Securities and Exchange Commission v. Total Wealth Management, Inc. et al
| Securities and Exchange Commission |
| Total Wealth Management, Inc. and Jacob Keith Cooper |
| Kristen A. Janulewicz |
| 3:2015cv00226 |
| February 4, 2015 |
| US District Court for the Southern District of California |
| San Diego Office |
| San Diego |
| David H. Bartick |
| Cynthia Bashant |
| Securities/Commodities/Exchanges |
| 12 U.S.C. ยง 22 |
| None |
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The following documents for this case are available for you to view or download:
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Filing
244
ORDER granting 241 Motion for Order on Fourth Interim Applications of Receiver for Payment of Fees and Reimbursement of Expenses [January 1, 2017 - July 31, 2018] and granting First Interim Application of Crowe LLP, Accountant for the Receiver for Fees for March 1, 2015 through November 30, 2017. Court approves the Receiver's fees in the amount of $148,290.00. Court authorizes and directs the Receiver to pay 90% of the approved fees from the assets of the Receivership Entities o n an interim basis, in the amount of $133,461.00. Court approves Allen Matkin's fees in the amount of $421,162.25. Court authorizes and directs the Receiver to pay Allen Matkin 70% of the approved fees from the Receivership Entiti es assets on an interim basis, in the amount of $294,814.57. Court approves Allen Matkin's request for reimbursement of costs in the amount of $5,107.86, and authorizes and directs the Receiver to reimburse Allen Matkin in full. Court approves Crowe's fees in the amount of $157,727.00. Court authorizes and directs the Receiver to pay Crowe the remaining balance of $125,330.81. The Receiver shall submit his proposed omnibus plan and all necessary documentation to Court by 2/11/2019. Signed by Judge Cynthia Bashant on 12/4/2018. (All non-registered users served via U.S. Mail Service) (jah)
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Filing
240
ORDER granting Receiver's 230 Motion for Order Establishing Allowed Claims and Approving Omnibus and Specific Claim Objections. Court overrules Investor Donald William Clugston's Objection 239 and grants Receiver's Motion 230 . R eceiver's recommended treatment of claims is approved, as modified: a.) The claims of the FTB are deemed allowed, in the aggregate amount of $47,764.40, b.) The three (3) investor claims identified and addressed in the Receiver's Omnib us Reply 237 are allowed, in the amounts reflected therein, and c.) The Receiver's recommended treatment of all other claims identified in Exhibit A (Investor Claims) and Exhibit B (Non-Investor Claims) attached to the Motion 230 is approved. Signed by Judge Cynthia Bashant on 9/11/2018. (All non-registered users served via U.S. Mail Service) (jah)
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Filing
229
ORDER granting in part and denying in part Plaintiff's 208 Motion for Order Awarding Settlement Funds to Receiver; denying Defendant Jacob Cooper's 215 Motion for Order Awarding Settlement Funds and Motion to Strike Portions of the De claration of Receiver Thomas A. Seaman. Court denies without prejudice 208 Joint Motions' request for set-off and equitable subordination for the ALJ judgment of $2,595,992.99. Courts grants the Joint Motion 208 , Court orders that Defen dant Cooper's outstanding obligation from Court's judgment against Cooper in the amount of $584,354.00 be set-off against the Settlement proceeds resulting from the Receiver Malpractice Action and the Cooper Malpractice Action, and ord ers that to the extent any proceeds remain after the preceding set-off granted by this Order, any remaining proceeds shall be applied to satisfy the amount of the restitution and disgorgement claim identified in the Joint Motion 208 and Receiver� 39;s Declaration. Receiver is ordered to hold any proceeds from the Jacko Settlement that remain after application of the proceeds authorized by this Order. Receiver ordered to notify Court whether proceeds remain after they are applied to satisfy th e outstanding judgment and the restitution and disgorgement claim, but shall not identify the amount of the proceeds. Notice shall be provided not later than 14 days after application of the proceeds. Signed by Judge Cynthia Bashant on 7/17/2018. (jah)
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Filing
198
ORDER Granting 196 Motion to File Documents Under Seal. Signed by Judge Cynthia Bashant on 3/5/2018. (mxn)
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Filing
185
ORDER granting Plaintiff Securities Exchange and Commission's 151 Motion for Summary Judgment; denying Defendant Jacob Keith Cooper's 173 Motion to Stay. Court enters Final Judgment of Permanent Injunction against Defendant Jacob Keit h Cooper. Defendant Jacob Keith Cooper is liable for disgorgment of $262,787 representing profits gained as a result of the conduct alleged in the Complaint. Mr. Cooper is liable for prejudgment interest on his net disgorgement obligation of � 36;262,787 in the amount of $21,567 for a total disgorgement of $284,354/ Mr. Cooper shall pay a civil penalty in the amount of $300,000 pursuant to Section 209(e) of the Advisers Act, 15 USC 80b-(9)(e). The total amount due to the Com mission within 14 days after entry of this Final Judgment is $584,354. Court shall retain jurisdiction over this matter for the purpose of enforcing the terms of this Final Judgment. Pursuant to FRCP 54(b), the Clerk is ordered to enter this Final Judgment forthwith and without further notice. Signed by Judge Cynthia Bashant on 9/27/2017. (jah)
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Filing
137
ORDER granting Receiver's 124 Motion for Order Establishing Summary Claims Procedures, Setting Class Bar Date, and Approving Claim Form. Court grants the Receiver's motion in its entirety. Receiver's use of summary procedures for the determination of claims against the estate of the Receivership Entities, as detailed in the Motion, is authorized and approved. Receiver's proposed means of noticing prospective claimants via his website, email, mail and by publication of a not ice of the claims process in the San Diego Union-Tribune within 10 days of this order is authorized and approved. A claims bar date of 60 days after the date of the Receiver's publication of notice of the claims process is hereby established. The notice and instructions, and claim form, attached to the Motion as Exhibit A are approved. Signed by Judge Cynthia Bashant on 2/27/2017. (All non-registered users served via U.S. Mail Service) (jah)
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Filing
132
ORDER denying as moot 89 Renewed Motion to File Documents Under Seal; granting in part and denying in part 92 Motion to File Documents Under Seal; granting 117 Second Motion to File Documents Under Seal. The Clerk is instructed to file the lod ged documents 93-1 and 92-1 under seal. Defendant Cooper must file the Amended Motion for Determination Assets are Untainted by Alleged Fraud 93 on the public docket after redacting Michael Copper's account number information. Defendant Copper is ordered to file the Amended Motion by 2/2/2017. The Clerk is instructed to file the lodged documents 118 under seal. Signed by Judge Cynthia Bashant on 1/30/2017. (jah)
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Filing
127
ORDER granting 107 Second Interim Motion for Payment of Fees and Reimbursement of Expenses. Court approves Receiver's second interim application for fees in the amount of $90,695.00. Court authorizes payment to Kristen A. Janulewicz of 90 % of the approved fees ($81,625.50), on an interim basis from the assets of the Receivership Entities. Court approves Allen Matkins' application for fees in the amount of $159,492.75. Court authorizes and directs the Successor Rec eiver to pay Allen Matkins 80% of approved fees ($127,594.20) on an interim basis from the assets of the Receivership Entities. Court approves Allen Matkins' request for reimbursement of expenses in the amount of $3,892.33, and authorizes and directs the Successor Receiver to reimburse Allen Matkins for such costs in full. Signed by Judge Cynthia Bashant on 12/15/2016. (jah)
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Filing
75
ORDER granting Receiver's 51 First Interim Motion for Payment of Fees and Reimbursement of Expenses. Court grants on an interim basis, the applications for fees and reimbursement of expenses for the period of 2/4/2015 through 6/30/2015. Court approves Receiver's fees in the amount of $195,832.90. Court authorizes the Receiver to pay herself 90% of the approved fees, or $176,249.61 from the assets of the Receivership Entities on an interim basis. Court approves Allen M atkins' fees in the amount of $252,037.35, and authorizes and directs the Receiver to pay Allen Matkins 80% of the approved fees, or $201,629.88 from the assets of the Receivership Entities on an interim basis. Court approves Allen Matkins' request for reimibursement of costs totaling $17,081.93, and authorizes and directs the Receiver to reimiburse Allen Matkins for costs in full. Signed by Judge Cynthia Bashant on 2/24/2016. (jah)
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Filing
56
ORDER Sanctioning Attorney Vincent J. Brown; and Scheduling Telephonic Status Conference: Attorney Vincent J. Brown shall personally pay a sanction of $500.00 for his failures to appear in this action. The sanction shall be paid from Mr. Brown 's personal funds no later than December 7, 2015. A telephonic Status Conference, with all parties, shall be held on November 23, 2013 at 9:30 a.m. before Judge Bartick. The Clerk of Court is directed to serve a copy of this order on Defendant Jacob Keith Cooper. Signed by Magistrate Judge David H. Bartick on 11/6/15.Order mailed to Keith Cooper (dlg)
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