-A-0178726 -0178733
CAM132 0921 - 0928
*DX 62
07/17/1992
AMB071894 - -071897
PAM007 1765 - 1768
DX 63
07/29/1992
AMB071861 - -071862
PAM009 1735 - 1736
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 64 Date 08/27/1992 Bates Range ADIIS Range WOQ679 0692 - 0695 Description
MEMO FROM TOM O'ROURKE TO JOHN GRIFFIN, SCOTT SMITH, AND EXAMINATION/SUPERVISORY FILES RE 8/24/1992 MEETING RECAP, CARTERET SAVINGS BANK FA, 8/27/92 LTR FROM MICHAEL ZAMORSKI RE CARTERET SAVINGS BANK, F.A., 8/28/92 SEC SCHEDULE 13D, AMBASE CORPORATION, 11/9/90 LISTING OF SHARES OWNED BY OFFICERS, DIRECTORS UNDER PLANS OF THE COMPANY AND MAJOR STOCKHOLDERS AS OF 6/30/1992, AMBASE CORPORATION, 8/11/92 LTR FROM KPMG PEAT MARWICK TO CARTERET SAVINGS BANK, FA RE AUDIT OF THE CONSOLIDATED FINANCIAL STATEMENTS OF CARTERET SAVINGS BANK, FA AND SUBSIDIARIES FOR THE YEAR ENDED DECEMBER 31, 1990, CARTERET SAVINGS BANK, FA, 7/8/91 CONFIDENTIAL REPORT OF FINDINGS RE CARTERET SAVINGS BANK SUBMITTED TO KOHLBERG & CO BY LYONS, ZOMBACK & OSTROWSKI, INC., CARTERET SAVINGS BANK, 8/21/99
DX 65 DX 69 DX 70
08/28/1992 11/09/1990 08/11/1992
FAM002 1081 - 1085 WOR648 0235 - 0245 WOQ642 1831 - 1831
DX 84
07/08/1991
FAM002 2361 - 2365
*DX 95
08/21/1992
K000001 - K000056
WOP338 1374 - 1429
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 110 Date 06/06/1986 Bates Range ADIIS Range WOR064 0001 - 0097 Description
ASSISTANCE AGREEMENT BETWEEN FSLIC AND CARTERET SAVINGS BANK, F.A., DATED JUNE 6, 1986 CARTERET SAVINGS BANK, F.A., AGENDA FOR SPECIAL BOARD OF DIRECTORS MEETING, FEBRUARY 13, 1990
DX 112
02/13/1990
AM001423 - AM001426
DX 113
10/03/1989
WOQ682 1050 - 1054
MEMO: FROM CLAIRE M. CHADWICK, MANAGER-EXTERNAL REPORTING, TO WILLIAM J. DAY, FDIC EXAMINER-IN-CHARGE, RE: CARTERET SAVINGS BANK AND SUBSIDIARIES FINANCIAL STATEMENTS, JUNE 30, 1989 MEMO: FROM CLAIRE M. CHADWICK, MANAGER- EXTERNAL REPORTING, TO WILLIAM J. DAY, FDIC EXAMINER-IN-CHARGE, RE: CARTERET SAVINGS BANK AND SUBSIDIARIES FINANCIAL STATEMENTS AUGUST 31, 1989 MEMO: FROM WILLIAM J. DAY, JR., EXAMINER, TO THE FILES RE: CARTERET SAVINGS BANK REGARDING GENERAL DEVELOPMENT CORPORATION AND POSSIBLE INSIDER INVOLVEMENT WITH PRINCIPALS OF AMBASE VIA PREVIOUS RELATIONSHIP WITH CITY INVESTING COMPANY
DX 114
10/13/1989
WOQ682 1047 - 1049
DX 115
08/01/1990
WOT692 1148 - 1152
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 116 Date 08/06/1990 Bates Range ADIIS Range WOQ682 1471 - 1471 Description
MEMO: FROM WILLIAM J. DAY, JR., EXAMINER, TO NICHOLAS J. KETCHA, JR., REGIONAL DIRECTOR RE: CARTERET SAVINGS BANK INTERIM REPORT MEMO: FROM WILLIAM J. DAY, JR. TO NICHOLAS J. KETCHA, JR. RE: CARTERET SAVINGS BANK MEMO: FROM WILLIAM J. DAY, JR., EXAMINER, TO "THE FILES" RE: CARTERET SAVINGS BANK MEMO: FROM WILLIAM J. DAY, JR., EXAMINER, TO LEE SMITH, CONTROLLER, RE: CAPITAL (REGULATORY CAPITAL COMPUTATION) MEMO: FROM JEFFREY J. CARFORA, VICE PRESIDENT / ASSISTANT CONTROLLER, TO WILLIAM J. DAY, JR., FDIC EXAMINER, RE: CAPITAL (REGULATORY CAPITAL COMPUTATION) LTR: FROM CARTERET SAVINGS BANK TO DANIEL DIONNE, ASSISTANT REGIONAL DIRECTOR, FDIC RE: BOARD OF DIRECTORS MEETING FOR FDIC PRESENTATION OF ITS 1990 EXAMINATION REPORT
DX 117
08/13/1990
WOQ682 1467 - 1467
DX 118
09/06/1990
WOQ682 1446 - 1446
DX 119
09/11/1990
WOQ682 1445 - 1445
DX 120
09/25/1990
AM018960 - -018965
DX 122
04/10/1991
AM048913 - -048915
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 129 Date 07/31/1991 Bates Range ADIIS Range CAM387 0216 - 0217 Description
LTR: FROM JOHN MCGRORY, COMPLIANCE EXAMINATION MANAGER, TO THE BOARD OF DIRECTORS OF CARTERET SAVINGS BANK RE: COMMENTS AND SUGGESTIONS BASED ON REPORT OF COMPLIANCE EXAMINATION AS OF DECEMBER 10, 1990 LTR: FROM NICHOLAS J. KETCHA, JR., REGIONAL DIRECTOR FOR FDIC, TO ANGELO A. VIGNA RE: MEETING WITH BOARD OF DIRECTORS HELD ON APRIL 22, 1991 LTR: FROM NICHOLAS J. KETCHA, JR., REGIONAL DIRECTOR FOR FDIC TO ANGELO A. VIGNA, REGIONAL DIRECTOR, OTS AND CARTERET BOARD OF DIRECTORS RE: CARTERET SAVINGS BANK, FA LTR: FROM DONALD KRAMER TO RICHARD L. BRAUN, ARTHUR E. GILGAR, CHARLES J. MCCABE, LEO O. MCCABE, ROBERT E. MCCARTHY AND ROBERT C. WALSH RE: REPAYMENT OF BONUSES FOR THE FISCAL YEAR ENDED DECEMBER 31, 1990
DX 130
04/29/1991
WOT671 0671 - 0672
DX 131
06/28/1991
WOQ698 1429 - 1431
DX 135
11/27/1991
WOQ653 0053 - 0058
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 140 Date 12/04/1987 Bates Range ADIIS Range WOR060 2467 - 2469 Description
LTR: FROM A. PATRICK DOYLE TO OFFICE OF THE SECRETARY AT FHLBB CC: BRIAN D DITTENHAFER, PRINCIPAL SUPERVISORY AGENT FOR THE FHLBB OF NEW YORK RE: APPLICATION OF THE HOME GROUP, INC TO ACQUIRE CARTERET BANCORP AND ITS WHOLLY OWNED SUBSIDIARY CARTERET SAVINGS BANK, FA INTEROFFICE MEMO: FROM PAMELA BISHOP TO BRIAN DITTENHAFER, ANGELO VIGNA, BILL DURBIN, ROY N. JENSEN, MICHAEL SIMONE AND DAVID DORGAN RE: CARTERET SAVINGS BANK INFORMATIONAL REPORT MEMO: FROM DARREL W DOCHOW TO PROFESSIONAL STAFF- EXAMINATIONS AND SUPERVISION
DX 147
07/19/1989
WOQ652 2120 - 2123
DX 153
06/17/1988
GF0028472 - -0028487
DX 156
11/09/1988
OGC006 1478 - 1479
MEMO: FROM JONATHAN L FIECHTER TO DIRECTORS OF AGENCY FUNCTIONS RE: PROPOSED RISK-BASED CAPITAL RULE: IMPACT BY DISTRICT BANK MEMO: FROM JONATHAN L. FIECHTER, DEPUTY EXECUTIVE DIRECTOR TO CHAIRMAN WALL RE: THRIFT INDUSTRY LIQUIDITY STATISTICS
DX 159
02/06/1989
OGC061 0346 - 0347
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 164 Date 11/06/1989 Bates Range GF0024673 - -0024680 ADIIS Range Description
THRIFT BULLETIN,TB 36A, SECTION 320 SUBJECT: CAPITAL ADEQUACY; HANDBOOK: THRIFT ACTIVITIES RE: GUIDELINES FOR FIRREA CAPITAL PLANS, EXEMPTIONS AND EXCEPTIONS MEMO: FROM JOHN F. ROBINSON TO DARREL W. DOCHOW THROUGH JONATHAN FIECHTER RE: POLICY STATEMENT ON REGULATORY CAPITAL MAINTENANCE OBLIGATIONS OF SAVINGS AND LOAN HOLDING COMPANIES FSLIC AMENDMENT NO. 1 TO APPLICATION H-(D)2 WITH A COPY TO DOUGLAS P. FAUCETTE, ESQ, MULDOON, MURPHY & FAUCETTE THRIFT FINANCIAL REPORT, CARTERET SAVINGS BANK, FA, AS OF JUNE 30, 1988 WOP334 0685 - 0686 INTEROFFICE MEMO: FROM ROBERT C. ALBANESE TO "THE FILE" RE: CARTERET SAVINGS BANK, FSB, CONFERENCE CALL WITH JONATHAN FIECHTER, DEPUTY DIRECTOR FOR WASHINGTON OPERATIONS
DX 166
05/XX/1988
SMO170343 - -O170345
DX 169
05/11/1988
AMB046218 - -046248
DX 174 DX 191
06/30/1988 11/17/1992
AMB019591 - -019600
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 197 Date 05/26/1994 Bates Range ADIIS Range WOP299 1684 - 1686 Description
LTR: FROM JOHN F. DOWNEY, DEPUTY DIRECTOR FOR REGIONAL OPERATIONS, TO JOHN W. HARSHAW, PRESIDENT OF AMERICAN LEAGUE OF FINANCIAL INSTITUTIONS, CC: JOHNNIE BOOKER RE: RESPONSE TO LETTER OF MAY 16 ADDRESSED TO MS. JOHNNIE BOOKER, VICE PRESIDENT FOR THE DIVISION OF MINORITY AND WOMEN'S PROGRAMS AT THE RESOLUTION TRUST CORPORATION INTEROFFICE MEMO: FROM MICHAEL E. FINN TO JOHN F. DOWNEY, SHANNON E. PRITCHARD CC: STEPHEN E. HART, ANGELO A. VIGNA, ROBERT C. ALBANESE, MICHAEL L. SIMONE AND JOHN C. GRIFFIN RE: CARTERET VIABILITY ANALYSIS MEMO: OF ORAL COMMUNICATION BY MICHAEL FINN WITH LEE SMITH, CONTROLLER, JEFF CARFORA, ASSISTANT CONTROLLER AND HENRY KEIZER, KPMG AUDIT MANAGER ORIGINATOR, JOHN GRIFFIN/MICHAEL FINN RE: IMPACT OF OTS ACCOUNTING ISSUES ON KPMG'S AUDIT REPORT OF CARTERET AS OF 12/31/90; SUMMARY OF 3/28/91 MEETING MINUTES BUSINESS PLAN - CAPITAL GROWTH; CARTERET SAVINGS BANK, FA, JUNE 04,1990
DX 201
03/08/1991
WOP326 0177 - 0186
DX 210
04/04/1990
WOQ685 0115 - 0116
DX 211
06/04/1990
WOQ682 1555 - 1557
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 214 Date 11/19/1990 Bates Range ADIIS Range WOT671 0260 - 0262 Description
INTERNAL MEMO: FROM MICHAEL FINN, OPERATIONS, AND ELAINE KILLOUGH, OPERATIONS, TO JOSEPH LONGINO, CORP. ACTIVITIES, RE: OPERATIONS REQUEST FOR ADDITIONAL INFORMATION: CARTERET APPLICATION TO OFFER BROKERAGE SERVICES THROUGH A WHOLLY-OWNED SUBSIDIARY REGULATORY PLAN REPORT INTERNAL MEMO: FROM MICHAEL FINN TO "THE FILE" RE: CARTERET SAVINGS BANK, FA USE OF A CAPITAL DIRECTIVE IN LIEU OF RB3A-1 "GREATER RESTRICTIONS" LTR FROM JOHN C. GRIFFIN TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA CC: NANCY HALL, FDIC REGIONAL OFFICE RE: REPORT OF EXAMINATION CONDUCTED ON JUNE 15, 1992
DX 215 DX 217
01/03/1991 02/13/1991
WOP326 0341 - 0374 WOQ678 0058 - 0058
DX 222
08/20/1992
AMBNP029157 - -029199
DX 225
05/11/1987
WOM071 0003 - 0005
FHLBB MEMO FROM STEVEN DAVIDSON, CARLOS FIOL, REGIONAL DIRECTORS, AED TO JACK REID, DIRECTOR, AED RE: PROPOSED APPROACH FOR PROVIDING RANGES ON COST ESTIMATES
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 229 Date 01/13/1989 Bates Range ADIIS Range WSJ048 2357 - 2358 Description
INTEROFFICE MEMO: FROM CARLOS FIOL TO STUART ROOT CC: MITCHELL STANLEY, JIM WILLIAMS, DENNIS M. PITTMAN AND JAY EARLE RE: COST OF FSLIC CASE SOLUTION COMPARISONS. FHLBB MEMO: FROM CARLOS M. FIOL, FINANCIAL ANALYST, AED TO TONY SAMSON, FINANCIAL ANALYST, MAD RE: FIRST FS&LA OF MONTGOMERY COUNTY BLACKSBURG, VA FHLBB NO 1210 VIABILITY ANALYSIS. MEMO: FROM ALVIN W. JAMES TO CARLOS M. FIOL AND ELENA Y. JOHNSON RE: CARTERET NON-CONFORMING BIDS MEMO: FROM ALVIN W. JAMES TO JAY A. JUPITER, SHARON DUNN YORE, CARLOS M. FIOL AND ELENA Y. JOHNSON RE: CARTERET ADDENDUM - ASSET VALUATION REVIEW CARTERET FSB, PARSIPPANY, NJ, DECEMBER 31,1993 RTC MEMO: FROM JAY A. JUPITER, ASSISTANT DIRECTOR, MAJOR RESOLUTION TO J.PAUL RAMEY, VICE PRESIDENT, DIVISION OF RESOLUTION THRU: HERBERT J. HELD, DIRECTOR, MAJOR RESOLUTION RE: CARTERET FSB, FAILING THRIFT CASE.
DX 233
05/30/1986
WFZ015 1501 - 1501
DX 236
09/01/1994
C-AM-A-0088916 -0088916 C-AM-A-0014333 -0014333 C-AM-A-0131815 -0131815 C-AM-A-0088034 -0088039
DX 237
09/02/1994
DX 240
12/31/1993
DX 245
12/31/1994
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 253 Date 11/20/1991 Bates Range C-AM-A-0213904 -0213911 C-AM-A-0181314 -0181326 AM00081250 - -00081266 ADIIS Range CAM152 1282 - 1289 Description
MEETING MINUTES, CARTERET SAVINGS BANK BOARD OF DIRECTORS, OTS 1991 EXAMINATION PRESENTATION MEETING MINUTES, BOARD OF DIRECTORS MEETING; CARTERET SAVINGS BANK, FA MEMO: FROM JOHN F. FLEMING, SENIOR VICE PRESIDENT AND AUDITOR, TO THE CARTERET SAVINGS BANK AUDIT COMMITTEE, MESSRS. BEAN, BURNS AND MS. FITTS RE: LOAN REVIEW - WESTERN FEDERAL SAVINGS AND LOAN PRELIMINARY REPORT TO BOARD OF DIRECTORS REGARDING INVESTIGATION OF FORMER OFFICERS AND DIRECTORS EXAMINER MEMO: FROM THOMAS J. O'ROURKE TO ANGELO A. VIGNA, REGIONAL DIRECTOR, ROBERT C. ALBANESE, REGIONAL DEPUTY DIRECTOR, MICHAEL L. SIMONE, ASSISTANT DIRECTOR II, JOHN C. GRIFFIN, ASSISTANT DIRECTOR I, SCOTT B. SMITH, FIELD MANAGER AND SUPERVISORY FILES RE: RESOLUTION CERTIFICATION LTR: FROM CARTERET, S.B. TO JOHN C. GRIFFIN RE: EXAMINATION COMMENT STATUS REPORT UPDATE DATED MARCH 1, 1991.
DX 261 DX 264
07/29/1992 05/29/1992
CAM134 0669 - 0681 RAM037 0078 - 0094
DX 266
05/19/1992
C-AM-A-0361954 CAMA0361987
CAM279 0001 - 0034
DX 279
10/16/1992
WOP325 0265 - 0267
DX 287
03/01/1991
AMB025923 AMB025932
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 292 Date 04/19/1991 Bates Range ADIIS Range WOQ685 0034 - 0036 Description
INTERNAL MEMO: FROM MICHAEL FINN TO MICHAEL SIMONE RE: CARTERET OPERATING EXPENSE ANALYSIS EXAMINER MEMO: FROM TOM O'ROURKE, EXAMINER III, TO JOHN GRIFFIN, ASSISTANT DIRECTOR, RE: INTERIM REPORT NO. 1 LTR: FROM JOHN C. GRIFFIN, ASSISTANT DIRECTOR TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK RE: EMPLOYMENT CONTRACT AND ADVANCE OF ROBERT O'BRIEN
DX 295
05/16/1991
C-AM-A-0018987 -0018988 C-AM-A-0388695 -0388696
DX 296
06/14/1991
DX 298
07/10/1991
WOP338 1268 - 1270
INTEROFFICE MEMO: FROM MICHAEL FINN TO RICHARD RIESE RE: CARTERET BACKGROUND CONCERNING SPECIAL COMP ISSUES LETTER FROM JOHN C. GRIFFIN TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: APPRAISAL OF IMPERIAL PREMIUM FINANCE, INC. DATED JULY 25, 1991 LETTER FROM DONALD KRAMER TO JOHN C. GRIFFIN RE: OFFICIAL PROPOSAL MADE BY AMBASE CORPORATION TO PURCHASE IMPERIAL PREMIUM FINANCE FROM CARTERET FOR A NET CASH CONSIDERATION OF $45 MILLION
DX 300
08/27/1991
KH017780 - -017781
DX 303
03/26/1992
C-AM-A-0402058 -0402059
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 304 Date 03/30/1992 Bates Range ADIIS Range WOP332 0455 - 0456 Description
INTEROFFICE MEMORANDUM FROM TOM O'ROURKE TO JOHN C. GRIFFIN, SCOTT B. SMITH AND MICHAEL E. FINN RE: NEW IPF SALE OFFER LETTER FROM JOHN C. GRIFFIN, ASSISTANT DIRECTOR TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: COMMENTS AND RECOMMENDATIONS BASED ON REPORT OF EXAMINATION AS OF JUNE 17, 1991
DX 305
11/12/1991
AMBNP001194 - -001246
DX 307
12/26/1991
WOP333 0623 - 0623
MEMORANDUM FROM MICHAEL E. FINN TO JOHN C. GRIFFIN RE: REVIEW OF CARTERET'S RESPONSE TO OTS'S REPORT OF EXAMINATION AND COMMENT STATUS REPORT LETTER FROM STANLEY MOHR, SENIOR VICE PRESIDENT TO JOHN C GRIFFIN, ASSISTANT DIRECTOR RE: CARTERET SAVINGS BANK CAPITAL DIRECTIVE (SALES - $5 MILLION OR MORE); INTENDED SALE OF PROPERTY COMMONLY REFERRED TO AS FOXMOOR LETTER FROM JOHN C. GRIFFIN TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: MULTI-FAMILY LOAN PURCHASE
DX 310
07/01/1992
C-AM-A-0300436 -0300437
*DX 311
03/18/1992
KH010410 - -010410
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 312 Date 05/20/1992 Bates Range ADIIS Range WOT707 1014 - 1014 WOP333 0450 - 0450 Description
INTEROFFICE MEMORANDUM FROM: THOMAS J. O'ROURKE TO: JOHN C. GRIFFIN, DONALD S. HOM, WALTER E. AMEND, SONIA J. CALLAHAN, STEPHEN D. ROHRS, RUTH ANN ESPOSITO, TIMOTHY P. MURPHY AND KATHLEEN A. SCHAUER RE: STATUS UPDATE ON MULTI-FAMILY LOAN PORTFOLIO PURCHASED FROM WESTERN FS&LA, CARTERET SB, FA. INTEROFFICE MEMORANDUM FROM TOM O'ROURKE TO JOHN C. GRIFFIN, SCOTT B. SMITH, MICHAEL L. SIMONE, AND DONALD S. HOM RE: CSB PROFITABILITY ANALYSIS EXAMINER MEMORANDUM FROM THOMAS J. O'ROURKE, EXAMINER TO ANGELO A. VIGNA, REGIONAL DIRECTOR, ROBERT ALBANESE, REGIONAL DEPUTY DIRECTOR, MIKE SIMONE, ASSISTANT DIRECTOR II, JOHN C. GRIFFIN, ASSISTANT DIRECTOR I, SCOTT B. SMITH, FIELD MANAGER, MIKE FINN, EXAMINER AND SUPERVISORY FILESCARTERET SAVINGS BANK, FA RE: STATUS REPORT - COMMERCIAL ASSETS DIVISION 6/30/92 RESULTS-PRELIMINARY
DX 314
06/02/1992
WOP333 0462 - 0466
DX 316
07/07/1992
WOP317 1640 - 1641
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 332 Date 03/22/1983 Bates Range C-AM-A-0212578 -0212582 ADIIS Range Description
CARTERET SAVINGS AND LOAN ASSOCIATION, FA AND SUBSIDIARIES, NEWARK, NJ CONSOLIDATED FINANCIAL STATEMENTS, SEPTEMBER 30, 1980, 1981 AND 1982 (WITH ACCOUNTANTS' REPORT THEREON) FHLBB MEMO FROM GENE HALL, PROBLEM AND REHABILITATION DIVISION TO SUPERVISORY AGENTS RE: PURCHASE ACCOUNTING IN FSLIC-ASSISTED MERGERS AND ACQUISITIONS WOR432 0199 - 0207 FHLBB MEMO FROM EDWARD J. O'CONNELL, III TO D. JAMES CROFT, DIRECTOR RE: FORBEARANCES LETTER FROM DOUGLAS P. FAUCETTE TO GENE L. HALL, CHIEF PROBLEM AND REHABILITATION DIVISION, FSLIC RE: BID OF CARTERET SAVINGS AND LOAN ASSOCIATION FA TO ACQUIRE FIRST FEDERAL SAVINGS AND LOAN ASSOCIATION OF DELRAY BEACH LETTER FROM JOSEPH P. KEHOE, ASSISTANT DIRECTOR TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK RE: DECEMBER 31, 1989 CLASSIFIED ASSETS AND LOSS RESERVE ANALYSIS PREPARED BY CARTERET SAVINGS BANK
DX 336
03/28/1983
SMO129226 - -129226
DX 337
03/02/1983
DX 342
08/24/1982
AMB000001 - -000002
PAM001 0080 - 0081
DX 361
03/05/1990
OAM004 0068 - 0069
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 362 Date 04/25/1990 Bates Range ADIIS Range WOT671 0401 - 0403 Description
LETTER FROM: JOSEPH P. KEHOE, ASSISTANT DIRECTOR TO: BOARD OF DIRECTORS CARTERET SAVINGS BANK RE: LETTER OF MARCH 5, 1990 REQUESTING THAT CARTERET INCREASE ITS GENERAL VALUATION ALLOWANCE; AND LETTER FROM: DOUGLAS J. CESTONE OF OTS TO ROBERT MCCARTHY EXEC. VICE PRESIDENT CARTERET RE: APPOINTMENT OF ROBERT L. WOODRUM TO THE BOARD OF DIRECTORS. LETTER FROM JOSEPH P. KEHOE TO BRUCE BEAN, AMBASE CORPORATION RE: LETTER DATED FEBRUARY 9, 1990 REGARDING CASH CONTRIBUTION MADE BY AMBASE CORPORATION INTO CARTERET SAVINGS BANK FAX MEMORANDUM FROM ROBERT E. MCCARTHY TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: OTSMANAGEMENT FEES PAID TO AMBASE CORPORATION
DX 363
03/22/1990
OAM004 0077 - 0077
DX 365
06/11/1990
AMBNP024187 - -024190
DX 368
08/08/1990
WOP334 0451 - 0455
EMAIL MESSAGE FROM ED MCQUOWN, OTS/WDC TO JOE KEHOE OTS/NEW YORK RE: CARTERET INFORMATION UPDATES
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 369 Date 08/10/1990 Bates Range ADIIS Range WOT692 1174 - 1179 Description
INTEROFFICE MEMORANDUM FROM JOSEPH P. KEHOE TO MICHAEL E. FINN CC: MICHAEL L. SIMONE, DAVID R. DORGAN, ROBERT C. ALBANESE AND ANGELO VIGNA RE: WASHDC REQUEST FOR UPDATE ON CARTERET INTEROFFICE MEMORANDUM FROM ED MCQUOWN TO KEHOEJF@A1@EAST CC: JAMES CATON AND ALVIN W. SMUZYNSKI RE: NEED MORE INFORMATION ON CARTERET/AMBASE INTEROFFICE MEMORANDUM FROM DAVID R. DORGAN TO JOSEPH P. KEHOE, ELAINE R. KILLOUGH, SCOTT B. SMITH, RUSSELL J. MEYER AND MICHAEL E. FINN RE: CARTERET $30MM OTS "CALL" INTEROFFICE MEMORANDUM FROM MICHAEL E. FINN TO ANGELO A. VIGNA, ROBERT C. ALBANESE, MICHAEL L. SIMONE, DAVID R. DORGAN, JOSEPH P. KEHOE, SCOTT B. SMITH, ELAINE R. KILLOUGH AND RUSSELL J. MEYER RE: AMBASE SALE OF HOME INSURANCE TO VIK BROTHERS.
DX 370
08/15/1990
WOQ620 2328 - 2329
DX 374
09/27/1990
WOP343 1015 - 1015
DX 376
10/03/1990
WOP334 0479 - 0480
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 377 Date 10/03/1990 Bates Range AM00014702 - -0014702 ADIIS Range Description
LETTER FROM JOSEPH P. KEHOE, ASSISTANT DIRECTOR TO BRUCE BEAN, EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL, AMBASE CORPORATION RE: AMBASE CAPITAL INFUSION WOP334 0465 - 0468 INTEROFFICE MEMORANDUM FROM JOSEPH P. KEHOE TO MICHAEL L. SIMONE, DAVID R. DORGAN CC: ROBERT C. ALBANESE AND ANGELO A. VIGNA RE: CARTERET UPDATE INTEROFFICE MEMORANDUM FROM JOSEPH P. KEHOE TO DAVID R. DORGAN RE: AMBASE/CARTERET INTEROFFICE MEMORANDUM FROM JAMES M. PORRECA TO DAVID R. DORGAN CC: MICHAEL E. FINN, JOSEPH P. KEHOE, ELAINE R. KILLOUGH, ROBERT C. ALBANESE, ANGELO A. VIGNA, FAITH S. HOCHBERG AND MICHAEL L. SIMONE RE: AMBASE $30MM ?? CAPITAL DEFICIENCIES
DX 378
10/11/1990
DX 379
10/26/1990
WOP343 1017 - 1018
DX 380
10/26/1990
WOP334 0464 - 0464
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 382 Date 03/07/1991 Bates Range AMB010074 - -010108 ADIIS Range Description
HAND WRITTEN NOTES FROM BRUCE BEAN TO GARY AND DAVE; ALSO LETTER FROM JOSEPH P. KEHOE TO THE BOARD OF DIRECTORS, AMBASE CORPORATION RE: COMMENTS AND RECOMMENDATIONS BASED ON REPORT OF EXAMINATION AS OF JUNE 4, 1990; REPORT OF EXAMINATION, AMBASE CORPORATION, DATE OF EXAMINATION JUNE 4, 1990 WOT671 0315 - 0315 LETTER FROM JOSEPH P. KEHOE TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: REGULATORY BULLETIN 3A-1 WITH COPIES OF THE BULLETIN ATTACHED. LETTER FROM JOSEPH P. KEHOE, ASSISTANT DIRECTOR TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK RE: CLASSIFICATION ADJUSTMENTS LETTER FROM RANDOLPH H. ELKINS TO ANGELO VIGNA, DISTRICT DIRECTOR, OTS NY RE: CARTERET SAVINGS BANK, FA REQUEST INFORMAL REVIEW OF REPORT OF EXAM. LETTER FROM JOSEPH P. KEHOE TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: RESPONSE TO JANUARY 25, 1991 LETTER AND REQUEST FOR ADJUSTMENTS TO RECORD PROVISIONS
DX 383
10/10/1990
AMBNP030843 AMBNP030844
DX 384
09/20/1990
AMBNP030822 - -030839
DX 391
12/20/1990
C-AM-A-0274283 -0274284
DX 393
01/29/1991
C-AM-A-0274415 -0274415
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 394 Date 02/14/1991 Bates Range AM014786 - -014795 ADIIS Range Description
OTS RESOLUTION NO. 91-1 DATED 02/14/91 "TEMPORARY ORDER TO CEASE AND DESIST" WOP333 0214 - 0216 LETTER FROM ANGELO A. VIGNA, REGIONAL DIRECTOR TO NICHOLAS J. KETCHA, JR, REGIONAL DIRECTOR, FDIC RE: QUESTIONS, CONCERNS AND ISSUES NOTES WITH RESPECT TO THE PROPOSAL BY AMBASE TO ISSUE A $30 MILLION NOTE TO SATISFY ITS OBLIGATION TO CARTERET SAVINGS BANK, FA LETTER FROM NICHOLAS J. KETCHA, JR, REGIONAL DIRECTOR, FDIC TO ANGELO A. VIGNA, REGIONAL DIRECTOR, OTS RE: CARTERET SAVINGS BANK, FA, MORRISTOWN, NJ LEGAL DRAFT, NOTICE OF INTENTION TO TERMINATE INSURED STATUS FINDINGS, AND ORDER SETTING HEARING FDIC -91, IN THE MATTER OF CARTERET SAVINGS BANK, FEDERAL ASSOCIATION, MORRISTOWN, NJ
DX 396
12/05/1990
DX 398
01/29/1991
WOQ699 0465 - 0467
DX 405
XX/XX/1991
WOR659 0031 - 0041
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 407 Date 05/21/1992 Bates Range ADIIS Range WOP332 0712 - 0712 Description
LETTER FROM NICHOLAS J. KETCHA JR., REGIONAL DIRECTOR, FDIC TO ANGELO A. VIGNA, REGIONAL DIRECTOR, OTS RE: CARTERET SAVINGS BANK FA REQUEST TO EXTEND APPROVED CAPITAL PLAN FOR 90 DAYS PAST THE SCHEDULED MAY 27, 1992 EXPIRATION DATE LETTER FROM NICHOLAS J. KETCHA, JR, REGIONAL DIRECTOR, FDIC TO ANGELO A. VIGNA, REGIONAL DIRECTOR, OTS RE: REQUEST TO EXTEND THE RECAPITALIZATION DEADLINE TO OCTOBER 15, 1992 LETTER FROM NICHOLAS J. KETCHA JR., REGIONAL DIRECTOR TO ANGELO A. VIGNA, REGIONAL DIRECTOR, OTS RE: CARTERET SAVINGS BANK FA, CONCERN OVER CONTINUING UNSAFE AND UNSOUND CONDITION OF CARTERET LETTER FROM DONALD KRAMER TO BRUCE W. BEAN, EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL, AMBASE CORPORATION RE: CARTERET ANALYSIS PRESS RELEASE; CARTERET BOOSTS RESERVES IMPERIAL PREMIUM FINANCE SALE EVALUATION PREPARED FOR OTS
DX 408
07/02/1992
WOP332 0758 - 0759
DX 412
11/02/1992
WOP334 0703 - 0706
DX 414
05/21/1990
AMB0011044 -B0011066
PAM002 3577 - 3599
DX 418 DX 419
XX/XX/XXXX 07/26/1991
WOP291 0518 - 0521 WOQ692 2182 - 2188
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 426 Date 11/20/1991 Bates Range AM00065167 - -00065174 ADIIS Range RAM004 0491 - 0498 Description
MEETING MINUTES (DRAFT) CARTERET SAVINGS BANK, FA BOARD OF DIRECTORS MEETING TRANSCRIPT, OTS 1991 EXAMINATION PRESENTATION INTERNAL MEMORANDUM FROM JOHN C. GRIFFIN, ASSISTANT DIRECTOR I TO FILE RE: SUMMARY OF MEETING WITH CARTERET SAVINGS BANK FA, OTS-DOCKET #04702 LETTER FROM RICHARD A. BIANCO, CHAIRMAN AND CEO AND DONALD KRAMER, VICE CHAIRMAN AND CFO TO NICHOLAS J. KETCHA, JR., REGIONAL DIRECTOR, FDIC RE: RESPONSE TO PREVIOUS LETTER DATED DECEMBER 10, 1991. LETTER FROM DONALD KRAMER TO DAVID DUPREE, PRINCIPAL, CARLYLE GROUP RE: BANK DATA AND FORECAST MEMORANDUM FROM KEVIN ALBERT TO DICK BIANCO RE: PENNSYLVANIA TEACHERS MEMORANDUM FROM ROBERT B. O'BRIEN, JR., CHAIRMAN TO ROBERT D. PIERSON, VICE CHAIRMAN AND ROBERT J. MUELLER, PRESIDENT RE: BUDGET CONSIDERATIONS
DX 427 DX 429
11/20/1991 11/06/1991
C-AM-A-0213912 -A0213965
CAM152 1290 - 1343 WOQ653 0277 - 0280
DX 430
01/14/1992
AM00048418 - -48424
RAM009 1750 - 1756
DX 432
09/30/1992
C-AM-A-0178322 -0178323 AMB070649 - -070649
CAM132 0505 - 0506
DX 435
08/10/1992
RAM023 0951 - 0951
DX 440
08/12/1987
C-AM-A-0383394 -0383396
CAM330 1125 - 1127
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 441 Date 10/12/1987 Bates Range AMB034833 - -034833 AMB027706 - -B027714 ADIIS Range PAM010 0976 - 0984 Description
MEMO FROM JACK R. PLAXE TO M. MANLEY, B.W.BEAN, J.J. MCHUGH, R.L. BRAUN, T.A. BABCOCK, WITH EXECUTIVE SUMMARY REPORT ON REVIEW PROCEDURES CARTERET SAVINGS BANK, FA AND SUBSIDIARIES LETTER FROM ROBERT B. O'BRIEN, JR. CHAIRMAN, CARTERET SAVINGS BANK TO MARSHALL MANLEY, PRESIDENT AND CEO, THE HOME GROUP INC. RE: HOME GROUP CONTRACTUAL OBLIGATIONS UNDER THE AGREEMENT AND PLAN OF REORGANIZATION DATED AUGUST 4, 1987 LETTER FROM MARSHALL MANLEY TO ROBERT B. O'BRIEN, JR., CHAIRMAN CARTERET BANCORP INC. RE: RESPONSE TO LETTER OF OCTOBER 22, 1987 LETTER FROM BRUCE BEAN, SENIOR VICE PRESIDENT AND GENERAL COUNSEL TO ROBERT B. O'BRIEN, JR. RE: RESPONSE TO OCTOBER 22 LETTER TO MARSHALL MANLEY NEWSPAPER ARTICLE FROM MIAMI REVIEW, THURSDAY NOVEMBER 19, 1987 VOL. 62 NO. 113
DX 443
10/22/1987
KH013674 - -13674
RAM020 0289 - 0289
DX 444
10/28/1987
KH013677 - -13677
RAM020 0292 - 0292
DX 445
10/28/1987
AMB0004106 - -0004108
PAM004 0233 - 0235
DX 446
11/19/1987
AMB044355 - -044356
PAM008 0421 - 0422
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 447 Date 12/14/1987 Bates Range AMB0005220 - -0005221 ADIIS Range PAM004 1347 - 1348 Description
LETTER FROM MARSHALL MANLEY TO HOME GROUP SHAREHOLDERS RE: STATUS REPORT ON THE CARTERET ACQUISITION AMBASE NEWS RELEASE: "CARTERET MEETS NEW FEDERAL CAPITAL STANDARDS" NEWS PAPER ARTICLE, FINANCIAL WORLD SECTION ARTICLE BY ALEXANDRIA BIESADA "WHAT EVER MANLEY TAKES, MANLEY BREAKS AND LITTLE AMBASE MANLEY BROKE YOU..." LETTER FROM AMBASE CORPORATION TO MARSHALL MANLEY RE: AGREEMENT LETTER REGARDING RESIGNATION AS A DIRECTOR AND EMPLOYEE OF AMBASE AMBASE ANNUAL REPORT 1989 - SPECIAL REPORT FHLBB MEMORANDUM FROM WALTER B. MASON, ASSISTANT REGIONAL DIRECTOR TO BERNIE MCKEE, REGIONAL DIRECTOR, FSLIC RE: FIRST FS&LA DELRAY BEACH, FL FHLBB NO. 5403
DX 453
09/12/1989
AMB048178 - -048179
PAM008 0900 - 0901
DX 454
04/17/1990
WOP326 2553 - 2555
DX 455
01/31/1991
WOP343 0032 - 0044
DX 457 DX 462
XX/XX/XXXX 09/29/1982
WOQ678 1293 - 1364 WOR059 0377 - 0377
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 463 Date 09/30/1982 Bates Range ADIIS Range WOF011 1801 - 1801 Description
MEMORANDUM FROM WILLIAM E. CHALKER, SUPERVISORY AGENT TO BERNIE MCKEE, REGIONAL DIRECTOR, FSLIC RE: FIRST FEDERAL SAVINGS AND LOAN ASSOCIATION, DELRAY BEACH, FL MERGER SHOPPING - OVERBID FHLBB MEMO FROM EDWARD J. O'CONNELL, III TO BERNARD MCKEE, REGIONAL DIRECTOR, FSLIC RE: PROPOSED ACQUISITION FIRST FS&LA OF MONTGOMERY COUNTY AND MOUNTAIN SECURITY SAVINGS BANK INTO CARTERET SAVINGS BANK, FA LETTER FROM CARLA M. O'CONNOR, ASSISTANT SECRETARY TO JOHN GRIFFIN, ASSISTANT DIRECTOR, OTS RE: AMENDED THRIFT FINANCIAL REPORTS FOR CARTERET SAVINGS BANK FOR THE QUARTERS-ENDED DECEMBER 31, 1989 THROUGH DECEMBER 31, 1990
DX 469
06/02/1986
AM030676 - -030678
DX 475
06/04/1990
AM046267 - -046326
DX 476
07/12/1989
WOT692 1351 - 1353
EXAMINATION DIVISION, INFORMATIONAL REPORT FROM RUSSELL J. MEYER, EXAMINER-IN-CHARGE TO ROBERT ALBANESE, DISTRICT DIRECTOR MEMORANDUM OF ORAL COMMUNICATION WITH RUSS MEYER, EIC RE: INTERIM MEETINGS
DX 479
10/04/1989
WOT692 1327 - 1328
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 482 Date 08/17/1990 Bates Range ADIIS Range WOP343 1027 - 1030 Description
INTERIM REPORT FROM RJ MEYER, EIC TO DAVID DORGAN, SADD, JOSEPH KEHOE, AD, SCOTT B. SMITH, FS AND ROSA SMITH RE: CARTERET SAVINGS BANK, FA EXAM DATE JUNE 4, 1990 REPORT OF EXAMINATION, HOLDING COMPANY JUNE 4, 1990
DX 484 DX 485
06/04/1990 08/15/1990
C-AM-A-0054335 -0054366 WOQ620 2293 - 2304
INTEROFFICE MEMORANDUM FROM MICHAEL E. FINN TO ANGELO A. VIGNA, ROBERT C. ALBANESE, MICHAEL L. SIMONE, DAVID R. DORGAN, ELAINE R. KILLOUGH, SCOTT B. SMITH AND RUSSELL J. MEYER RE: RESPONSE TO WASH INFORMATION REQUEST REGARDING CARTERET SB MEMORANDUM FROM JOHN MUDD, WORKOUT COUNSEL TO: DISTRIBUTION RE: CREDIT COMMITTEE - APPROVALS BOARD OF DIRECTORS - APPROVALS/NOTICE OTS APPROVALS/NOTICE MEMORANDUM FROM CRAIG M. ROSEN TO WAYNE MOOR RE: LA MIRADA SHOPPING CENTER LETTER FROM DONALD KRAMER TO KEVIN ALBERT, MERRILL LYNCH AND COMPANY RE: RESPONSE TO QUESTIONS
DX 494
10/23/1991
AMB033821 - -033822
PAM010 1225 - 1226
DX 497
06/11/1992
WOQ673 0954 - 0954
DX 505
12/16/1991
C-AM-A-0178890 -0178892
CAM132 1086 - 1088
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 506 Date 06/22/1992 Bates Range KH058520 - -059095 ADIIS Range RAM034 0714 - 1289 Description
TRIAL BALANCE OF LOANS, REO AND RESERVES AS OF MAY 31,1992, CARTERET SAVINGS BANK, COMMERCIAL ASSETS DIVISION COMMERCIAL ASSET PORTFOLIO ANALYSIS, NOVEMBER 30, 1992 MEETING MINUTES, SPECIAL BOARD OF DIRECTORS MEETING, AUGUST 4, 1987 (DRAFT) LETTER FROM ELEONORE B. MCCABE TO ROBERT J. MUELLER RE: ROBERT J. MUELLER CURRENT AND AMENDED EMPLOYMENT AGREEMENTS LETTER FROM ROBERT J. MUELLER, PRESIDENT TO MICHAEL SIMONE, VICE PRESIDENT, FHLBB RE: OUTSTANDING ISSUES CLASSIFIED ASSETS MEMORANDUM FROM GEOFFREY M, CONNOR, SENIOR VICE PRESIDENT TO ROBERT D. PIERSON, VICE CHAIRMAN RE: MONTHLY REPORT LETTER FROM ROBERT B. O'BRIEN, CHAIRMAN TO ROBERT J. MUELLER RE: CONFIRMATION OF TERMINATION OF EMPLOYMENT WITH CARTERET SAVINGS BANK, FA EFFECTIVE JAN.
DX 507 DX 537
11/30/1992 08/04/1987
C-AM-A-0103662 -0103687
CAM089 0287 - 0312 WOQ654 0491 - 0527
DX 540
01/22/1988
WOQ654 0035 - 0036
DX 542
06/06/1988
OAM004 1062 - 1063
DX 545
11/01/1988
AMB0008431 - -0008432
PAM002 0965 - 0966
DX 546
11/08/1988
WOQ654 0047 - 0047
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 547 Date 05/20/1992 Bates Range C-AM-A-0057163 -0057165 ADIIS Range WOQ673 0200 - 0203 CAM051 0014 - 0016 Description
STIPULATION AND CONSENT TO ISSUANCE OF ORDER TO CEASE AND DESIST IN THE MATTER OF ROBERT J. MUELLER, FORMER DIRECTOR AND PRESIDENT, CARTERET SAVINGS BANK; RESOLUTION NO, NE92-52; ALSO ORDER TO CEASE AND DESIST AND DIRECTION TO MAKE RESTITUTION AND TO TAKE OTHER AFFIRMATIVE ACTION IN THE MATTER OF ROBERT J, MUELLER RESOLUTION NO. NE-92-52 LETTER FROM LAWRENCE W. HAYES, SENIOR ASSOCIATE GENERAL COUNSEL TO ROBERT B. O'BRIEN JR., CHAIRMAN, PRESIDENT AND CEO, CARTERET SAVINGS AND LOAN ASSOCIATION, FA RE: SEPTEMBER 30, 1982 FORBEARANCE LETTER EMPLOYMENT CONTRACT BETWEEN CARTERET SAVINGS AND LOAN ASSOCIATION, FA AND ROBERT B. O'BRIEN, JR.
*DX 558
10/12/1982
AMB000020 - -000020
PAM001 0099 - 0099
DX 560
05/11/1983
WOT692 2021 - 2049
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 563 Date XX/XX/XXXX Bates Range ADIIS Range WOT682 0770 - 0777 Description
LETTER FROM ROBERT B. O'BRIEN JR. TO MICHAEL SIMONE, SUPERVISORY AGENT FHLB OF NEW YORK RE: REQUEST FOR FORBEARANCE AND AMENDMENT TO THE PROPOSED ACQUISITION BY CARTERET SAVINGS BANK, FA OF FIRST FEDERAL SAVINGS AND LOAN ASSOCIATION OF MONTGOMERY COUNTY AND MOUNTAIN SECURITY SAVINGS BANK AND ADMIRAL-BUILDERS SAVINGS AND LOAN NEWSPAPER ARTICLE" WELL-ESTABLISHED IN JERSEY AND FLORIDA CARTERET LOOKS AT THE STATES IN-BETWEEN" BY MARK BASCH DOCUMENTATION RE: MESSRS. O'BRIEN, PIERSON AND MUELLER INCENTIVES, PERQUISITES AND BENEFITS MEMORANDUM FROM ROBERT B. O'BRIEN, JR. TO ALL OFFICERS AND DEPARTMENT HEADS RE: CHANGES IN MANAGEMENT STRUCTURE MEMORANDUM FROM ROBERT B. O'BRIEN, JR., CHAIRMAN TO FILE -N821BJ RE: SALE OF AIRPLANE
DX 564
XX/XX/XXXX
OAM004 1260 - 1262
DX 566
07/07/1987
WOQ654 0109 - 0112
DX 573
11/03/1989
WOQ645 1674 - 1674
DX 574
12/21/1989
WOQ628 0408 - 0408
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 575 Date 12/22/1989 Bates Range ADIIS Range WOQ628 0367 - 0367 Description
LETTER FROM BRUCE W. BEAN, ON BEHALF OF ROBERT O'BRIEN RE: SECURING A SHORT TERM LOAN; CONFIRMATION OF MR. O'BRIEN INCENTIVE BONUS FOR 1989 MEMORANDUM FROM ROBERT B. O'BRIEN, JR., CHAIRMAN TO ROBERT C. WALSH, PRESIDENT RE: MEETINGS WITH MARSHALL MANLEY LETTER FROM ROBERT B. O'BRIEN TO GEORGE T. SCHARFFENBERGER, CHAIRMAN AND CEO, AMBASE CORPORATION RE: EMPLOYMENT CONTRACT PAYOUTS LETTER FROM ROBERT B. O'BRIEN TO GEORGE T. SCHARFFENBERGER, CHAIRMAN, PRESIDENT AND CEO, AMBASE CORPORATION RE: ONGOING COOPERATION WITH AMBASE MEMORANDUM FROM ROBERT E. MCCARTHY TO BOARD OF DIRECTORS, OF CARTERET SAVINGS BANK, FA RE: PROPOSED AGREEMENT WITH GREAT WESTERN BANK MEMORANDUM FROM ROBERT O'BRIEN TO GEORGE SCHARFFENBERGER AND ROBERT WALSH RE: RETIREMENT
DX 576
02/23/1990
WOQ600 2155 - 2156
DX 579
03/23/1990
WOQ604 0003 - 0005
DX 580
04/05/1990
WOP338 0773 - 0773
DX 581
06/04/1990
WOQ682 1487 - 1488
DX 585
04/01/1991
WOQ674 0947 - 0950
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 593 Date 08/30/1990 Bates Range AMB066569 - -066569 ADIIS Range Description
MEMORANDUM FROM THOMAS J. O'ROURKE, SENIOR EXAMINER TO LEO O. MCCABE, EVP CARTERET SB FA RE: GDV FINANCIAL (GDVFC) $55 MILLION LOAN PORTFOLIO REPORT OF EXAMINATION, CARTERET SAVINGS BANK, FA DATE OF EXAMINATION JUNE 4, 1990 WOQ685 0366 - 0366 MEMORANDUM OF ORAL COMMUNICATION BY MICHAEL FINN WITH TOM O'ROURKE RE: CSB 1990 BONUSES/ARBITRATION LETTER FROM MR. KRAMER, VICE CHAIRMAN TO ROBERT B. O'BRIEN, JR RE: NICKERSON LOAN DEFAULT AND REPAYMENT OF ADVANCES EXHIBIT "A" SUMMARY-- CRIMINAL REFERRAL DUE TO ACTIONS BY FORMER CARTERET EMPLOYEE RICHARD C. TAPPEN WOP763 1005 - 1005 LETTER TO CHARLES O'TOOLE, MANAGER OF CORPORATE ACTIVITIES RE: SALE OF FIVE CARTERET BRANCHES TO BANKERS LETTER FROM SCOTT D. SAMLIN TO CHARLES P. O'TOOLE, MANAGER CORPORATE ACTIVITIES, OTS RE: RESPONSE TO COMMENTS OF NOVEMBER 20, 1990
DX 595
06/04/1990
AMBNP028465 - -028508
DX 597
05/14/1991
DX 600
11/22/1991
C-AM-A-0383427 -0383427
DX 602
XX/XX/XXXX
KH090916 - -90925
DX 625
12/18/1990
DX 628
12/03/1990
WOP763 1395 - 1398
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 630 Date 12/04/1990 Bates Range ADIIS Range WOP763 0700 - 0701 Description
OFFICE OF THRIFT SUPERVISION/ NORTHEAST REGION COMMENTS ON SALE OF FIVE BRANCHES. INTERNAL MEMORANDUM FROM JOSEPH P. KEHOE TO CHARLES O'TOOLE RE: OPERATIONS DENIAL OF CARTERET SB'S BRANCH SALE APPLICATION TO SELL FIVE NEW JERSEY BRANCHES TO SUMMIT TRUST AND SOMERSET TRUST INTEROFFICE MEMORANDUM FROM DAVID DORGAN TO CHARLES O'TOOLE RE: CARTERET APPLICATION TO PURCHASE IBF LETTER FROM CHARLES P. O'TOOLE TO ROBERT B. HUNTER, ESQ, THE HOME GROUP INCORPORATED RE: REGULATORY CAPITAL MAINTENANCE/DIVIDEND AGREEMENT REGULATORY CAPITAL MAINTENANCE/DIVIDEND AGREEMENT
DX 631
02/05/1991
WOP326 0618 - 0621
DX 639
04/11/1988
WOR060 2499 - 2501
DX 640
11/28/1988
C-AM-A-0367000 -0367000
*DX 641 DX 652
11/28/1988 03/27/1986
AM033871 - -033883 C-AM-A-0252795 -0252795 CAM224 0911 - 0911
MEMORANDUM FROM BRIAN M. DUFFY, SENIOR VICE PRESIDENT TO ROBERT D. PIERSON, VICE CHAIRMAN RE: MARYLAND AND VIRGINIA ACQUISITIONS LETTER FROM ROBERT S. MONHEIT TO MICHAEL SIMONE, SUPERVISORY AGENT, FHLBB RE: CARTERET LETTER REQUESTING FORBEARANCES
DX 654
04/23/1986
AMB000145 - -000153
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 656 Date 01/18/1988 Bates Range ADIIS Range PAM006 0264 - 0277 Description
MEETING MINUTES, CARTERET BANCORP INC. AND CARTERET SAVINGS BANK, FA SPECIAL BOARD OF DIRECTORS MEETING LETTER TO ROBERT D. PIERSON RE: LETTER OF AGREEMENT TO CONFIRM THE TERMINATION OF SERVICES BY CARTERET SAVINGS BANK, FA INTER OFFICE MEMORANDUM FROM ANGELO A. VIGNA, NORTHEAST REGIONAL DIRECTOR TO JOHN E. RYAN, ACTING DEPUTY DIRECTOR FOR REGIONAL OPERATIONS RE: "SIGNIFICANT ACTIVITIES REPORT" FOR THE WEEK ENDING DECEMBER 4, 1992 LETTER FROM FRANCIS D. TERRELL TO JOHN RYAN, CEO, RTC RE: REQUESTED CHANGES FOR CARTERET BIDS LETTER FROM FRANCIS D TERRELL TO JOHN E. RYAN RE: CARTERET FSB F.D. TERRELL GROUP BID EMAIL CORRESPONDENCE FROM J. PAUL RAMEY TO JOHN E. RYAN AND OTHERS RE: CARTERET AND DISCUSSIONS OR CORRESPONDENCE TO AND WITH BIDDERS
DX 664
01/05/1990
WOQ654 0262 - 0268
DX 697
12/04/1992
WOP345 0520 - 0521
DX 699
08/08/1994
C-AM-A-0131607 -0131608 C-AM-A-0125150 -0125153 C-AM-A-0014301 -0014301
DX 701
09/07/1994
DX 702
09/07/1994
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 703 Date 09/09/1994 Bates Range C-AM-A-0125140 -0125141 ADIIS Range Description
LETTER FROM PETER F. HURST, JR., CO-CHAIRMAN, BAHAI PARTNERS, TO JOHN RYAN, DIRECTOR, RTC RE: RTC DECISION TO WITHOLD INFORMATION FROM BAHIA PARTNERS, INC. LETTER FROM GARRY J. SCHEURING TO JOHN E. RYAN, ACTING CEO, RTC RE: CONFIRMATION OF 09/14/94 TELEPHONE CONVERSATION LETTER FROM GARRY J. SCHEURING TO JOHN E. RYAN DEPUTY AND ACTING CEO, RTC RE: CARTERET MINORITY BIDS NEWSPAPER ARTICLE, THE STAR LEDGER, FRIDAY OCTOBER 14, 1994 "CARTERET BID APPEARS SUCCESSFUL" BY WILLIAM T. QUINN LETTER FROM JOSEPH S. YEWAISIS, FIRST SAVINGS BANK, TO JOHN F. RYAN, ACTING DIRECTOR, RTC; RE: FORMAL PROTEST REGARDING THE BIDDING PROCESS FOR CARTERET SAVINGS BANK WOP299 1724 - 1725 LETTER FROM PETER F. HURST, JR. AND ADDISON M. LEVI III TO THE RESOLUTION TRUST CORPORATION OVERSIGHT BOARD RE: BAHIA PARTNERS, INC COMPLAINTS ABOUT THE BIDDING PROCESS FOR CARTERET FEDERAL SAVINGS BANK
DX 704
09/14/1994
C-AM-A-0125133 -0125134
DX 705
10/03/1994
C-AM-A-0014236 -0014239 C-AM-A-0125112 -0125112
DX 706
10/14/1994
DX 707A
10/18/1994
C-AM-A-0077396 -0077396
DX 713
01/12/1995
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 714 Date 01/27/1995 Bates Range C-AM-A-0125066 -0125069 ADIIS Range Description
LETTER FROM JOHN E. RYAN, DEPUTY AND ACTING CEO, TO PETER F. JURST, JR., ADDISON N, LEVI, III AND BAHIA PARTNERS, INC RE: CARTERET SAVING BANK RE: ISSUES RAISED IN LETTER OF JANUARY 12, 1995 LETTER FROM JOHN E. RYAN TO PETER F. HURST, ADDISON N, LEVI, III AND BAHIA PARTNERS, INC. RE: CARTERET FEDERAL SAVINGS BANK AND LETTER OF FEBRUARY 3, 1995 MEMORANDUM FROM J. PAUL RAMEY, VICE PRESIDENT, DIVISION OF RESOLUTION TO JOHN E. RYAN, DEPUTY AND ACTING CEO RE: CARTERET ISSUE PAPER WOQ680 2834 - 2835 NEWSPAPER ARTICLE, THE WALL STREET JOURNAL, MONDAY MARCH 12, 1990: "TWO GENERAL DEVELOPMENT OFFICERS YIELD DUTIES AMID FIRM'S LEGAL, FINANCIAL WOES" BY MARTHA BRANNIGAN LETTER FROM ANGELO VIGNA TO BOARD OF DIRECTORS C/O GEORGE T. SCHARFFENBERGER, AMBASE CORPORATION RE: TAX REFUND TO AMBASE FOR THE 1990 TAX YEAR
DX 715
02/09/1995
C-AM-A-0125035 -0125037
*DX 716
03/08/1995
C-AM-A-0027774 -0027781
DX 725
03/12/1990
DX 730
02/01/1991
WOP291 0233 - 0234
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 736 Date 05/19/1989 Bates Range AMB048077 - -048079 ADIIS Range Description
LETTER FROM GEORGE SCHARFFENBERGER TO THE HONORABLE JOHN SUNUNU, CHIEF OF STAFF RE: A UNIQUE ONE-OF-A-KIND SITUATION WOP333 0662 - 0676 LETTER FROM MICHAEL SIMONE, SUPERVISORY AGENT TO EDWARD J. O'CONNELL, III, ASST. DIR. FOR REG. OPER. OES, FHLBB RE: S- MEMORANDUM, CARTERET SAVINGS BANK'S ACQUISITION OF 3 INSTITUTIONS. FHLBB QUARTERLY FINANCIAL REPORT: CARTERET SAVINGS BANK, FA LETTER FROM MICHAEL SIMONE, SUPERVISORY AGENT TO THE BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: REPORT OF EXAMINATION AS OF MAY 16, 1986
DX 737
05/30/1986
DX 739 DX 742
03/31/1986 10/31/1986
AM035657 - -035664 AM016636 - -016682
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 749 Date 07/07/1992 Bates Range ADIIS Range WOP325 1077 - 1079 Description
EXAMINER MEMORANDUM FROM THOMAS J. O'ROURKE, EXAMINER TO ROBERT ALBANESE, DEPUTY REGIONAL DIRECTOR, MIKE SIMONE, ASSISTANT DIRECTOR II, JOHN C. GRIFFIN, ASSISTANT DIRECTOR, I, SCOTT B. SMITH, FIELD MANAGER, DONALD HOM, ANALYTICAL SUPERVISOR AND SUPERVISORY FILES, CARTERET SB RE: STATUS REPORT - COMMERCIAL ASSETS DIVISION, 05/31/92 RESULTS - FINAL (REVISED) CARTERET SB, FA OTS 4702 INTERNAL MEMORANDUM FROM MICHAEL FINN TO MICHAEL SIMONE RE: CAPITAL SUMMARY CARTERET SAVINGS BANK FA INTEROFFICE MEMORANDUM FROM BRIAN S. STEFFEY TO MICHAEL SIMONE, ANGELO A VIGNA, ROBERT ALBANESE, JOHN C. GRIFFIN, MICHAEL E. FINN RE: SEC ACTIONS AGAINST THE KARFUNKALS AND RELATED MATTERS LETTER FROM ANGELO VIGNA, REGIONAL DIRECTOR TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK RE: AGREEMENT DATED FEBRUARY 27, 1992
DX 753
08/26/1991
WOP332 2297 - 2297
DX 755
11/08/1991
WOP332 1402 - 1403
DX 760
07/06/1992
KH084511 - -084512
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 762 Date 07/29/1992 Bates Range ADIIS Range WOQ679 0378 - 0386 Description
LETTER FROM JOHN P. FERRARA, ASSISTANT VICE PRESIDENT, CONTROLLER TO MICHAEL SIMONE RE: AMBASE CORPORATION CURRENT REPORT H-(B)11 FOR QUARTER ENDED JUNE 30, 1992 INTERNAL MEMORANDUM FROM SCOTT B. SMITH TO MIKE SIMONE RE: DRAFT OF CARTERET SB, FA HOT TOPIC FOR 10/16/92 LETTER FROM JOHN P. FERRARA, ASSISTANT VICE PRESIDENT AND CONTROLLER TO MICHAEL SIMONE RE: AMBASE CORPORATION CURRENT REPORT H-(B)11 FOR THE QUARTER ENDED SETMEBER 30, 1992
DX 763
10/15/1992
WOP325 0280 - 0281
DX 764
10/30/1992
AMB034109 - -034117
DX 769
03/05/1991
WOP326 0194 - 0198
INTEROFFICE MEMORANDUM FROM JAMES C. WINNING TO MICHAEL L. SIMONE RE: CARTERET/AMBASE EXAMINER MEMORANDUM FROM THOMAS J. O'ROURKE, EXAMINER TO MIKE SIMONE, ASSISTANT DIRECTOR II, JOHN C. GRIFFIN, ASSISTANT DIRECTOR I, SCOTT B. SMITH, FIELD MANAGER AND DONALD HOM, ANALYTICAL SUPERVISOR RE: ANALYSIS OF LOSS EXPOSURE - MULTI-FAMILY LOANS PURCHASED FROM WESTERN FS&LA CARTERET SB, FA OTS NO. 4702
DX 770
06/04/1992
WOP334 0900 - 0902
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 772 Date 10/19/1992 Bates Range ADIIS Range WOT707 0140 - 0140 Description
INTEROFFICE MEMORANDUM FROM SCOTT B. SMITH TO MICHAEL L. SIMONE RE: O'ROURKE'S MEMO RE: CARTERET RECAP HAND WRITTEN NOTES FROM MEETING AT OTS 10/06/92
DX 774 DX 781
10/06/1992 02/14/1990
AMB054055 - -054059 WOT692 1976 - 1976
INTERNAL MEMORANDUM FROM SCOTT B. SMITH TO FILE RE: CARTERET UPDATE ON GVA ADEQUACY STIPULATION AND AGREEMENT FHLBB RESOLUTION NO. 88-657 LETTER FROM ROBERT B. O'BRIEN JR. TO DARREL W. DOCHOW, EXECUTIVE DIRECTOR FHLBB AND LINDA MERCURIO SWAN, SUPERVISORY AGENT FHLBB OF NY RE: APPLICATION BY CARTERET SAVINGS BANK, FA FOR APPROVAL TO ACQUIRE IMPERIAL PREMIUM FINANCE, INC. LETTER FROM LINDA MERCURIO SWAN TO GEOFFREY M. CONNER, SVP CORPORATE COUNSEL/SECRETARY, CARTERET SAVINGS BANK, FA RE: OUTSTANDING COMPLIANCE ITEMS PURSUANT TO FHLBB RESOLUTION NO 88-657 AGREEMENT BETWEEN THE HOME GROUP AND CARTERET SAVINGS BANK, FA
DX 785 DX 788
08/08/1988 03/01/1988
C-AM-A-0255706 -0255709 C-AM-A-0362905 -0362923
DX 791
08/17/1988
C-AM-A-0084228 -0084228
DX 792
08/31/1988
KH061999 - -062000
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 798 Date 10/13/1989 Bates Range ADIIS Range WOT692 1325 - 1326 Description
INTERNAL MEMORANDUM FROM SCOTT B. SMITH TO LINDA MERCURIO SWAN RE: CARTERET BRANCH APPLICATION LETTER FROM DOUGLAS P. FAUCETTE TO GENE L. HALL RE: BID OF CARTERET SAVINGS AND LOAN ASSOCIATION, FA TO ACQUIRE FIRST FEDERAL SAVINGS AND LOAN ASSOCIATION OF DELRAY BEACH
DX 801
08/24/1982
DX 813
01/04/1991
C-AM-A-0411046 -0411047 FAM002 1844 - 1844
LETTER FROM ANGELO A. VIGNA TO AMBASE CORPORATION AND CARTERET BANCORP INC RE: DEFAULT NOTICE MEMORANDUM FROM R. C. WALSH, PRESIDENT, CMC TO AUDIT AND EXAMINATION COMMITTEE RE: PMM AND CO. LETTER OF COMMENTS AND RECOMMENDATIONS RELATING TO OPERATIONS AND INTERNAL AUDITING CONTROLS AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN CARTERET BANCORP AND ROBERT C. WALSH MEMORANDUM FROM ALEC J. MYERS, VICE PRESIDENT TO FILE RE: SIGN-ON BONUSES EXECUTIVE VICE PRESIDENTS
DX 818
02/10/1988
DX 819
03/21/1988
WOR060 0225 - 0234
DX 820
08/16/1988
WOQ662 1773 - 1773
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 825 Date 11/08/1989 Bates Range ADIIS Range WOQ662 2170 - 2170 Description
MEMORANDUM FROM ROBERT C. WALSH, PRESIDENT TO ALL EMPLOYEES RE: EXPENSE REDUCTION MEMORANDUM FROM ROBERT E. MCCARTHY TO BRUCE W. BEAN RE: OTS BOARD MEETING FEBRUARY 13, 1990 LETTER FROM ANGELO A. VIGNA TO ROBERT C. WALSH, PRESIDENT, CARTERET SAVINGS BANK, FA RE: APPLICATION BY CARTERET SAVINGS BANK FOR PERMISSION TO CONCURRENTLY SELL BRANCH OFFICES AND DEPOSITS OF ANOTHER OFFICE AND ASSUME THE DEPOSITS OF THREE OFFICES IN A TRANSACTION WITH GOLDOME SAVINGS BANK MEMORANDUM FROM JOHN L. MCENTEE, VICE PRESIDENT TO DISTRIBUTION RE: SENSITIVE ASSET REPORT - MARCH 31, 1990 LETTER TO PEAT MARWICK MAIN & CO. RE: RESPONSE TO COMMENTS AND RECOMMENDATIONS IN LETTER DATED APRIL 27, 1990 MEMORANDUM FROM ROBERT MCCARTHY TO BOARD OF DIRECTORS, CARTERET SAVINGS BANK, FA RE: OTS LETTER DATED NOVEMBER 2, 1990, REVIEW OF ASSET QUALITY AT CARTERET.
DX 826
02/12/1990
AMB0001013 - -0001014
PAM003 0681 - 0682
DX 828
03/01/1990
OAM003 2474 - 2476
DX 831
04/19/1990
WOP293 0275 - 0282
DX 832
07/20/1990
OAM004 0729 - 0732
DX 836
11/05/1990
AMB0009085 - -0009086
PAM002 1618 - 1619
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 837 Date 12/18/1990 Bates Range ADIIS Range OAM004 0924 - 0924 Description
LETTER FROM ROBERT E. MCCARTHY TO CHARLES O'TOOLE, MANAGER OF CORPORATE ACTIVITIES, OTS RE: SALE OF FIVE CARTERET NEW JERSEY BRANCHES TO BANKERS MEMORANDUM FROM ROBERT C. WALSH TO ALL EMPLOYEES RE: GOODWILL LAWSUIT NEWSPAPER ARTICLE FROM THE STAR LEDGER, SATURDAY, MAY 18, 1991 " EXECS TO STEP DOWN AT CARTERET SAVINGS" BY WILLIAM T. QUINN MEMORANDUM FROM WILLIAM POLLACK, REVIEW EXAMINER TO THE FILES RE: CARTERET SAVINGS BANK, FA MORRISTOWN, NEW JERSEY LETTER FROM DANIEL L. DIONNE TO ROBERT E. MCCARTHY, EVP AND GENERAL COUNSEL, CARTERET SAVINGS BANK RE: RESPONSE TO LETTER OF APRIL 10, 1991 IN REFERENCE TO FDIC PRESENTATION OF EXAMINATION FINDINGS BOARD MEETING OTS EXAM REPORT PRESENTATION SIGN IN SHEET
DX 840 DX 843
02/14/1991 05/18/1991
AMB0007392 - -0007392
PAM 004 3519 - 3519 WOQ604 1224 - 1224
DX 845
11/05/1990
WOQ653 0476 - 0477
DX 848
04/12/1991
AM048100 - -048102
DX 855
11/20/1991
C-AM-A-0213811 -0213811
Case 1:93-cv-00531-LAS
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AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 871 Date 04/11/1994 Bates Range C-AM-A-0130479 -0130479 ADIIS Range Description
EMAIL CORRESPONDENCE FROM HERB HELD TO ANN RICHARDS AND JAY JUPITER RE: CARERET AND NON-INVESTMENT GRADE SECURITY. BID FORM FOR CARTERET FEDERAL SAVINGS BANK (REVISED) EMAIL FROM HERBERT HELD TO J. PAUL RAMEY RE: CHANGES TO THE CARTERET BID FORMAT AS TO RUNNING IT BY LEGAL EMAIL FROM J. PAUL RAMEY TO HERBERT HELD RE: BID DUE DATE MEMORANDUM FROM JAY JUPITER TO J. PAUL RAMEY RE: CARTERET, FSB "CARTERET FLORIDA" RECOMMENDATION, JUSTIFICATION AND CASE SUMMARY EMAIL FROM SHARON DUNN TO HERBERT HELD, CAROLYN NUNEZ, R. PENFIELD STARKE, J. PAUL RAMEY RE: BAHIA MEMO: FROM JAY JUPITER TO J. PAUL RAMEY RE; CARTERET, FSB NEWARK, NJ AS TO RECOMMENDATION, JUSTIFICATION AND CASE SUMMARY
DX 873 DX 876
05/20/1994 08/11/1994
C-AM-A-0130428 -0130434 C-AM-A-0130329 -0130329 C-AM-A-0130315 -0130315 C-AM-A-0088740 -0088743
DX 878 *DX 887
08/15/1994 10/14/1994
DX 889
10/17/1994
C-AM-A-0077217 -0077217 C-AM-A-0130611 -0130617
DX 895
XX/XX/XXXX
Case 1:93-cv-00531-LAS
Document 262-2
Filed 02/08/2008
Page 49 of 224 Page 49 of 224
AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 899 Date XX/XX/XXXX Bates Range C-AM-A-0013421 -0013425 C-AM-A-0088039 -0088040 C-AM-A-0088074 -0088102 C-AM-A-0129717 -0129717 WOP299 0733 - 0738 ADIIS Range Description
MEMO: FROM JAY JUPITER THROUGH HERBERT HELD TO J. PAUL RAMEY RE; CARTERET, FSB MADISON, NJ AS TO RECOMMENDATION, CASE SUMMARY WITH ATTACHMENTS RTC NET DEPOSITION CALCULATION AS TO CARTERET FSB NEWARK, NJ DIRECTIVE SYSTEM CIRCULAR: FROM J. PAUL RAMEY TO ALL DIVISIONS AND OFFICES RE; IMPLEMENTATION OF PREDOMINANTLY MINORITY NEIGHBORHOOD RESOLUTION PROVISIONS OF SECTION 21A (W) (17) ) (A) OF THE FEDERAL HOME LOAN BANK ACT RTC SUMMARY OF RTC MINORITY PREFERENCE RESOLUTION PROGRAMS LTR: FROM JAY JUPITER TO ROBERT SMEDLEY RE; CARTERET BERNARDSVILLE BRANCH SALE CORRESPONDENCE E-MAIL: FROM SHARON DUNN YORE TO DENISE LINDSEY, J. PAUL RAMEY RE; BID DUE DATE FOR CARTERET
DX 911 DX 912
01/09/1995 02/28/1994
DX 913 DX 924
02/28/1994 11/12/1993 C-AM-A-0126412 -0126412 C-AM-A-0014412 -0014412
WOP299 0739 - 0800
DX 931
07/29/1994
Case 1:93-cv-00531-LAS
Document 262-2
Filed 02/08/2008
Page 50 of 224 Page 50 of 224
AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # *DX 949 Date 10/28/1994 Bates Range C-AM-A-0088740 -0088743 ADIIS Range Description
MEMO: FROM JAY JUPITER TO J. PAUL RAMEY RE; CARTERET FSB NEWARK, NJ FAILING THRIFT CASE AS TO RECOMMENDATION, JUSTIFICATION , CASE SUMMARY MEMO: FROM JAY JUPITER TO J. PAUL RAMEY RE; CARTERET FSB NEWARK, NJ AS TO FAILING THRIFT CASE AND RECOMMENDATION, JUSTIFICATION, CASE SUMMARY MEMO: FROM JAY JUPITER TO J. PAUL RAMEY RE; CARTERET FSB MADISON, NJ FAILING THRIFT CASE AS TO RECOMMENDATION, JUSTIFICATION AND CASE SUMMARY WITH ATTACHMENT DOCUMENTS MEMO : RE; "LOSS OF FORBEARANCE" WITH HAND-LETTERED PARAGRAPHS 1-23 (NO STATED AUTHOR NOR ADDRESSEE) WOP292 0522 - 0523 LTR: FROM R. PETER OBERNDORFER TO PAUL V. PROFETA RE; OAKWOOD ASSOCIATES REVERE EQUITIES 769 NORTHFIELD PARTNERS GOVERNOUR PARTNERS FOREST PARTNERS 349 LIVINGSTON PARTNERS EXETER PARTNERS KS MIDDLESEX OFFICE PARTNERS
DX 960
10/31/1994
C-AM-A-0130611 -0130617
DX 965
10/31/1994
C-AM-A-0013421 -0013426 C-AM-A-0088040 -0088040 C-AM-A-0088074 -0088102
DX 1305
XX/XX/XXXX
DX 1501
12/17/1990
Case 1:93-cv-00531-LAS
Document 262-2
Filed 02/08/2008
Page 51 of 224 Page 51 of 224
AMBASE V. UNITED STATES Case No. 93-531C TRIAL EXHIBIT LIST (DXs) BY EXHIBIT ORDER
as of 2/8/07 Exhibit # DX 1502 Date 12/31/1989 Bates Range ADIIS Range WOQ600 0607 - 0617 Description
REPORT OF INDEPENDENT AUDITORS CMSB ENTERPRISES OF FLORIDA, INC. AND SUNDIAL ASSOCIATES OF PALM BEACH AUDITED FINANCIAL STATEMENTS TOGETHER WITH SUPPLEMENTAL REPORTS REQUIRED BY FREDDIE MAC, CARTERET SAVINGS BANK, FA REPORT BY KPMG PEAT MARWICK TO THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF AMBASE CORPORATION FINANCIAL REPORT, CARTERET SAVINGS BANK, FA AND SUBSIDIARIES CONSOLIDATED FINANCIAL STATEMENTS, CARTERET SAVINGS BANK, FA AND SUBSIDIARIES CONSOLIDATED STATEMENT OF FINANCIAL CONDITION, AMBASE CORPORATION AND SUBSIDIARIES FINANCIAL REPORT, CARTERET SAVINGS BANK, FA AND SUBSIDIARIES CONSOLIDATED FINANCIAL STATEMENTS PURCHASE ACCOUNTING BASIS, CARTERET BANCORP, INC. FINANCIAL REPORT, CARTERET SAVINGS BANK, FA AND SUBSIDIARIES
DX 1506
12/31/1991
C-AM-A-0323583 -0323622
CAM240 0011 - 0050
DX 1508
XX/XX/XXXX
AMB035113 - -035116
PAM010 1677 - 1680
DX 1509 DX 1510
01/31/1992 03/31/1992
AMB0010394 - -0010426 C-AM-A-0182407 -0182419 AMB070638 - -070638
PAM002 2927 - 2959 CAM134 1762 - 1774
DX 1512
04/20/1992
PAM007 0939 - 0939
DX 1513 DX 1514
04/30/1992 05/31/1992
WOP297 0301 - 0334 CAM434 0158 - 0169
DX 1515
05/31/1992
C-AM-A-0181819 -0181852
CAM134 1174 - 1207
Cas