Securities and Exchange Commission v. Anthony Todd Johnson et al
| Securities and Exchange Commission |
| Michael Gregory, CIS Marketing, LLC, Zabala Farms Group, LLC, Valley View Enterprises LLC, GPA Enterprises LLC, Extraction Capital Tier 1, LLC, Target Equity LLC, Lloyd Marketing, LLC, Anthony Todd Johnson, Jeremy Johnson, C-Quadrant LLC, Green Bud Initiatives LLC, Smart Initiatives, LLC, RJ Holdings Group, LLC, Mark Heckele, Charles Lloyd, Green Growth Ventures, LLC, Richard Portillo, Todd Johnson, Mark W. Heckele and Mark Walter Heckele |
| Hon Patricia Yim Cowett |
| 5:2020cv01493 |
| July 28, 2020 |
| US District Court for the Central District of California |
| Shashi H Kewalramani |
| R Gary Klausner |
| Mark C Scarsi |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Defendant |
Docket Report
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This docket was last retrieved on June 29, 2022. A more recent docket listing may be available from PACER.
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Filing 140
FINAL JUDGMENT AS TO DEFENDANT MARK W. HECKELE by Judge Mark C. Scarsi: For the reasons set forth in the Courts January 26, 2022 order granting in part and denying in part summary judgment (ECF No. 83) and the Courts findings of fact and conclusions of law #139 : Defendant Mark W. Heckele violated and is permanently restrained and enjoined re violations of SEC ACT as specified and enumerated herein. Heckele shall pay disgorgement in the amount of $268,237.50 together with prejudgment interest in the amount of $42,595.22, for a total of $310,832.72, all of which represents net profits gained as a result of the conduct alleged in the Complaint, which the Court finds is for the benefit of investors. The Court further imposes a civil penalty against Heckele in the amount of $207,183.00. Heckele shall satisfy these obligations by paying for aforementioned sums to the Securities and Exchange Commission with 30 days after entry of this Final Judgment. (SEE DOCUMENT FOR COMPLIANCE REQUIREMENTS AND DEADLINES). (MD JS-6, Case Terminated). (lc)
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Filing 139
FINDINGS OF FACT AND CONCLUSIONS OF LAW 2 by Judge Mark C. Scarsi : The Court concludes that Plaintiff has violated Section 10(b)(5) and Rule 10b-5 of the Exchange Act, Section 17(a)(1), (2), (3) of the Securities Act, and Section 20(a) of the Exchange Act. The Court DENIES the SEC's Motion to Strike as moot based on the findings of fact above #127 . The SEC shall file a proposed plan of distribution of disgorged funds within 30 days of Heckele paying the disgorged funds to the SEC. The Court has now found Defendant liable of all claims in the SEC's Complaint. The Court directs the Clerk to enter Judgment against Defendant and close the case. (lc)
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Filing 138
REPLY in support of NOTICE OF MOTION AND MOTION to Strike Declaration of Defendant Mark Heckele Trial Brief #122 #127 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1)(Searles, Donald)
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Filing 137
DECLARATION of Charles E. Canter re Generic Text Only Entry, 136 in Support of Securities and Exchange Commission's Plan for Distributing any Disgorgement Award to Harmed Investors filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 136
TEXT ONLY ENTRY (IN CHAMBERS) ORDER by Judge Mark C. Scarsi: The Court orders Plaintiff to submit evidence supporting its plan for distributing any disgorgement award to harmed investors within seven days of this entry. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 135
MINUTES (IN CHAMBERS) by Judge Mark C. Scarsi: ORDER DENYING Ex p ARTE APPLICATION AS MOOT #134 . The Court vacates the closing argument set for May 2, 2022 at 1 :00 p.m. The Court DENIES AS MOOT Defendant Mark Heckele's ex parte application for a telephonic hearing. (lc)
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Filing 134
First EX PARTE APPLICATION for Leave of Defendant to Appear for Telephonically in re Closing Argument filed by Defendant Mark W. Heckele. Ex Parte Application set for hearing on 5/2/2022 at 01:00 PM before Judge Mark C. Scarsi. (Attachments: #1 Proposed Order Granting Request to Appear Telephonically) (Heckele, Mark)
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Filing 133
OPPOSITION to NOTICE OF MOTION AND MOTION to Strike Declaration of Defendant Mark Heckele Trial Brief #122 #127 RESPONSE filed by Defendant Mark W. Heckele. (Heckele, Mark)
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Filing 132
RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS RE: NOTICE OF MOTION AND MOTION to Strike Declaration of Defendant Mark Heckele Trial Brief #122 #127 by Judge Mark C. Scarsi. The document is accepted as filed. (dbe)
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Filing 131
NOTICE OF FILING TRANSCRIPT filed for proceedings 3/22/22 a.m. and 3/23/22 re Transcript #130 , #129 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (mwo) TEXT ONLY ENTRY
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Filing 130
TRANSCRIPT for proceedings held on 3/23/22 TRIAL DAY 2. Court Reporter/Electronic Court Recorder: Marea Woolrich, phone number mareawoolrich@aol.com. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 5/17/2022. Redacted Transcript Deadline set for 5/27/2022. Release of Transcript Restriction set for 7/25/2022. (mwo)
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Filing 129
TRANSCRIPT for proceedings held on 3/22/22 TRIAL DAY 1 A.M. Court Reporter/Electronic Court Recorder: Marea Woolrich, phone number mareawoolrich@aol.com. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 5/17/2022. Redacted Transcript Deadline set for 5/27/2022. Release of Transcript Restriction set for 7/25/2022. (mwo)
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Filing 128
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: NOTICE OF MOTION AND MOTION to Strike Declaration of Defendant Mark Heckele Trial Brief #122 #127 by SEC. The following error(s) was/were found: Hearing information is missing, incorrect, or not timely. Proposed Document was not submitted as separate attachment. As a motion, No hearing information on filing nor set on Judge's Motion Calendar; if filing was seeking order of court to strike... Missing proposed order which was not submitted as a separate attachment. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 127
NOTICE OF MOTION AND MOTION to Strike Declaration of Defendant Mark Heckele Trial Brief #122 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Donald W. Searles) (Searles, Donald)
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Filing 126
DECLARATION of Charles E. Canter re Notice of Lodging, #125 filed by Plaintiff Securities and Exchange Commission. (Canter, Charles)
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Filing 125
NOTICE OF LODGING filed (1) Amended Proposed Findings of Fact and Conclusions of Law (2) Amended Proposed Final Judgment re Response By Court to Notice of Deficiencies (G-112B) - optional html form, #124 (Attachments: #1 Amended Proposed Findings of Facts and Conclusions of Law, #2 Amended Proposed Final Judgment)(Canter, Charles)
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Filing 124
RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS RE: Memorandum of Contentions of Fact and Law (Plaintiff Securities and Exchange Commission's Proposed Findings of Fact and Conclusions of Law) #121 by Judge Mark C. Scarsi. The document is stricken and counsel is ordered to file an amended or corrected document by April 25, 2022. (smo)
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Filing 123
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Memorandum of Contentions of Fact and Law #121 . The following error(s) was/were found: Proposed Document was not submitted as separate attachment. Incorrect document is attached to the docket entry. 1) The main document was Not a Post Trial Memorandum of Contentions 2) The filing was the Proposed findings of fact and conclusions of law, which should have been submitted as a separate attachment to a main document. 3) Clerk Notes filer submitted a proposed judgment as an to this filing. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 122
TRIAL BRIEF Proposed Findings of Fact and Conclusions of Law filed by Defendant Mark W. Heckele.. (Attachments: #1 Declaration Declaration of Mark Heckele, #2 Proposed Order Proposed Final Judgment)(Heckele, Mark)
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Filing 121
POST-TRIAL PROPOSED MEMORANDUM of CONTENTIONS of FACT and LAW filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Charles Canter, #2 Proposed Final Judgment)(Canter, Charles)
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Filing 120
NOTICE OF FILING TRANSCRIPT filed for proceedings 3/22/22 PM session re Transcript #119 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY
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Filing 119
TRANSCRIPT for proceedings held on 3/22/22 PM session. Court Reporter/Electronic Court Recorder: Miriam V. Baird, phone number mvb11893@aol.com. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 4/20/2022. Redacted Transcript Deadline set for 5/2/2022. Release of Transcript Restriction set for 6/28/2022. (Baird, Miriam)
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Filing 118
LIST OF EXHIBITS AND WITNESSES at trial. (lom)
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Filing 117
MINUTES OF Court Trial (2nd day )held before Judge Mark C. Scarsi: Witnesses called, sworn and testified. Exhibits identified and admitted. Filed Witness and Exhibit lists. Findings, Conclusions of Law and Judgment to be prepared by plaintiff and defendant. Briefs to be filed by April 20, 2022 (proposed FFCL orders). Bench Trial continued to May 2, 2022 01:00 PM. Matter continued for possible closing arguments on May 2, 2022. The parties will be notified if a hearing is necessary. Court Reporter: Marea Woolrich. (lc)
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Filing 116
MINUTES OF COURT TRIAL (1st Day) held before Judge Mark C. Scarsi: Opening statements made. Witneses called, sworn and testified. Exhibits identified and admitted. Bench Trial continued to 3/23/2022 09:00 AM. Parties stipulate to preadmit exhibits 1-73 and Heckele's deposition and investigative statement transcripts. Court Reporter: Marea Woolrich (AM) and Miriam Baird (PM). (lc)
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Filing 115
TRANSCRIPT ORDER as to Plaintiff Securities and Exchange Commission for Court Reporter. (Canter, Charles)
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Filing 114
NOTICE OF LODGING filed (Lodging Transcripts) re Pretrial-Trial Scheduling Order - form only #56 (Attachments: #1 The Marked Investigative Transcript of Defendant Mark Heckele, #2 The Marked Deposition Transcript of Defendant Mark Heckele, #3 The Marked Deposition Transcript of Charles Lloyd)(Canter, Charles)
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Filing 113
NOTICE OF LODGING filed Deposition Transcripts re Pretrial-Trial Scheduling Order - form only #56 (Attachments: #1 Unredacted Document Deposition transcript Todd Johnson, #2 Unredacted Document Deposition transcript Jeremy Johnson)(Heckele, Mark)
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Filing 112
TRIAL BRIEF Supplemental Memorandum of Contentions of Fact and Law filed by Defendant Mark W. Heckele.. (Heckele, Mark)
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Filing 111
FINAL PRETRIAL CONFERENCE ORDER approved by Judge Mark C. Scarsi (lc)
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Filing 110
AMENDED JOINT Exhibit List filed by Plaintiff Securities and Exchange Commission.. (Canter, Charles)
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Filing 109
ORDER on ex Parte Application Granting (Preemptive) Request for Trial Recess #106 by Judge Mark C. Scarsi. IT IS HEREBY ORDERED that a recess shall be scheduled during the first day of trial, on Tuesday, March 22, 2022, from 10:00 a.m. to 10:45 a.m. (smo)
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Filing 108
TRIAL BRIEF Evidentiary Objections to Direct Testimony filed by Defendant Mark W. Heckele.. (Heckele, Mark)
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Filing 107
RESPONSE filed by Plaintiff Securities and Exchange Commissionto First EX PARTE APPLICATION to Schedule Trial Recess #106 (Searles, Donald)
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Filing 106
First EX PARTE APPLICATION to Schedule Trial Recess filed by Defendant Mark W. Heckele. (Attachments: #1 Proposed Order) (Heckele, Mark)
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Filing 105
RESPONSE filed by Plaintiff Securities and Exchange Commissionto Witness Testimony Summaries #101 (Searles, Donald)
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Filing 104
ORDER DENYING REQUEST for Leave of Mark Heckele to Appear for Telephonically at the Final pretrial conference #102 by Judge Mark C. Scarsi. (lc)
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Filing 103
TEXT ONLY ENTRY (IN CHAMBERS) ORDER VACATING FINAL PRETRIAL CONFERENCE by Judge Mark C. Scarsi: The Court vacates the March 7, 2022 hearing for the Final Pretrial Conference. Within three days of this entry, the parties shall submit either evidentiary objections to the declarations of direct testimony or a statement indicating the party has no objections. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 102
First REQUEST for Leave of Mark Heckele to Appear for Telephonically in re FPTC filed by Defendant Mark W. Heckele. Request set for hearing on 3/7/2022 at 02:00 PM before Judge Mark C. Scarsi. (Attachments: #1 Proposed Order Granting Request) (Heckele, Mark)
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Filing 101
WITNESS TESTIMONY SUMMARIES filed by Defendant Mark W. Heckele. (Attachments: #1 Declaration Mark Heckele Decl of Direct Testimony)(Heckele, Mark)
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Filing 100
DECLARATION of David Sheehan re Response #99 to Order regarding Declarations of Direct Testimony filed by Plaintiff Securities and Exchange Commission. (Canter, Charles)
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Filing 99
RESPONSE filed by Plaintiff Securities and Exchange Commissionto Minutes of In Chambers Order/Directive - no proceeding held, #98 (Searles, Donald)
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Filing 98
MINUTE ORDER IN CHAMBERS by Judge Mark C. Scarsi:ORDER RE: DECLARATIONS OF DIRECT TESTIMONY. The Court required the parties to file declarations of direct testimony as part of the pretrial documents for this court trial. The Court orders the parties to file declarations of direct testimony by Monday, February 28, 2022 and to file objections by Thursday, March 3, 2022. (lc)
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Filing 97
NOTICE OF LODGING filed re Memorandum of Contentions of Fact and Law #91 (Attachments: #1 Proposed Order Proposed Findings of Fact and Conclusions of Law)(Heckele, Mark)
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Filing 96
NOTICE OF LODGING Proposed Pretrial Conference Order Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Pretrial Conference Order)(Canter, Charles)
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Filing 95
Witness List filed by Defendant Mark W. Heckele.. (Heckele, Mark)
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Filing 94
MEMORANDUM of CONTENTIONS of FACT and LAW filed by Defendant Mark W. Heckele. (Heckele, Mark)
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Filing 93
JOINT Exhibit List filed by Plaintiff Securities and Exchange Commission.. (Canter, Charles)
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Filing 92
Proposed Findings of Fact and Conclusions of Law filed by Plaintiff Securities and Exchange Commission (Canter, Charles)
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Filing 91
MEMORANDUM of CONTENTIONS of FACT and LAW filed by Plaintiff Securities and Exchange Commission. (Canter, Charles)
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Filing 90
JOINT STATUS REPORT of Settlement filed by Plaintiff Securities and Exchange Commission. (Canter, Charles)
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Filing 89
Witness List filed by Plaintiff Securities and Exchange Commission.. (Canter, Charles)
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Filing 88
MINUTES (IN CHAMBERS) by Judge Mark C. Scarsi: ORDER DENYING DEFENDANT MARK HECKELE'S EX PARTE APPLICATION FOR RECONSIDERATION OF PART OF THE COURT'S ORDER ON PLAINTIFF SECURITIES AND EXCHANGE COMMISSION'S MOTION FOR SUMMARY JUDGMENT #84 . (SEE DOCUMENT FOR SPECIFICS). (lc)
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Filing 87
ORDER ON STIPULATION FOR COURT TRIAL #86 by Judge Mark C. Scarsi: The trial in this matter shall be before the Court (bench trial). (lc)
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Filing 86
STIPULATION for Court Trial filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Canter, Charles)
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Filing 85
Opposition opposition re: First EX PARTE APPLICATION for Reconsideration of Court Order Granting (in part) Plaintiff's MSJ #84 filed by Plaintiff Securities and Exchange Commission. (Canter, Charles)
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Filing 84
First EX PARTE APPLICATION for Reconsideration of Court Order Granting (in part) Plaintiff's MSJ filed by Defendant Mark W. Heckele. (Attachments: #1 Declaration Mark Heckele Decl in Support, #2 Proposed Order Granting Application) (Heckele, Mark)
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Filing 83
ORDER GRANTING IN PART AND DENYING IN PART MOTION FOR SUMMARY JUDGMENT #66 by Judge Mark C. Scarsi: The Court grants summary judgment in favor of Plaintiff on its Section 5 and Section 15(a) claims. The Court denies summary judgment on Plaintiffs Section 10(b), Rule 10b-5, Section 17(a), and Section 20(a) claims. Pursuant to Federal Rule of Civil Procedure 56(g), the Court will treat as established facts supporting all elements but negligence and scienter of the Section 10(b) and Rule 10b-5(b) and Section 17(a)(2) claims, and facts supporting the control person element of the Section 20(a) claim. Since the Court only partially granted summary judgment in Plaintiffs favor, the Court declines to rule on the requests for civil penalties, disgorgement, and an injunction at this time. (lc)
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Filing 82
MINUTE ORDER IN CHAMBERS by Judge Mark C. Scarsi: ORDER CONTINUING DATES UPON REVIEW OF STIPULATION #81 . The Court continues the following dates: Final Pretrial Conference: 3/7/2022 at 2:00 PM; Jury Trial: 3/22/2022 at 8:30 AM; Trial filings (round one): 2/14/2022; Trial filings (round two): 2/21/2022. (lc) Modified on 12/8/2021 (smo).
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Filing 81
STIPULATION to Vacate Trial Date and Continue Final Pretrial Conference filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Charles E. Canter, #2 Proposed Order)(Canter, Charles)
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Filing 80
FINAL JUDGMENT AS TO DEFENDANTS CHARLES LLOYD AND LLOYD MARKETING, LLC #78 by Judge Mark C. Scarsi : Defendants and their agents are permanently restrained and enjoined from violating the Securities Exchange Act (see document for specific cites). Lloyd shall pay disgorgement in the amount of $533,253.00 together with prejudgment interest in the amount of $78,370.00, for a total of $611,623.00 and that Lloyd Marketing shall pay, jointly and severally with Lloyd, disgorgement in the amount of $265,016.00, together with prejudgment interest in the amount of $43,400.00, for a total of $308,416.00, all of which represents net profits gained as a result of the conduct alleged in the Complaint, which the Court finds is for the benefit of investors. The Court further imposes a civil penalty against Lloyd in the amount of $195,047.00 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 21(d) of the Exchange Act [15 U.S.C. 78u(d)(3)]. Defendants shall satisfy these obligations by paying for aforementioned sums to the Securities and Exchange Commission with 30 days after entry of this Final Judgment. (SEE DOCUMENT FOR SPECIFIC COMPLIANCE REQUIREMENTS AND DEADLINES). (lc)
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Filing 79
MINUTES OF Motion Hearing held before Judge Mark C. Scarsi: RE MOTION for Summary Judgment against Defendants Charles Lloyd, Mark Heckele and Lloyd Marketing, LLC #66 . Counsel address the Court. The Court takes the Motion UNDER SUBMISSION and a ruling will be issued. Court Recorder: CourtSmart. (lc)
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Filing 78
STIPULATION for Judgment as to Defendants Charles Lloyd and Lloyd Marketing, LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment as to Defendants Charles Lloyd and Lloyd Marketing, LLC)(Searles, Donald)
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Filing 77
ORDER GRANTING FIRST STIPULATION #76 TO CONTINUE MOTION FOR SUMMARY JUDGMENT HEARING FROM NOVEMBER 15, 2021 TO NOVEMBER 22, 2021 9:00 AM #66 by Judge Mark C. Scarsi (lc)
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Filing 76
First STIPULATION to Continue Motion for Summary Judgment from November 15, 2021 to November 22, 2021 filed by Defendant Mark W. Heckele. (Attachments: #1 Declaration, #2 Proposed Order)(Heckele, Mark)
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Filing 75
(IN CHAMBERS) ORDER CONTINUING PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS MOTION FOR SUMMARY JUDGMENT AGAINST DEFENDANTS CHARLES LLOYD, MARK HECKELE, AND LLOYD MARKETING, LLC (ECF No. #66 ) by Judge Mark C. Scarsi: The Court on its own motion, continues the above referenced motion from November 8, 2021 to November 15,2021 at 9:00 a.m. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vv)
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Filing 74
REPLY in support of NOTICE OF MOTION AND MOTION for Summary Judgment against Defendants Charles Lloyd, Mark Heckele and Lloyd Marketing, LLC #66 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Amended Proposed Judgment)(Canter, Charles)
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Filing 73
OPPOSITION filed by Defendant Mark W. Heckele. (Attachments: #1 Supplement, #2 Supplement, #3 Declaration, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit, #14 Exhibit, #15 Exhibit, #16 Exhibit, #17 Exhibit, #18 Exhibit, #19 Exhibit, #20 Exhibit, #21 Exhibit)(Heckele, Mark)
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Filing 72
MINUTES (IN CHAMBERS) by Judge Mark C. Scarsi: ORDER RE: EX PARTE APPLICATION #71 . Defendant Mark Heckele, pro se, applies ex parte for an order extending his time to respond to Plaintiff Securities and Exchange Commission's motion for summary judgment and continuing the hearing on the motion. The other parties do not oppose the application. The Court grants the application and continues the motion hearing to November 8, 2021, at 9:00 AM. #66 . Briefing deadlines for all parties shall be calculated pursuant to Local Rule 7 -11 . (lc) Modified on 9/22/2021 (lc).
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Filing 71
First EX PARTE APPLICATION to Continue hearing from October 18, 2021 to November 8, 2021, First EX PARTE APPLICATION for Extension of Time to File response to plaintiff's MSJ filed by defendant Mark W. Heckele. (Attachments: #1 Declaration Mark Heckele Decl in Support, #2 Proposed Order Granting Application) (Heckele, Mark)
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Filing 70
NOTICE OF LODGING filed re NOTICE OF MOTION AND MOTION for Summary Judgment against Defendants Charles Lloyd, Mark Heckele and Lloyd Marketing, LLC #66 (Attachments: #1 [Proposed] Final Judgment)(Canter, Charles)
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Filing 69
TEXT ONLY ENTRY (IN CHAMBERS) RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS (G-112a) by Judge Mark C. Scarsi: In accordance with the Notice to Filer of Deficiencies in Electronically Filed Documents (ECF No. #67 ), regarding Motion for Summary Judgment by Plaintiff (ECF No. #66 ), IT IS HEREBY ORDERED that the document is accepted as filed. Counsel shall file a "Notice of Lodging of the Proposed Judgment Re..." with the proposed judgment e-filed as an attachment to the notice by September 20, 2021. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 68
TEXT ONLY ENTRY (IN CHAMBERS) RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS (G-112a) by Judge Mark C. Scarsi: In accordance with the Notice to Filer of Deficiencies in Electronically Filed Documents (ECF No. #65 ), regarding Request for Approval of Substitution or Withdrawal of Counsel (ECF No. #64 ), IT IS HEREBY ORDERED that the document is stricken. Counsel seeking to withdraw from representation must file a motion to withdraw complying with Local Rule 83-2.3 et seq. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 67
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Plaintiff's NOTICE OF MOTION AND MOTION for Summary Judgment against Defendants Charles Lloyd, Mark Heckele and Lloyd Marketing, LLC #66 . The following error(s) was/were found: Proposed Document was not submitted as separate attachment. Local Rule 56-1 Statement of uncontroverted facts and/or proposed judgment lacking. Other error(s) with document(s): Re the missing proposed judgment. As an alternative, prepare and e-file a formal Notice of Lodging, to be docketed only under its specific event: Notice of Lodging, to which the formal proposed judgment is submitted as Separate Attachment thereto. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 66
NOTICE OF MOTION AND MOTION for Summary Judgment against Defendants Charles Lloyd, Mark Heckele and Lloyd Marketing, LLC filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 10/18/2021 at 09:00 AM before Judge Mark C. Scarsi. (Attachments: #1 Memorandum of Points and Authorities, #2 Statement of Undisputed Facts, #3 Declaration of Charles Canter) (Canter, Charles)
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Filing 65
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice of Appearance or Withdrawal of Counsel (G-123), #64 . The following error(s) was/were found: Incorrect event selected. Correct event to be used is: Request; Substitute Attorney (G-01). In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (sbou)
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Filing 64
Notice of Appearance or Withdrawal of Counsel: for attorney Paul Ming Ma counsel for Defendant Charles Lloyd. paul ming ma is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by defendant charles LIoyd. (Attachments: #1 Proposed Order)(Ma, Paul)
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Filing 63
Notice of Appearance or Withdrawal of Counsel: for attorney Donald W Searles counsel for Plaintiff Securities and Exchange Commission. Adding Charles E. Canter as counsel of record for Securities and Exchange Commission for the reason indicated in the G-123 Notice. Filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 62
Notice of Electronic Filing re Notice of Assignment of Panel Mediator(ADR-11) #61 e-mailed to D Loren Washburn bounced due to No longer at firm. The primary e-mail address associated with the attorney record has been deleted. Pursuant to Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (lmh) TEXT ONLY ENTRY
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Filing 61
NOTICE OF ASSIGNMENT of Panel Mediator. Mediator (ADR Panel) Patricia Yim Cowett has been assigned to serve as Panel Mediator. (lst)
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Filing 60
FINAL JUDGMENT AS TO DEFENDANTS SMART INITIATIVES, LLC, VALLEY VIEW ENTERPRISES LLC, TARGET EQUITY LLC, ZABALA FARMS GROUP, LLC, GPA ENTERPRISES LLC AND GREEN BUD INITIATIVES LLC #54 by Judge Mark C. Scarsi: Defendants GPA Enterprises LLC, Green Bud Initiatives LLC, Smart Initiatives, LLC, Target Equity LLC, Valley View Enterprises LLC, Zabala Farms Group, LLC are permanently enjoined re violation of the Securities Act (SEE DOCUMENT FOR SPECIFICS). DEFENDANT GREEN BUD INITIATIVES, LLC shall pay, jointly and severally with co-defendants Anthony Todd Johnson and Jeremy Johnson, disgorgement of $2,776,726.00, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $222,575.00 for a total of $2,999,301.00, which the Court finds is for the benefit of investors. (SEE DOCUMENT FOR COMPLIANCE REQUIREMENTS AND INSTRUCTIONS THEREIN). (lc)
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Filing 59
FINAL JUDGMENT OF PERMANENT INJUNCTION PER STIPULATION AS TO DEFENDANT JEREMY #53 by Judge Mark C. Scarsi : Defendant permanently enjoined re violation of Securities Act (SEE DOCUMENT FOR SPECIFICS). Defendant shall pay, jointly and severally with co-defendants Anthony Todd Johnson and Green Bud Initiatives LLC, disgorgement of $2,776,726.00, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $222,575.00 for a total of $2,999,301.00, which the Court finds is for the benefit of investors. The Court further imposes a civil penalty against Defendant in the amount of $192,768.00. (SEE DOCUMENT FOR COMPLIANCE REQUIREMENTS AND INSTRUCTIONS THEREIN) (lc)
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Filing 58
FINAL JUDGMENT OF PERMANENT INJUNCTION PER STIPULATION AS TO DEFENDANT ANTHONY TODD JOHNSON #52 by Judge Mark C. Scarsi : Defendant permanently enjoined re violation of Securities Act (SEE DOCUMENT FOR SPECIFICS). Defendant shall pay, jointly and severally with co-defendants Jeremy Johnson and Green Bud Initiatives LLC, disgorgement of $2,776,726.00, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $222,575.00 for a total of $2,999,301.00, which the Court finds is for the benefit of investors. The Court further imposes a civil penalty against Defendant in the amount of $192,768.00. (SEE DOCUMENT FOR COMPLIANCE REQUIREMENTS AND INSTRUCTIONS THEREIN). (lc)
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Filing 57
ORDER/REFERRAL to ADR Procedure No 2 by Judge Mark C. Scarsi. Case ordered to Court Mediation Panel for mediation. ADR Proceeding to be held no later than November 1, 2021. (smo)
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Filing 56
ORDER RE: JURY TRIAL by Judge Mark C. Scarsi. Final Pretrial Conference set for 1/10/2022, at 2:00 PM and Jury Trial set for 1/25/2022, at 8:30 AM before Judge Mark C. Scarsi. See document for additional pretrial dates and deadlines. (smo)
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Filing 55
TEXT ONLY ENTRY (IN CHAMBERS) ORDER TAKING SCHEDULING CONFERENCE UNDER SUBMISSION by Judge Mark C. Scarsi: The Court has considered the parties' Joint Rule 16(b)/26(f) Report with respect to the Scheduling Conference and has concluded that the hearing on February 1, 2021 is not necessary. Accordingly, the Scheduling Conference is taken off calendar and under submission. No appearance by counsel is necessary. A separate order will issue setting the deadlines and dates for this case. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 54
STIPULATION for Judgment as to Defendants Smart Initiatives, LLC, Valley View Enterprises LLC, Target Equity LLC, Zabala Farms Group, LLC, GPA Enterprises LLC and Green Bud Initiatives LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 53
STIPULATION for Judgment as to Defendant Jeremy Johnson filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 52
STIPULATION for Judgment as to Defendant Anthony Todd Johnson filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 51
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Report #50 . The following error(s) was/were found: Incorrect event selected. Correct event to be used is: Joint Report Rule 26(f) Discovery Plan. Other error(s) with document(s): Note: To assist in a search for correct events, please use the "SEARCH" option for a "key word" to narrow the selection process. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 50
JOINT REPORT of Rule 26(f) filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 49
FINAL JUDGMENT AS TO DEFENDANTS RICHARD PORTILLO, RJ HOLDINGS GROUP,LLC AND CIS MARKETING, LLC ON CONSENT #48 by Judge Mark C. Scarsi: Defendants Richard Portillo and CIS Marketing, LLC, jointly and severally are permanently restrained and enjoined from violating, directly or indirectly re the Securities Exchange Act (see document for specified section cites therein) and shallpay disgorgement of $269,375.00, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $20,888, for a total of $290,263.00, which the Court finds is for the benefit of investors. The Court further imposes a civil penalty against Defendant Richard Portillo in the amount of $192,768.00. (SEE DOCUMENT FOR SPECIFIC COMPLIANCE INSTRUCTIONS AND REQUIREMENTS) (lc)
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Filing 48
Amended STIPULATION for Judgment as to Defendants Richard Portillo, RJ Holdings Group, LLC and CIS Marketing, LLC filed by Plaintiff Securities and Exchange Commission.(Searles, Donald)
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Filing 47
INITIAL DISCLOSURE filed by Defendant Charles Lloyd (Ma, Paul)
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Filing 46
RESPONSE filed by Plaintiff Securities and Exchange Commissionto Order to Show Cause #45 (Searles, Donald)
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Filing 45
(IN CHAMBERS) ORDER TO SHOW CAUSE (LOP) by Judge Mark C. Scarsi. Response to Order to Show Cause due by 1/15/2021. (smo)
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Filing 44
TEXT ONLY ENTRY (IN CHAMBERS) by Judge Mark C. Scarsi. The Consent of Defendants Richard Portillo, RJ Holdings Group, LLC and CIS Marketing, LLC (ECF No. #43 ) is incomplete. Mr. Portillo's signature does not comply with Local Rule 5-4.3.4. The document lacks notary acknowledgment. The Court lacks contact information for consenting defendants or their counsel, who purport to enter a general appearance through the consent. The Court defers entry of judgment until a complete consent is filed. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 43
STIPULATION for Judgment as to Defendants Richard Portillo, RJ Holdings Group, LLC and CIS Marketing, LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 42
ORDER by Judge Mark C. Scarsi: granting #40 APPLICATION for Pro Se Electronic Filing. The applicant must register to use the Courts CM/ECF System within five (5) days of being served with this order. Registration information is available at the Pro Se Litigant E-Filing web page located on the Courts website. Upon registering, the applicant will receive a CM/ECF login and password that will allow him/her to file non-sealed documents electronically in this case only. Any documents being submitted under seal must be manually filed with the Clerk. (lc)
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Filing 40
APPLICATION for Pro Se Litigant to electronically file documents in a specific case filed by defendant Mark Walter Heckele. (lc)
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Filing 39
FINAL JUDGMENT AS TO DEFENDANT MICHAEL R. GREGORY ON CONSENT #38 by Judge Mark C. Scarsi : Defendant Michael R. Gregory and his agents etc are permanently restrained and enjoined from violating, directly or indirectly re the Securities Exchange Act (see document for specified section cites therein). Defendant Defendant liable for civil penalty in amount of $192,768.00 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. Defendant shall pay post judgment interest on any delinquent amounts (SEE DOCUMENT FOR SPECIFIC COMPLIANCE INSTRUCTIONS AND REQUIREMENTS). (lc)
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Filing 38
STIPULATION for Judgment as to Defendant Michael R. Gregory filed by Plaintiff Securities and Exchange Commission.(Searles, Donald)
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Filing 37
FINAL JUDGMENT PURSUANT TO CONSENT #35 by Judge Mark C. Scarsi: Defendant C-Quadrant LLC and its agents etc are permanently restrained and enjoined from violating, directly or indirectly re the Securities Exchange Act (see document for specified section cites therein). (lc)
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Filing 36
TEXT ONLY ENTRY (IN CHAMBERS) by Judge Mark C. Scarsi. The Consent of Defendant Michael R. Gregory (ECF No. #34 ) does not appear to be fully executed. Counsel for Mr. Gregory has not affirmed approval of the document as to form. The Court defers entry of judgment as to Mr. Gregory until a consent with counsel's signature is filed. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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Filing 35
STIPULATION for Judgment as to Defendant C-Quadrant LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 34
STIPULATION for Judgment as to Defendant Michael R. Gregory filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 33
ANSWER to Complaint (Attorney Civil Case Opening) #1 with JURY DEMAND filed by defendant Mark Walter Heckele.(lc)
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Filing 32
ORDER RE: THIRD STIPULATION EXTENDS TIME OF DEFENDANTS ANTHONY TODD JOHNSON, JEREMY JOHNSON, SMART INITITIVES, LLC, VALLEY VIEW ENTERPRISES LLC, TARGET EQUITY, LLC, ZABALA FARMS GROUP, LLC, GPA ENTERPRISES LLC, C QUADRANT LLC, AND GREEN BUD INITIATIVES, LLC TO RESPOND TO INITIAL COMPLAINT TO DECEMBER 2, 2020. NO FURTHER EXTENSIONS OF TIME WILL BE ENTERTAINED #31 by Judge Mark C. Scarsi (lc)
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Filing 31
Third STIPULATION Extending Time to Answer the complaint as to C-Quadrant LLC answer now due 12/2/2020; GPA Enterprises LLC answer now due 12/2/2020; Green Bud Initiatives LLC answer now due 12/2/2020; Anthony Todd Johnson answer now due 12/2/2020; Jeremy Johnson answer now due 12/2/2020; Smart Initiatives, LLC answer now due 12/2/2020; Target Equity LLC answer now due 12/2/2020; Valley View Enterprises LLC answer now due 12/2/2020; Zabala Farms Group, LLC answer now due 12/2/2020, re Civil Cover Sheet (CV-71) #2 , Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Christopher Wilson, #2 Proposed Order)(Searles, Donald)
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Filing 30
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Lloyd defendants' Answer to Complaint (Attorney Civil Case Opening) #29 . The following error(s) was/were found: Incorrect event selected. Correct event to be used is: Notice: Certificate/Notice of Interested Parties. Due to incorrect event Erroneous duplicate "answer" recorded on the docket. Other error(s) with document(s): Note: To assist in a search for correct events, please use the "SEARCH" option for a "key word" to narrow the selection process. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 29
ANSWER to Complaint (Attorney Civil Case Opening) #1 certificate and notice of interested parties filed by defendants Charles LIoyd and LIoyd Marketing LLC filed by defendants Charles Lloyd.(Ma, Paul)
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Filing 28
RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS RE: Answer to Complaint #25 by Judge Mark C. Scarsi. The document is accepted as filed.Defendant shall file their Certificate of Interested Parties no later than November 6, 2020. (lc)
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Filing 27
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Answer to Complaint #25 by defendants LIoyd Marketing LLC, Charles Lloyd. The following error(s) was/were found: Local Rule 7.1-1 No Notice of Interested Parties and/or no copies. Other error(s) with document(s): Clerical error re filer did not link to Lloyd Marketing LLC, but texted in the party. Per Clerks office policy clerk has created link to Lloyd Marketing LLC to the answer. Therefore filer need only respond to missing certificate of interested party re these 2 defendants only. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order 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. (lc)
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Filing 26
ORDER SETTING SCHEDULING CONFERENCE by Judge Mark C. Scarsi. Scheduling Conference set for 2/1/2021 at 10:00 AM before Judge Mark C. Scarsi. (smo)
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Filing 25
ANSWER to Complaint (Attorney Civil Case Opening) #1 filed by defendants LIoyd Marketing LLC, Charles Lloyd.(Ma, Paul) Modified on 11/2/2020 (lc).
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Filing 24
FINAL JUDGMENT OF PERMANENT INJUNCTION PER STIPULATION AS TO DEFENDANTS GREEN GROWTH VENTURES, LLC AND EXTRACTION CAPITAL TIER 1, LLC AND THEIR AGENTS ETC., (SEE DOCUMENT FOR SPECIFICS) #22 by Judge Mark C. Scarsi (lc)
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Filing 23
INITIAL STANDING ORDER FOR CIVIL CASES ASSIGNED TO JUDGE MARK C. SCARSI by Judge Mark C. Scarsi. This case has been assigned to the calendar of Judge Mark C. Scarsi. Both the Court and counsel bear responsibility for the progress of this litigation in federal court. To "secure the just, speedy, and inexpensive determination" of this case, all parties or their counsel are ordered to become familiar with the Federal Rules of Civil Procedure, the Local Rules of the Central District of California, and this Courts Standing Orders. (smo)
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Filing 22
STIPULATION for Judgment as to Defendants Green Growth Ventures, LLC and Extraction Capital Tier 1, LLC filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Final Judgment)(Searles, Donald)
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Filing 21
ORDER RE: SECOND STIPULATION TO EXTEND TIME OF DEFENDANTS ANTHONY TODD JOHNSON, JEREMY JOHNSON, SMART INITITIVES, LLC, VALLEY VIEW ENTERPRISES LLC, TARGET EQUITY, LLC, ZABALA FARMS GROUP, LLC, GPA ENTERPRISE LLC, C-QUADRANT LLC AND GREEN BUD INITIATIVES, LLC TO RESPOND TO INITIAL COMPLAINT BY NO MORE THAN AN ADDITIONAL 30 DAYS #20 by Judge Mark C. Scarsi. IT IS HEREBY ORDERED that the Stipulation is GRANTED and that Defendants may file an answer or otherwise respond to the SEC's complaint in the above-captioned action on or before November 2, 2020. (lom)
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Filing 20
Second STIPULATION Extending Time to Answer the complaint as to C-Quadrant LLC answer now due 11/2/2020; GPA Enterprises LLC answer now due 11/2/2020; Green Bud Initiatives LLC answer now due 11/2/2020; Anthony Todd Johnson answer now due 11/2/2020; Jeremy Johnson answer now due 11/2/2020; Smart Initiatives, LLC answer now due 11/2/2020; Target Equity LLC answer now due 11/2/2020; Valley View Enterprises LLC answer now due 11/2/2020; Zabala Farms Group, LLC answer now due 11/2/2020, re Civil Cover Sheet (CV-71) #2 , Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Searles, Donald)
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Filing 19
ORDER OF THE CHIEF JUDGE (#20-150) approved by Judge Philip S. Gutierrez. Pursuant to the recommended procedure adopted by the Court for the CREATION OF CALENDAR of Judge Mark C. Scarsi, this case is transferred from Judge R. Gary Klausner to the calendar of Judge Mark C. Scarsi for all further proceedings. The case number will now reflect the initials of the transferee Judge 5:20-cv-05293 MCS(SHKx). (rn)
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Filing 18
STIPULATION Extending Time to Answer the complaint as to Charles Lloyd answer now due 10/31/2020; Lloyd Marketing, LLC answer now due 10/29/2020, re Complaint (Attorney Civil Case Opening) #1 , Civil Cover Sheet (CV-71) #2 filed by Plaintiff Securities and Exchange Commission.(Searles, Donald)
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Filing 17
Notice of Appearance or Withdrawal of Counsel: for attorney Paul Ming Ma counsel for Defendant Charles Lloyd. Adding paul ming ma as counsel of record for Charles LIoyd, LIoyd Marketing LLC for the reason indicated in the G-123 Notice. Filed by defendants Charles LIoyd, LIoyd Marketing LLC. (Attorney Paul Ming Ma added to party Charles Lloyd(pty:dft))(Ma, Paul)
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Filing 16
STIPULATION Extending Time to Answer the complaint as to C-Quadrant LLC answer now due 10/2/2020; GPA Enterprises LLC answer now due 10/2/2020; Green Bud Initiatives LLC answer now due 10/2/2020; Anthony Todd Johnson answer now due 10/2/2020; Jeremy Johnson answer now due 10/2/2020; Smart Initiatives, LLC answer now due 10/2/2020; Target Equity LLC answer now due 10/2/2020; Valley View Enterprises LLC answer now due 10/2/2020; Zabala Farms Group, LLC answer now due 10/2/2020, re Civil Cover Sheet (CV-71) #2 , Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission.(Searles, Donald)
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Filing 15
STIPULATION Extending Time to Answer the complaint as to Extraction Capital Tier 1, LLC answer now due 10/29/2020; Green Growth Ventures, LLC answer now due 10/29/2020; Mark Heckele answer now due 10/29/2020, re Civil Cover Sheet (CV-71) #2 , Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission.(Searles, Donald)
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Filing 14
PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Mark Heckele served on 9/8/2020, answer due 9/29/2020. Service of the Summons and Complaint were executed upon Defendant in compliance with statute not specified by personal service.Original Summons NOT returned. (Searles, Donald)
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Filing 13
PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Extraction Capital Tier 1, LLC served on 9/8/2020, answer due 9/29/2020; Green Growth Ventures, LLC served on 9/8/2020, answer due 9/29/2020; Charles Lloyd served on 9/10/2020, answer due 10/1/2020; Lloyd Marketing, LLC served on 9/8/2020, answer due 9/29/2020. Service of the Summons and Complaint were executed upon Eunice Lloyd - Co Resident/Wife of Defendant Charles Lloyd and Mark Heckele as authorized recipient for the registered agent of Defendant Lloyd Marketing, LLC and Manager of Defendants Green Growth Ventures, LLC and Extraction Capital Tier 1, LLC in compliance with statute not specified by personal service.Original Summons NOT returned. (Searles, Donald)
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Filing 12
PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant CIS Marketing, LLC served on 8/31/2020, answer due 9/21/2020; Richard Portillo served on 8/31/2020, answer due 9/21/2020; RJ Holdings Group, LLC served on 8/31/2020, answer due 9/21/2020. Service of the Summons and Complaint were executed upon Defendants in compliance with statute not specified by personal service.Original Summons NOT returned. (Searles, Donald)
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Filing 11
PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant C-Quadrant LLC served on 8/12/2020, answer due 9/2/2020; GPA Enterprises LLC served on 8/12/2020, answer due 9/2/2020; Green Bud Initiatives LLC served on 8/12/2020, answer due 9/2/2020; Anthony Todd Johnson served on 8/12/2020, answer due 9/2/2020; Jeremy Johnson served on 8/12/2020, answer due 9/2/2020; Smart Initiatives, LLC served on 8/12/2020, answer due 9/2/2020; Target Equity LLC served on 8/12/2020, answer due 9/2/2020; Valley View Enterprises LLC served on 8/12/2020, answer due 9/2/2020; Zabala Farms Group, LLC served on 8/12/2020, answer due 9/2/2020. Service of the Summons and Complaint were executed upon Gilbert J. Bradshaw, Attorney in compliance with statute not specified by method of service not specified.Original Summons NOT returned. (Searles, Donald)
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Filing 10
21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendants C-Quadrant LLC, CIS Marketing, LLC, Extraction Capital Tier 1, LLC, GPA Enterprises LLC, Green Bud Initiatives LLC, Green Growth Ventures, LLC, Michael Gregory, Mark Heckele, Anthony Todd Johnson, Jeremy Johnson, Charles Lloyd, Lloyd Marketing, LLC, Richard Portillo, RJ Holdings Group, LLC, Smart Initiatives, LLC, Target Equity LLC, Valley View Enterprises LLC, Zabala Farms Group, LLC. (ghap)
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Filing 9
Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 , Civil Cover Sheet (CV-71) #2 filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 8
NOTICE OF DEFICIENCIES in Request to Issue Summons RE: Summons Request #3 . The following error(s) was found: The caption of the summons must match the caption of the complaint verbatim. If the caption is too large to fit in the space provided, enter the name of the first party and then write see attached.Next, attach a face page of the complaint or a second page addendum to the Summons. Please put some of the Defendant names and put See Attachment. The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (ghap)
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Filing 7
STANDING ORDER REGARDING NEWLY ASSIGNED CASES by Judge R. Gary Klausner. (sw)
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Filing 6
Notice to counsel re consent to proceed before a United States Magistrate Judge Eastern Division Blackout Case. (ghap)
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Filing 5
NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (ghap)
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Filing 4
NOTICE OF ASSIGNMENT to District Judge R. Gary Klausner and Magistrate Judge Shashi H. Kewalramani. (ghap)
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Filing 3
Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 , Civil Cover Sheet (CV-71) #2 filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 2
CIVIL COVER SHEET filed by Plaintiff Securities and Exchange Commission. (Searles, Donald)
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Filing 1
COMPLAINT No Fee Required - US Government, filed by Plaintiff Securities and Exchange Commission. (Attorney Donald W Searles added to party Securities and Exchange Commission(pty:pla))(Searles, Donald)
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