Case Details

CourtCentral District of California
Docket number5:08-cv-01350
Date case filed2008-10-07
Date case closed2010-04-21
Date of latest filing2010-04-21
Assigned toJudge Virginia A. Phillips
Case cause28:1331 Fed. Question: Securities Violation
Nature of suit850 Securities/Commodities
Jury demandDefendant
Demand
JurisdictionU.S. Government Plaintiff

Case Parties

Party: Securities and Exchange Commission
Party type: Plaintiff
Attorney name: Cheryl M Mori
Attorney Contact:
SEC - Securities & Exchange Commission
15 West South Temple Suite 1800
Salt Lake City, UT 84101
801-524-5796
Fax: 801-524-5262
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Jennifer Moore
Attorney Contact:
SEC - Securities & Exchange Commission
15 West South Temple Suite 1800
Salt Lake City, UT 84101
801-524-5796
Fax: 801-524-5262
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Karen L Martinez
Attorney Contact:
SEC - Securities & Exchange Commission
15 South Temple Street Suite 1800
Salt Lake City, UT 84101
801-524-5799
Fax: 801-524-5262
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Karen L Matteson
Attorney Contact:
US Securities and Exchange Commission
444 South Flower Street Suite 900
Los Angeles, CA 90071
323-965-3840
Fax: 213-443-1904
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Paul Feindt
Attorney Contact:
SEC - Securities & Exchange Commission
15 West South Temple Suite 1800
Salt Lake City, UT 84101
801-524-5796
Fax: 801-524-5262
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Thomas M Melton
Attorney Contact:
SEC - Securities & Exchange Commission
351 S. West Temple, Suite 6.100
Salt Lake City, UT 84101
801-524-5796
Fax: 801-524-3558
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Kederio Ainsworth
Party type: Defendant
Attorney name: Christopher Craighead Bridwell
Attorney Contact:
Schiff Hardin LLP
One Market Spear Street Tower 32rd Floor
San Francisco, CA 94105
415-901-8700
Fax: 415-901-8701
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ethan H Cohen
Attorney Contact:
Schiff Hardin LLP
One Atlantic Center
1201 West Peachtree Street NE Suite 2300
Atlanta, GA 30309
404-437-7000
Fax: 404-437-7100
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Michael K Wolensky
Attorney Contact:
Schiff Hardin LLP
One Atlantic Center
1201 West Peachtree Street NE Suite 2300
Atlanta, GA 30309
404-437-7000
Fax: 404-437-7100
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Guillermo Haro
Party type: Defendant
Attorney name: Christopher Craighead Bridwell
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ethan H Cohen
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Michael K Wolensky
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Jesus Gutierrez
Party type: Defendant
Attorney name: Christopher Craighead Bridwell
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ethan H Cohen
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Michael K Wolensky
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Gabriel Paredes
Party type: Defendant
Attorney name: Christopher Craighead Bridwell
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ethan H Cohen
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Michael K Wolensky
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Angel Romo
Party type: Defendant
Attorney name: Christopher Craighead Bridwell
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Ethan H Cohen
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Michael K Wolensky
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Attorney Settlement Officer
Party type: Mediator (ADR Panel)
Attorney name: Robert H Logan
Attorney Contact:
Keesal Young & Logan
Logan Mediation
P O Box 3898
Palos Verdes Peninsula, CA 90274
310-487-8847
Email: [email protected]
LEAD ATTORNEY

Case Docket

Docket
Item
Date FiledDocument
Available
Short
Description
Long Description
12008-10-03 COMPLAINT against defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes.(No Filing fee), filed by plaintiff Securities and Exchange Commission.(gg) (gg). Modified on 10/7/2008 (gg). (Entered: 10/07/2008)
22008-10-03 NOTICE TO PARTIES OF ADR PILOT PROGRAM filed.(gg) (gg). (Entered: 10/07/2008)
32008-10-06 STANDING ORDER issued by Judge Virginia A. Phillips. See attached. (gg) (Entered: 10/07/2008)
42008-10-08 APPLICATION for attorney Karen L. Martinez to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Ex. "A": Utah State Bar Certificate of Good Standing, # 2 Proposed Order Order on Application of Non-Resident Attorney to Appear in a Specific Case)(Martinez, Karen) (Entered: 10/08/2008)
52008-10-08 APPLICATION for attorney Thomas M. Melton to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Ex. "A": Utah State Bar Certificate of Good Standing, # 2 Proposed Order Order on Application of Non-Resident Attorney to Appear in a Specific Case)(Melton, Thomas) (Entered: 10/08/2008)
62008-10-08 APPLICATION for attorney Paul N. Feindt to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Ex. "A": Utah State Bar Certificate of Good Standing, # 2 Proposed Order Order on Application of Non-Resident Attorney to Appear in a Specific Case)(Melton, Thomas) (Entered: 10/08/2008)
72008-10-08 APPLICATION for attorney Jennifer Moore to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Ex. "A": New York State Bar Certificate of Good Standing, # 2 Proposed Order Order on Application of Non-Resident Attorney to Appear in a Specific Case)(Melton, Thomas) (Entered: 10/08/2008)
82008-10-09 ORDER by Judge Virginia A. Phillips Granting APPLICATION for attorney Thomas M. Melton to Appear Pro Hac Vice (PHV FEE WAIVED.) APPLICATION for attorney Thomas M. Melton to Appear Pro Hac Vice (PHV FEE WAIVED.) 5 by Thomas M. Melton to appear on behalf of Plaintiff Securities and Exchange Commission. Karen Matteson is designated as local counsel. (am) (Entered: 10/09/2008)
92008-10-09 ORDER by Judge Virginia A. Phillips Granting APPLICATION for attorney Jennifer Moore to Appear Pro Hac Vice (PHV FEE WAIVED.) APPLICATION for attorney Jennifer Moore to Appear Pro Hac Vice (PHV FEE WAIVED.) 7 by Jennifer Moore to appear on behalf of Plaintiff Securities and Exchange Commission. (am) (Entered: 10/09/2008)
102008-10-09 ORDER by Judge Virginia A. Phillips Granting APPLICATION for attorney Paul N. Feindt to Appear Pro Hac Vice (PHV FEE WAIVED.) APPLICATION for attorney Paul N. Feindt to Appear Pro Hac Vice (PHV FEE WAIVED.) 6 by Paul N. Feindt to appear on behalf of Plaintiff Securities and Exchange Commission. (am) (Entered: 10/09/2008)
112008-10-09 ORDER by Judge Virginia A. Phillips Granting APPLICATION for attorney Karen L. Martinez to Appear Pro Hac Vice (PHV FEE WAIVED.) APPLICATION for attorney Karen L. Martinez to Appear Pro Hac Vice (PHV FEE WAIVED.) 4 by Karen L. Martinez to appear on behalf of Plaintiff Securities and Exchange Commission. (am) (Entered: 10/09/2008)
122008-10-14 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Angel Romo waiver sent by Plaintiff on 10/7/2008, answer due 12/6/2008; Kederio Ainsworth waiver sent by Plaintiff on 10/7/2008, answer due 12/6/2008; Guillermo Haro waiver sent by Plaintiff on 10/7/2008, answer due 12/6/2008; Jesus Gutierrez waiver sent by Plaintiff on 10/7/2008, answer due 12/6/2008; Gabriel Paredes waiver sent by Plaintiff on 10/7/2008, answer due 12/6/2008. Waiver of Service signed by Michael K. Wolensky. (Martinez, Karen) (Entered: 10/14/2008)
132008-12-02 APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. (Bridwell, Christopher) (Entered: 12/02/2008)
142008-12-02 ANSWERJURY DEMAND. filed by Defendant Jesus Gutierrez.(Bridwell, Christopher) (Entered: 12/02/2008)
152008-12-02 ANSWER to Complaint - (Discovery) 1 Jury Demand filed by defendant Guillermo Haro.(Bridwell, Christopher) (Entered: 12/02/2008)
162008-12-02 ANSWER to Complaint - (Discovery) 1 Jury Demand filed by Defendant Gabriel Paredes.(Bridwell, Christopher) (Entered: 12/02/2008)
172008-12-02 ANSWER to Complaint - (Discovery) 1 Jury Demand filed by Defendant Angel Romo.(Bridwell, Christopher) (Entered: 12/02/2008)
182008-12-02 ANSWER to Complaint - (Discovery) 1 Jury Demand filed by Defendant Kederio Ainsworth.(Bridwell, Christopher) (Entered: 12/02/2008)
192008-12-02 EXHIBIT B to APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) 13 filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. (Bridwell, Christopher) (Entered: 12/02/2008)
202008-12-02 CERTIFICATION AND NOTICE of Interested Parties filed by Defendants all defendants, identifying Moises Aguirre, Regelio Alvarado, Daniel Arciniega, Aurora Arteaga, Desiree Baity, Gillis Baker, Cesar Calderon, Olivia and Gualberto Castro, Cristina Cepeda, Christina Cervantes, Sandra Chavez, Juan Carlos Cisneros, Willie Thomas Clayton, Lydia and Luis Dominguez, Lucero Estrada, Praxedis and Maria Flores, Thomas and Hilda Gonzalez, Patricia Grano, Cristina Hernandez, Rafael Hernandez Jr., Maria Herrera, Walter and Jeannette Ingram, Desiray Johnson, Oscar Leija, Lepoldo and Estela Linares, Hermalinda Luna, Jaime Luna, Yvette Madrid, Arturo and Olivia Martinez, Calandra Moore, Cesar and Maria Olivas, Jose and Stephanie Ornelas, Cynthia Parker, Lorenzo Pelayo, Abel Renteria, Francisco Ricart, Rogue and Rebecca Roman, Roberto Saavedra, Herbert Saralegui, Cesar Torres, Asereth Vargas, Allen and Nora Villalobos, Securities and Exchange Commission. (Bridwell, Christopher) (Entered: 12/02/2008)
212008-12-03 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents. The following error(s) was found: Document #19 is a proposed order but was docketed under the incorrect event of Exhibit to Motion. A proposed G-64 Order is needed as a separate attachment to the application or as an attachment to a Notice of Lodging. RE: Exhibit to Motion, 19 , APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) 13 . In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. (mrgo) (Entered: 12/03/2008)
222008-12-05 NOTICE OF LODGING filed Proposed Order re APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000004591536 paid.) 13 (Attachments: # 1 Proposed Order Proposed Order on Application of Non-Resident Attorney to Appear in a Specific Case)(Bridwell, Christopher) (Entered: 12/05/2008)
232008-12-08 ORDER by Judge Virginia A. Phillips Granting APPLICATION for attorney Michael K. Wolensky to Appear Pro Hac Vice 13 by Michael K Wolensky to appear on behalf of Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. Bita A Karabian is designated as local counsel. Fee PAID. (ad) (Entered: 12/09/2008)
242009-01-06 JOINT ADR PILOT PROGRAM QUESTIONNAIRE filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes.(Bridwell, Christopher) (Entered: 01/06/2009)
252009-01-06 JOINT DISCOVERY CONFERENCE REPORT of JOINT DISCOVERY CONFERENCE REPORT filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit EXHIBIT A - STIPULATED PROTECTIVE ORDER)(Bridwell, Christopher) (Entered: 01/06/2009)
262009-01-27 STIPULATION REGARDING SELECTION of Attorney Settlement Officer Filed; Parties stipulate that Robert H. Logan may serve as Attorney Settlement Officer for an early settlement conference. Filed by Plaintiff Securities and Exchange Commission(Melton, Thomas) (Entered: 01/27/2009)
272009-01-27 CERTIFICATE OF SERVICE filed by Plaintiff Securities and Exchange Commission, Plaintiff's Rule 26 Initial Disclosures served on 01/27/2009. (Martinez, Karen) (Entered: 01/27/2009)
282009-01-27 CERTIFICATE OF SERVICE filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, for Rule 26(a) Initial Disclosures served on January 27, 2009. (Bridwell, Christopher) (Entered: 01/27/2009)
292009-02-09 NOTICE OF ASSIGNMENT of Attorney Settlement Officer. Robert H Logan has been assigned to serve as Attorney Settlement Officer. (mb) (Entered: 02/09/2009)
302009-04-17 STIPULATION for Protective Order filed by Plaintiff Securities and Exchange Commission.(Martinez, Karen) (Entered: 04/17/2009)
312009-04-21 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents. The following error(s) was found: Per General Order 08-02, Section VI, "the proposed order or other proposed document shall be in PDF format and included, as an attachment to the main electronically filed document (e.g., stipulations, applications, motions)," or submitted as a separate attachment to a Notice of Lodging. RE: Stipulation for Protective Order 30 . In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. (mrgo) (Entered: 04/21/2009)
322009-04-21 Corrected STIPULATION for Protective Order filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Martinez, Karen) (Entered: 04/21/2009)
332009-09-16 ORDER SETTING SCHEDULING CONFERENCE by Judge Virginia A. Phillips: Scheduling Conference set for 10/19/2009 01:30 PM. ALL LEAD TRIAL COUNSEL MUST BE PRESENT. IT IS SO ORDERED. (ad) (Entered: 09/16/2009)
342009-09-29 NOTICE AND REQUEST of Settlement Procedure Selection (Sp2) filed; parties request to appear before an attorney selected by the Attorney Settlement Officer Panel or appointed by the Judge for Settlement Proceedings. Filed by Plaintiff Securities and Exchange Commission (Attachments: # 1 Proposed Order)(Martinez, Karen) (Entered: 09/29/2009)
352009-10-19 MINUTES OF Scheduling Conference held before Judge Virginia A. Phillips: Last date to conduct settlement conference is 12/31/2009. The parties shall file a joint report no later than 10 days after the settlement conference regarding the progress of mediation. The parties elect to proceed with Settlement Procedure No. 3., to appear before a private mediator. Court Reporter: Phyllis Preston. (mrgo) (Entered: 10/20/2009)
362009-10-19 SCHEDULING ORDER by Judge Virginia A. Phillips:( Discovery cut-off 2/15/2010. Last date to conduct settlement conference is 12/31/2009. Jury Trial set for 4/6/2010 at 08:30 AM before Judge Virginia A. Phillips. Pretrial Conference set for 3/29/2010 at 03:00 PM before Judge Virginia A. Phillips.) (mrgo) (Entered: 10/22/2009)
372009-11-24 Joint STIPULATION to Extend Discovery Cut-Off Date to 02/26/2010 filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order Text of Proposed Order to Extend Expert Discovery)(Martinez, Karen) (Entered: 11/24/2009)
382009-12-08 ORDER by Judge Virginia A. Phillips, re Stipulation to Extend Discovery Cut-Off Date 37 . Based on the Parties Stipulation and good cause appearing, this Court hereby orders that 1. The cut-off date for expert discovery is extended through February 26, 2010; 2. The Scheduling Order is amended so that: (i) Plaintiff shall make the required expert disclosures and provide expert reports on or before December 11, 2009; and (ii) in light of on-going discovery, including depositions of World Group Securities, Inc. customers, Plaintiffs experts shall have the opportunity to supplement their expert reports on or by January 6, 2010, only with respect to matters pertaining to customer depositions taken after December 11, 2009. Plaintiff shall make one of its experts available for deposition on January 27, 2010 in Los Angeles, California and the other on February 4, 2010 in Washington, DC; and, 3. In accordance with Fed. R. Civ. P. 26(a)(2)(C)(ii), Defendants shall submit their rebuttal expert designation(s) and report(s) on or before February 12, 2010.( Expert Discovery cut-off 2/26/2010.) (mrgo) (Entered: 12/09/2009)
392009-12-11 EXPERT REPORT of Expert Craig J. McCann, Ph.D., CFA filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1: Curriculum Vitae: Expert Craig McCann, Ph.D., CFA)(Martinez, Karen) (Entered: 12/11/2009)
402009-12-11 EXPERT REPORT of Expert Report of Paul Meyer filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1: Curriculum Vitae of Expert Paul Meyer)(Martinez, Karen) (Entered: 12/11/2009)
412009-12-16 ATTORNEY SETTLEMENT OFFICER PROCEEDING REPORT: Settlement Proceedings were held on December 8, 2009. Settlement Proceedings Outcome: Partially settled. Filed by Attorney Settlement Officer Attorney Settlement Officer.(Logan, Robert) (Entered: 12/16/2009)
422009-12-17 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents. The following error(s) was found: The form is blank. RE: Attorney Settlement Officer Proceeding Report (ADR-3) 41 . In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. (mrgo) (Entered: 12/17/2009)
432009-12-18 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS and ORDER by Clerk of Court. The Court ORDERS the blank form document No. 41, STRICKEN; the Settlement Officer is directed to E-file a completed form within 24 hours of issuance of this notice. RE: Attorney Settlement Officer Proceeding Report (ADR-3) 41 . (mrgo) (Entered: 12/18/2009)
442009-12-18 ATTORNEY SETTLEMENT OFFICER PROCEEDING REPORT: Settlement Proceedings were Held on December 8, 2009. Settlement Proceedings Outcome: Partially settled. Filed by Attorney Settlement Officer Attorney Settlement Officer.(Logan, Robert) (Entered: 12/18/2009)
452009-12-21 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents. The following error(s) was found: Case number is missing and form is incomplete RE: Attorney Settlement Officer Proceeding Report (ADR-3) 44 . In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. (ad) (Entered: 12/21/2009)
462009-12-22 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS; ORDER by Clerk of Court: The document is stricken and counsel is ordered to file an amended or corrected document within 24 hours of issuance of this notice. Alternatively, Attorney Logan may send the document to the clerk's office for scanning RE: Attorney Settlement Officer Proceeding Report (ADR-3) 44 . (ad) (Entered: 12/22/2009)
472009-12-23 ATTORNEY SETTLEMENT OFFICER PROCEEDING REPORT: Settlement Proceedings were held on December 8, 2009. Settlement Proceedings Outcome: Partially Settled. Filed by Attorney Settlement Officer Attorney Settlement Officer.(Logan, Robert) (Entered: 12/23/2009)
482009-12-31 NOTICE of Status Conference filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. (Bridwell, Christopher) (Entered: 12/31/2009)
492009-12-31 CERTIFICATE OF SERVICE filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, re Notice (Other) 48 served on 12/31/2009. (Bridwell, Christopher) (Entered: 12/31/2009)
502010-01-06 SUPPLEMENTAL EXPERT REPORT REPORT of EXPERT PAUL MEYER filed by Plaintiff Securities and Exchange Commission. (Martinez, Karen) (Entered: 01/06/2010)
512010-01-06 SUPPLEMENTAL EXPERT REPORT REPORT of Expert Craig J. McCann, Ph.D., CFA filed by Plaintiff Securities and Exchange Commission. (Martinez, Karen) (Entered: 01/06/2010)
522010-01-11 APPLICATION for attorney Cheryl M. Mori to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit "A": Utah State Bar Certificate of Good Standing, # 2 Proposed Order Order on Application of Non-Resident Attorney Cheryl Mori to Appear in a Specific Case)(Martinez, Karen) (Entered: 01/11/2010)
532010-01-22 APPLICATION for attorney Ethan H. Cohen to Appear Pro Hac Vice (PHV Fee of $185 receipt number 09730000000006430616 paid.) filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. (Bridwell, Christopher) (Entered: 01/22/2010)
542010-01-22 APPLICATION for attorney Ethan H. Cohen to Appear Pro Hac Vice (PHV FEE NOT PAID.) filed by Defendants Angel Romo, Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes. (Attachments: # 1 Exhibit A -State Bar of Georgia Good Standing, # 2 Exhibit Proposed Order on Application on Non-Resident Attorney to Appear in a Specific Case)(Bridwell, Christopher) (Entered: 01/22/2010)
552010-01-26 ORDER by Judge Virginia A. Phillips: granting 52 Application to Appear Pro Hac Vice by Attorney Cheryl Mori on behalf of Plaintiff, designating Karen Matteson as local counsel. (mrgo) (Entered: 01/26/2010)
562010-02-01 MINUTES OF Status Conference held before Judge Virginia A. Phillips: The parties shall meet and confer regarding the submission of a proposed juror questionnaire as to a 4 week trial estimate as soon as possible. Jury Trial continued to 4/20/2010 at 08:30 AM before Judge Virginia A. Phillips. Pretrial Conference continued to 4/12/2010 at 02:30 PM before Judge Virginia A. Phillips.Court Reporter: Phyllis Preston. (mrgo) (Entered: 02/02/2010)
572010-02-03 NOTICE NOTICE OF COMPLIANCE WITH MEET AND CONFER ORDER REGARDING JUROR QUESTIONNAIRE filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/03/2010)
582010-02-04 ORDER by Judge Virginia A. Phillips: granting 53 , 54 Application to Appear Pro Hac Vice by Attorney Ethan H Cohen on behalf of defendants Ainsworth, Haro, Gutierrez, Paredes and Romo, designating Bita A Karabian as local counsel. (mrgo) (Entered: 02/05/2010)
592010-02-12 NOTICE of Filing Expert Report of John H. Chung filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/12/2010)
602010-02-12 NOTICE of Filing Expert Report of Lawrence H. Jacobson filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/12/2010)
612010-02-12 NOTICE of Filing Expert Report of Benjamin G. Baldwin, Jr. - Part 1 of 2 filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/12/2010)
622010-02-12 NOTICE of Filing Expert Report of Benjamin G. Baldwin, Jr. - Part 2 of 2 filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/12/2010)
632010-02-17 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice of Filing Expert Report of Benjamin G Baldwin Jr - Part 2 62 . The following error(s) was found: Title page is missing. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (ad) (Entered: 02/17/2010)
642010-02-18 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS and ORDER by Clerk of Court. The Court ORDERS document No. 62, STRICKEN for the reasons as stated in the Notice of Deficiencies, document No. 63. RE: Notice (Other) 62 . (mrgo) (Entered: 02/22/2010)
652010-02-23 NOTICE of Filing Expert Report of Benjamin G. Baldwin, Jr. - Part 2 of 2 filed by Defendant Guillermo Haro. (Bridwell, Christopher) (Entered: 02/23/2010)
662010-02-26 Joint STIPULATION to Stay Case pending Acceptance of Defendants' Offers of Settlement by the SEC Commissioners filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order Text of Proposed Order Staying Discovery and Pre-trial Deadlines)(Martinez, Karen) (Entered: 02/26/2010)
672010-03-04 ORDER by Judge Virginia A. Phillips: Discovery deadlines are hereby stayed for a period of 45 days, including the outstanding depositions of Defendants Experts John H. Chung and Lawrence Jacobson and the depositions of World Group Securities, Inc. employees Christopher Hanson and Roland Au, while counsel for the SEC seeks approval from the SEC Commissioners of the settlement proposals. All pre-trial deadlines on the Courts calendar are hereby stayed for aperiod of 45 days. The Court sets a status conference in this case for Monday, April 26, 2010 at 1:30 p.m. Plaintiff, Securities and Exchange Commission, shall submit promptly the Defendants offers of settlement to the Commission for approval and advise the Court upon action by the Commission. (am) (Entered: 03/05/2010)
682010-04-15 Joint STIPULATION for Judgment as to Defendants Kederio Ainsworth, Jesus Gutierrez, Guillermo Haro, Gabriel Paredes and Angel Romo filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit 1: Consent of Kederio Ainsworth to Final Judgment of Permanent Injunction and Other Relief, # 2 Exhibit Exhibit 2: Consent of Jesus Gutierrez to Final Judgment of Permanent Injunction and Other Relief, # 3 Exhibit Exhibit 3: Consent of Guillermo Haro to Final Judgment of Permanent Injunction and Other Relief, # 4 Exhibit Exhibit 4: Consent of Gabriel Paredes to Final Judgment of Permanent Injunction and Other Relief, # 5 Exhibit Exhibit 5: Consent of Angel Romo to Final Judgment of Permanent Injunction and Other Relief, # 6 Proposed Order Exhibit 6: Text of Proposed Order of Final Judgment of Permanent Injunction and Other Relief against Kederio Ainsworth, # 7 Proposed Order Exhibit 7: Text of Proposed Order of Final Judgment of Permanent Injunction and Other Relief against Jesus Gutierrez, # 8 Proposed Order Exhibit 8: Text of Proposed Order of Final Judgment of Permanent Injunction and Other Relief against Guillermo Haro, # 9 Proposed Order Exhibit 9: Text of Proposed Order of Final Judgment of Permanent Injunction and Other Relief against Gabriel Paredes, # 10 Proposed Order Exhibit 10: Text of Proposed Order of Final Judgment of Permanent Injunction and Other Relief against Angel Romo)(Martinez, Karen) (Entered: 04/15/2010)
692010-04-21 FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST GUILLERMO HARO by Judge Virginia A. Phillips, in favor of Securities and Exchange Commission Related to: Stipulation for Judgment, 68 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendants agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the Exchange Act) [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (See document for specifics). IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $15,000 and a civil penalty in the amount of $15,000 pursuant to Section 20(d) of the Securities Act and Section 21 (d) of the Exchange Act, for a total of $30,000. (mrgo) (Entered: 04/23/2010)
702010-04-21 FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST JESUS GUTIERREZ AGAINST JESUS GUTIERREZ AGAINST JESUS GUTIERREZ by Judge Virginia A. Phillips, in favor of Securities and Exchange Commission Related to: Stipulation for Judgment, 68 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (see document for specifics). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $2,507 and a civil penalty in the amount of $2,507 pursuant to Section 20(d) of the Securities Act and Section 21(d) of the Exchange Act, for a total of $5,014. (mrgo) (Entered: 04/23/2010)
712010-04-21 FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST KEDERIO AINSWORTH by Judge Virginia A. Phillips, in favor of Securities and Exchange Commission against Kederio Ainsworth Related to: Stipulation for Judgment, 68 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwiseare permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (see document for specifics). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $2,418 and a civil penalty in the amount of $2,418 pursuant to Section 20(d) of the Securities Act and Section 21(d) of the Exchange Act, for a total of $4,836. (mrgo) (Entered: 04/23/2010)
722010-04-21 FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST GABRIEL PAREDES by Judge Virginia A. Phillips, in favor of Securities and Exchange Commission Related to: Stipulation for Judgment, 68 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (see document for specifics). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $5,014 and a civil penalty in the amount of $5,014 pursuant to Section 20(d) of the Securities Act and Section 21(d) of the Exchange Act, for a total of $10,028. (mrgo) (Entered: 04/23/2010)
732010-04-21 FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST ANGEL ROMO by Judge Virginia A. Phillips, in favor of Securities and Exchange Commission Related to: Stipulation for Judgment, 68 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. §78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (see document for specifics). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $1,118 and a civil penalty in the amount of $1,118 pursuant to Section 20(d) of the Securities Act and Section 21(d) of the Exchange Act, for a total of $2,236. (MD JS-6, Case Terminated). (mrgo) (Entered: 04/23/2010)