Professional Documents
Culture Documents
Plaintiff
v.
AND
AND
Defendants.
______________________________________/
COMPLAINT
TION (FBI) and UNITED STATES DEPARTMENT OF JUSTICE (DOJ) failure to produce
U.S.C. § 552.
1
3. Defendant FBI is a federal agency and component of the DOJ subject to the Free-
U.S.C. § 552.
5. This case is brought under 5 U.S.C. § 552(a)(6)(c)(i) and presents a federal ques-
PARTIES
7. U.S. v. ROSS MANDELL resulted from an FBI raid that took place on November
6, 2006 at the offices of Sky Capital, for which Ross Mandell was the Chief Executive Officer
8. At that time, attorney Steven Altman represented Ross Mandell and Sky Capital,
and had represented them both for several years. Altman thereafter referred Ross Mandell to
criminal attorney Jeffrey Hoffman, his partner and close friend, who himself is now the subject
of a New York State BAR investigation as a result of a complaint that was filed, and remains
open pending the outcome of this lawsuit, on March 18, 2016 (Docket No.: 2016.0657).
9. Ross Mandell was indicted in July 2009 and went to trial on June 20, 2011, repre-
sented at trial by Jeffrey Hoffman who was retained to solely represent Mandell in this criminal
matter since November 2006. It was during the Voir dire process, as Judge Crotty read aloud to
the jury the names of the Government witnesses, that Mandell learned for the first time that his
former lawyer, and referring counsel, Steven Altman, was a witness against him. It is now un-
disputed that at that exact time Hoffman was also representing Altman, and he failed to notify
2
the Court and Mandell. He chose to remain silent when Altman, his client, friend, and partner's
name was read aloud from the Government's witness list in open Court.
10. Ross Mandell was ultimately convicted of four criminal counts. Conspiracy to
Commit Wire, Mail, and Securities Fraud, Wire Fraud, Mail Fraud, and Securities Fraud. He is
currently incarcerated at FPC Miami and has served 49 months of a 144 month prison sentence.
11. It was only later learned that Jeffrey Hoffman was simultaneously representing
Steven Altman while he was representing Ross Mandell, in a matter before the SEC that would
ultimately result in Altman being barred for life from practicing before the SEC and also resulted
in an eighteen (18) month suspension from practicing law by the NY State BAR Association.
During that exact time the SEC was also prosecuting Mandell in Federal Court and Hoffman was
12. Ross Mandell has also learned that Steven Altman was an unindicted co-
conspirator in his criminal case (he was the only co-conspirator who was never arrested, charged,
and prosecuted) and was listed as a "Related Case" in Government produced documents. His
name was raised over two hundred (200) times during Mandell's trial. Upon information and
13. The Altman files (302's, 3500 material, interviews, etc.) believed to be in the pos-
session of the SEC, DOJ, and the FBI, have to this day, never been disclosed or produced to Ross
14. Ross Mandell currently has a 60(b) Motion pending before the trial court and
needs the evidence in the possession of the Defendants in order to supplement the record and
3
15. Ross Mandell also has a pending ethics complaint against Hoffman before the
New York State BAR Association and their counsel is waiting for the requested evidence before
he can complete his investigation. That investigation may also give Mandell additional evidence
16. In an effort to obtain the Altman file, on November 7, 2017, the undersigned
counsel was directed by Assistant United States Attorney Andrew Ken-Wei Chan, who currently
represents the United States Government in the aforementioned Motion 60(b), to contact Assis-
tant United States Attorney Darian Hodge in order to make a FOIA request for the Altman file.
17. Assistant United States Attorney Darian Hodge thereafter directed the under-
signed counsel to submit an online FOIA request through the Department of Justice website on
18. The undersigned counsel has had no contact with AUSA Hodge since that time
wrote to AUSA Andrew Ken-Wei Chan and requested the same information. Exhibit "B".
20. On January 18, 2018, the undersigned counsel wrote to AUSA Andrew Ken-Wei
Chan and AUSA Darian Hodge and requested the same information. Exhibit "C".
21. On June 18, 2018, at the suggestion of Department of Justice FOIA attorney Da-
vid Luczynski, the undersigned submitted a formal FOIA request to the SEC. Exhibit "D".
22. On June 18, 2018, at the suggestion of Department of Justice FOIA attorney Da-
vid Luczynski, the undersigned submitted a formal request to the FBI. Exhibit "E".
4
23. On June 22, 2018, the undersigned counsel received correspondence from the FBI
neither denying nor confirming the existence of the requested information. Exhibit "F".
24. On June 27, 2018, the undersigned counsel received correspondence from SEC,
FOIA Branch Chief Aaron Taylor that the request for expedited processing of the FOIA request
25. On August 13, 2018 the undersigned counsel had one of several conversations
with Mr. Taylor during which he confirmed that there were "two boxes of information consisting
of thousands of pages of information some of which is confidential in nature and therefore not
subject to release."
26. On August 13, 2018 the undersigned counsel, after contacting the Office of Gov-
ernment Information Services made a second request for the FBI FOIA files.
27. On August 23, 2018 the undersigned counsel submitted a formal written appeal to
the Office of Information Policy demanding the release of the FBI FOIA files. Exhibit "H".
28. On September 6, 2018 the undersigned counsel spoke with Mr. Taylor of the SEC
who again confirmed the existence of thousands of pages of information some of which was still
marked as "confidential".
29. On September 7, 2018 the undersigned counsel spoke with Mr. Taylor of the SEC
who indicated that the file would be reviewed and released to the undersigned by the end of the
month.
30. On September 20, 2018 the undersigned spoke with Mr. Taylor of the SEC who
indicated that his office was still reviewing the file and indicated that it was still likely the end of
31. As of October 8, 2018, the FBI has not released any of the requested information.
5
32. As of October 8, 2018, the SEC has not released any of the requested information.
33. As of October 8, 2018 the DOJ has not released any of the requested information.
37. SEC has refused to produce the requested records in a timely manner.
41. FBI has refused to produce the requested records in a timely manner.
45. FBI has refused to produce the requested records in a timely manner.
6
Respectfully submitted by:
Mark G. Astor, Esq.