Case Details

CourtCentral District of California
Docket number8:11-cv-01466
Date case filed2011-09-22
Date case closed2013-05-21
Date of latest filing
Assigned toJudge James V. Selna
Case cause15:77 Securities Fraud
Nature of suit850 Securities/Commodities
Jury demandBoth
Demand
JurisdictionU.S. Government Plaintiff

Case Parties

Party: Securities and Exchange Commission
Party type: Plaintiff
Attorney name: David J Van Havermaat
Attorney Contact:
Securities and Exchange Commission
5670 Wilshire Boulevard 11th Floor
Los Angeles, CA 90036-3648
323-965-3998
Fax: 323-965-3908
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: David Williams
Attorney Contact:
Securities and Exchange Commission
100 F Street North East
Washington, DC 20549-4010
202-551-4548
Fax: 202-772-9246
Email: [email protected]
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Jane M E Peterson
Attorney Contact:
Securities and Exchange Commission
100 F Street NE
Washington, DC 20549
202-551-4468
Fax: 202-772-9292
Email: [email protected]
TERMINATED: 04/30/2013 PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Thomas Rubin
Party type: Defendant
Attorney name: Carolyn A Pearson
Attorney Contact:
Akerman Senterfitt LLP
725 South Figueroa Street 38th Floor
Los Angeles, CA 90017
213-688-9500
Fax: 213-627-6342
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: Edward Gartenberg
Attorney Contact:
Gartenberg Gelfand Hayton and Selden LLP
801 South Figueroa Street Suite 2170
Los Angeles, CA 90017
213-542-2100
Fax: 213-542-2101
Email: [email protected]
ATTORNEY TO BE NOTICED
Party: Christopher Scott
Party type: Defendant
Attorney name: Stanley C Morris
Attorney Contact:
Corrigan and Morris LLP
201 Santa Monica Boulevard, Suite 475
Los Angeles, CA 90401
310-394-2800
Fax: 310-394-2825
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Carolyn A Pearson
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Edward Gartenberg
Attorney Contact:
(See above for address)
TERMINATED: 04/11/2013 ATTORNEY TO BE NOTICED
Party: BGLR Enterprises LLC
Party type: Defendant
Attorney name: Carolyn A Pearson
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Edward Gartenberg
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: E Info Solutions LLC
Party type: Defendant
Attorney name: Stanley C Morris
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Carolyn A Pearson
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Edward Gartenberg
Attorney Contact:
(See above for address)
TERMINATED: 04/11/2013 ATTORNEY TO BE NOTICED
Party: Robert Logan
Party type: Mediator (ADR Panel)
P.O. Box 3898
Palos Verdes Peninsula, CA 90274
310-487-8847

Case Docket

Docket
Item
Date FiledDocument
Available
Short
Description
Long Description
12011-09-22 COMPLAINT against defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott. Case assigned to Judge James V. Selna for all further proceedings. Discovery referred to Magistrate Judge Marc L Goldman.(Filing fee $ 350 No fee required) Jury Demanded, filed by plaintiff Securities and Exchange Commission. DOCUMENTS FILED ON DEMAND.(dg) (dg). (Entered: 09/23/2011)
22011-09-28 COMPLAINT (NUNC PRO TUNC TO 9-22-11) Against defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott. Case assigned to Judge James V. Selna for all further proceedings. Discovery referred to Magistrate Judge Marc L. Goldman. (No Filing fee) Jury Demanded. Filed by plaintiff Securities and Exchange Commission. (rla) (Additional attachment(s) added on 9/30/2011: # 1 Summons Issued re BGLR Enterprises) (rla). (Additional attachment(s) added on 9/30/2011: # 2 Summons Issued as to E-INFO Solutions) (rla). (Additional attachment(s) added on 9/30/2011: # 3 Summons Issued re Christopher Scott) (rla). (Additional attachment(s) added on 9/30/2011: # 4 Summons Issued re Thomas Rubin) (rla). (Entered: 09/30/2011)
32011-10-04 INITIAL ORDER FOLLOWING FILING OF COMPLAINT ASSIGNED TO JUDGE SELNA, by Judge James V. Selna. See order for more information. (twdb) (Entered: 10/05/2011)
42011-10-20 INITIAL ORDER FOLLOWING FILING OF COMPLAINT ASSIGNED TO JUDGE SELNA, by Judge James V. Selna. See order for more information. (twdb) (Entered: 10/20/2011)
52011-10-25 PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Christopher Scott served on 10/11/2011, answer due 11/1/2011. in compliance with Federal Rules of Civil Procedure by method of service not specified. Original Summons returned. (Williams, A) (Entered: 10/25/2011)
62011-10-25 PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant E Info Solutions LLC served on 10/11/2011, answer due 11/1/2011. Service of the Summons and Complaint were executed upon Edward Gartenberg, attorney in compliance with Federal Rules of Civil Procedure by method of service not specified. Original Summons returned. (Williams, A) (Entered: 10/25/2011)
72011-10-25 PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Thomas Rubin served on 10/11/2011, answer due 11/1/2011. Service of the Summons and Complaint were executed upon Edward Gartenberg, attorney in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Williams, A) (Entered: 10/25/2011)
82011-11-02 STIPULATION for Extension of Time to File Answer to 12/1/2012, STIPULATION Extending Time to Answer the complaint as to All Defendants, filed by Defendants BGLR Enterprises LLC, Christopher Scott, Thomas Rubin, E Info Solutions LLC.(Gartenberg, Edward) (Entered: 11/02/2011)
92011-12-01 ANSWER to Complaint - (Discovery), Complaint - (Discovery), Complaint - (Discovery) 2 , Complaint - (Discovery), Complaint - (Discovery) 1 with JURY DEMAND filed by Defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott.(Gartenberg, Edward) (Entered: 12/01/2011)
102011-12-01 NOTICE filed by Defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott. Notice of Firm Name Change (Gartenberg, Edward) (Entered: 12/01/2011)
112011-12-05 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Answer to Complaint (Discovery), Answer to Complaint (Discovery) 9 . The following error(s) was found: Local Rule 7.1-1 No Certification of Interested Parties. 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. (rrp) (Entered: 12/05/2011)
122011-12-06 ANSWER to Complaint - (Discovery), Complaint - (Discovery), Complaint - (Discovery) 2 , Complaint - (Discovery), Complaint - (Discovery) 1 filed by Defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott. (Attachments: # 1 Supplement Certification of Interested Parties)(Gartenberg, Edward) (Entered: 12/06/2011)
132011-12-05 ORDER setting rule 26(f) scheduling conference by Judge James V. Selna. See order for more information. ( Scheduling Conference set for 1/30/2012 11:30 AM before Judge James V. Selna.) (twdb) (twdb). (Entered: 12/06/2011)
142012-01-23 JOINT REPORT Rule 26(f) Discovery Plan ; estimated length of trial 8 days (Plaintiff), 3-4 weeks (Defendants), filed by Defendants BGLR Enterprises LLC, E Info Solutions LLC, Thomas Rubin, Christopher Scott, Plaintiff Securities and Exchange Commission.. (Attachments: # 1 Exhibit A)(Williams, A) (Entered: 01/23/2012)
152012-01-30 MINUTES OF Scheduling Conference held before Judge James V. Selna. Cause called and counsel make their appearances. The Court and counsel confer. The Courtsets the case management dates with the agreement of counsel as follows: Discovery cut-off 4/23/2013. Final Pretrial Conference set for 7/29/2013 11:00 AM before Judge James V. Selna. Jury Trial set for 8/13/2013 08:30 AM before Judge James V. Selna.Court Reporter: Sharon Seffens. (twdb) (Entered: 02/07/2012)
162012-02-06 ORDER by Judge James V. Selna, I. ORDER FOR JURY TRIAL SETTING DATES FOR: Discovery Cut-Off: April 23, 2013; Pre-Trial Conference: July 29, 2013 at 11:00 A.M.; Trial: August 13, 2013 at 8:30 A.M.; II. Order for Preparation for JURY TRIAL; III. Order Governing Attorney & Party Conduct at Trial. (rla) (Entered: 02/07/2012)
172012-02-28 STIPULATION REGARDING SELECTION of Panel Mediator filed. Parties stipulate that Robert H. Logan may serve as Panel Mediator. Plaintiff obtained the Panel Mediators consent to serve. Filed by Plaintiff Securities and Exchange Commission(Williams, A) (Entered: 02/28/2012)
182012-02-29 NOTICE OF ASSIGNMENT of Panel Mediator. Mediator (ADR Panel) Robert Logan has been assigned to serve as Panel Mediator. (mb) (Entered: 02/29/2012)
192012-10-15 APPLICATION for attorney Jane M.E. Peterson to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order On Application of Non-Resident Attorney to Appear)(Van Havermaat, David) (Entered: 10/15/2012)
202012-10-17 ORDER by Judge James V. Selna: granting 19 Application to Appear Pro Hac Vice by Attorney Jane M.E. Peterson on behalf of Plaintiff, designating Daivd J. Havermaat as local counsel. (lt) (Entered: 10/18/2012)
212013-01-09 MEDIATION REPORT Filed by Mediator (ADR Panel) Robert Logan: Mediation held on January 8, 2013. The parties are unable to reach an agreement at this time.(mb) (Entered: 01/09/2013)
222013-04-10 APPLICATION to Substitute attorney Stanley C. Morris in place of attorney Edward Gartenberg filed by defendant E Info Solutions LLC. (Gartenberg, Edward) (Entered: 04/10/2013)
232013-04-10 APPLICATION to Substitute attorney Stanley C. Morris in place of attorney Edward Gartenberg filed by defendant Christopher Scott. (Gartenberg, Edward) (Entered: 04/10/2013)
242013-04-11 Joint STIPULATION to Stay Case pending Proceedings filed by Joint BGLR Enterprises LLC, Thomas Rubin, Securities and Exchange Commission. (Attachments: # 1 Proposed Order Order On The Parties' Notice of Joint Motion to Stay the Proceedings)(Gartenberg, Edward) (Entered: 04/11/2013)
252013-04-11 ORDER by Judge James V. Selna: granting 22 Application to Substitute Attorney. Added attorney Stanley C Morris for E Info Solutions LLC. Attorney Edward Gartenberg terminated (twdb) (Entered: 04/15/2013)
262013-04-11 ORDER by Judge James V. Selna: granting 23 Application to Substitute Attorney. Added attorney Stanley C Morris for Christopher Scott. Attorney Edward Gartenberg terminated (twdb) (Entered: 04/15/2013)
272013-04-29 ORDER by Judge James V. Selna, granting Stipulation to Stay Case 24 . (twdb) (Entered: 04/29/2013)
282013-04-30 NOTICE Withdrawal of Jane M.E. Peterson as Counsel for the SEC filed by Plaintiff Securities and Exchange Commission. (Peterson, Jane) (Entered: 04/30/2013)
292013-05-21 SETTLEMENT AGREEMENT Consent of Defendant BGLR Enterprises, LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Williams, A) (Entered: 05/21/2013)
302013-05-21 SETTLEMENT AGREEMENT Consent of Defendant E-Info Solutions, LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Williams, A) (Entered: 05/21/2013)
312013-05-21 SETTLEMENT AGREEMENT Consent of Defendant Christopher Scott filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Williams, A) (Entered: 05/21/2013)
322013-05-21 SETTLEMENT AGREEMENT Consent of Defendant Thomas Rubin filed by Plaintiff Securities and Exchange Commission. (Attachments: # 1 Proposed Order)(Williams, A) (Entered: 05/21/2013)
332013-05-21 JUDGMENT by Judge James V. Selna, AS TO DEFENDANT BGLR ENTERPRISES, LLC: IT IS HEREBY FURTHER 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 Judgment by personal service or otherwise are permanently restrained and enjoined from violating Section 5(a) and 5(c) of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption: (See document for further details.) IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. (rla) (Entered: 05/22/2013)
342013-05-21 JUDGMENT by Judge James V. Selna, AS TO DEFENDANT CHRISTOPHER SCOTT: (See document for details.) IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall be liable for disgorgement of $112,056, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $12,604.34, and a civil penalty in the amount of $75,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. § 77t(d)] and 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)], all of which the Defendant is jointly and severally liable with the entity, E-Info Solutions, LLC. Defendant shall pay the total of disgorgement, prejudgment interest, and penalty due of $199,660.34 to the Commission according to the following schedule: (1) $59,898.10 within 14 days of the entry of this Final Judgment; (2) $139,762.24 within 364 days of the entry of this Final Judgment plus post judgment interest, which accrues pursuant to 28 U.S.C. § 1961 on any unpaid amounts due after 14 days of the entry of Final Judgment. Payments shall be deemed made on the date they are received by the Commission and shall be applied first to post judgment interest, which accrues pursuant to 28 U.S.C. § 1961 on any unpaid amounts due after 14 days of the entry of Final Judgment. Prior to making the final payment set forth herein, Defendant shall contact the staff of the Commission for the amount due for the final payment. (rla) (Entered: 05/22/2013)
352013-05-21 JUDGMENT by Judge James V. Selna, AS TO DEFENDANT THOMAS RUBIN: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 further details.) IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. (rla) (Entered: 05/22/2013)
362013-05-21 JUDGMENT by Judge James V. Selna, AS TO DEFENDANT E-INFO SOLUTIONS, LLC: 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 Judgment by personal service or otherwise are permanently restrained and enjoined from violating Section 5(a) and 5(c) of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption: (See document for details.) IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment.(MD JS-6, Case Terminated). (rla) (Entered: 05/22/2013)