United States Securities and Exchange Commission v. Trevor Cook, et al.
Plaintiff: United States Securities and Exchange Commission
Defendant: Trevor Cook, Patrick J. Kiley, Crown Forex, LLC, Market Shot, LLC, PFG Coin and Bullion, Oxford Developers, S.A., Oxford FX Growth, L.P., Oxford Global Managed Futures Fund, L.P., UBS Diversified FX Advisors, LLC, UBS Diversified FX Growth, L.P., UBS Diversified FX Management, LLC, Basel Group, LLC, Clifford Berg, Ellen Berg, Oxford Global Partners, LLC, Oxford Global FX, LLC, Oxford Global Advisors, LLC, UBS Diversified Growth, LLC and Universal Brokerage FX Management, LLC
Receiver: R.J. Zayed, Carlson, Caspers, Vandenburgh & Lindquist
Intervenor: The Law Office of William J. Mauzy and William J. Mauzy
Case Number: 0:2009cv03333
Filed: November 23, 2009
Court: US District Court for the District of Minnesota
Office: DMN Office
County: Dakota
Presiding Judge: Davis
Presiding Judge: Keyes
Nature of Suit: Other
Cause of Action: 15:77 Securities Fraud
Jury Demanded By: None

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed Document Text
May 4, 2015 Opinion or Order Filing 1218 ORDER. IT IS HEREBY ORDERED that the motion to dismiss certain relief defendants 1184 is GRANTED. The SEC's claims against Relief Defendants Clifford Berg and Ellen Berg and Hollie Beckman are hereby dismissed with prejudice. (Written Opinion). Signed by Chief Judge Michael J. Davis on 5/4/15. (GRR)
October 21, 2011 Opinion or Order Filing 903 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 897 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/21/11. (GRR)
October 19, 2011 Opinion or Order Filing 900 ORDER. IT IS HEREBY ORDERED THAT the Receiver's Motion to Retain Outside Counsel for Purposes of Pursuing Claims Against Third Parties 893 is GRANTED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/19/11. (GRR)
September 6, 2011 Opinion or Order Filing 891 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 878 .(Written Opinion). Signed by Chief Judge Michael J. Davis on 9/6/11. (GRR)
August 12, 2011 Opinion or Order Filing 873 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 859 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 8/12/11. (GRR)
June 27, 2011 Opinion or Order Filing 845 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 831 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/27/11. (GRR)
June 23, 2011 Opinion or Order Filing 842 ORDER. IT IS HEREBY ORDERED THAT the motion 809 is GRANTED. (1) The Receiver is authorized to conduct a private sale of the real property located at 5463 Brookfield Road, South Haven, Minnesota 55382 in accordance with 28 U.S.C. § 2001(b). (2) The Court hereby appoints Marci Segner and Pat Hill, RE/MAX as the realtors for the sale of the South Haven property. (3) Upon reaching an agreement to sell the South Haven property, the Receiver shall publish notice of the sale and file a motion with this Court seeking confirmation of the sale in accordance with 28 U.S.C. § 2001(b). (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/23/11. (GRR)
June 6, 2011 Opinion or Order Filing 830 ORDER. IT IS HEREBY ORDERED: The Court will defer ruling on this motion 774 for ninety (90) days. The parties shall appear before the Court on Friday, September 9, 2011, at 11:00 a.m. to determine whether the Receiver has filed claims against NRP and Western. The $3.4 million settlement proceeds at issue here shall remain in escrow pending the Courts decision on this motion.(Written Opinion). Signed by Chief Judge Michael J. Davis on 6/6/11. (GRR)
May 17, 2011 Opinion or Order Filing 801 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 786 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 5/17/11. (GRR)
April 19, 2011 Opinion or Order Filing 761 ORDER. IT IS HEREBY ORDERED that the Clerk of Court is to sever any and all claims arising under the Summary Proceedings referenced in CFTC Doc. No. 354 and SEC Doc. No. 384 , assign them to a new case number and randomly assign this new case to an other Judge using the electronic reassignment system. The caption shall read as follows: R.J. Zayed, in his Capacity as Court-Appointed Receiver for Trevor G. Cook et al., Petitioner, v. David Buysse, Steven and Pamela Cheney, Walter Defiel, John D zik, Terry Frahm, Steven and Jenene Fredell, William Harris, Michael Heise, Michael and Cynthia Hillesheim, Larry Hopfenspirger, Steven Kautzman, James McIntosh, George and Karen Morrisset, Reynold Sundstrom, and Dot Anderson, Respondents. The filin g fee is waived under 28 U.S.C. § 1914. This reassignment shall be documented on the record for all parties to reference. Attached as Exhibit A is the list of docket numbers to be transferred into the new case. All new proceedings, hearings an d filings in conjunction with the above referenced Summary Proceedings shall be submitted and filed with the Judge reassigned concerning these matters. The parties shall also refile their objections to the Report and Recommendation of Magistrate Judge Noel [CFTC Doc. No. 643; SEC Doc. No. 696] in the new civil case. The remainder of Civil Nos. 09-3332 and 09-3333 shall remain before Chief Judge Michael J. Davis. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/19/11. (GRR)
April 5, 2011 Opinion or Order Filing 732 ORDER ENTERING RECOGNIZED CLAIM AMOUNTS AND APPROVING PROCESS FOR JUDICIAL RESOLUTION OF DISPUTED CLAIMS. Granting 711 Motion. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/5/11. (GRR)
March 15, 2011 Opinion or Order Filing 709 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 686 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 3/15/11. (GRR)
February 4, 2011 Opinion or Order Filing 673 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 660 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 2/4/11. (GRR)
January 6, 2011 Opinion or Order Filing 649 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 642 Motion for Attorney Fees (Written Opinion). Signed by Chief Judge Michael J. Davis on 1/6/11. (GRR)
December 23, 2010 Opinion or Order Filing 646 ORDER. Plaintiff, the United States Securities and Exchange Commission (the "Commission"), pursuant to Rule 41(a)(2) of the Federal Rules of Civil Procedure, has filed a notice of dismissal for all claims asserted by the Commission against Oxford Global Managed Futures Fund, LP. Based on said Notice 641 all of the Commission's claims against Oxford Global Managed Futures Fund, LP are dismissed with prejudice. Each party is to bear its own costs. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/23/10. (GRR)
December 9, 2010 Opinion or Order Filing 618 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 593 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/9/10. (GRR)
December 6, 2010 Opinion or Order Filing 614 ORDER. IT IS HEREBY ORDERED that Defendant Trevor Cook's Motion to Vacate/Purge Contempt 474 is GRANTED effective November 1, 2010. The Court will retain jurisdiction over this matter and orders Cook to meet and cooperate with the Receiver, the CFTC and the SEC until further Order of this Court. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/6/10. (GRR)
November 9, 2010 Opinion or Order Filing 579 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 576 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 11/9/10. (GRR)
November 1, 2010 Opinion or Order Filing 566 ORDER. IT IS HEREBY ORDERED that Defendant Trevor Cook's Motion to Vacate/Purge Contempt 474 is DENIED. The SEC, CFTC and the Receiver shall continue to meet with Defendant Cook for purposes of recovering additional investor assets. Prior t o each such interview, the SEC, CFTC and the Receiver shall submit to Defendant Cook's counsel the list of questions that will be asked the Defendant, and the information sought, in order to streamline the interview process. The parties shall appear before the Court for a status conference on December 6, 2010 at 9:00 a.m.(Written Opinion). Signed by Chief Judge Michael J. Davis on 11/1/10. (GRR)
September 3, 2010 Opinion or Order Filing 462 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. 414 (Written Opinion). Signed by Chief Judge Michael J. Davis on 9/3/10. (GRR)
August 6, 2010 Opinion or Order Filing 402 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 386 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 8/6/10. (GRR)
August 5, 2010 Opinion or Order Filing 400 ORDER. Based upon the records, files and proceedings herein, and pursuant to the agreement reached by the Plaintiffs in these actions, the Receiver, and Greene Espel, IT IS HEREBY ORDERED THAT: 1. Greene Espel's motion 346 is GRANTED; and 2. The Receiver shall cause to be paid from the Receiver Estate the amount of $81,000.00 to Greene Espel P.L.L.P., as its reasonable attorney fees and expenses incurred in the protection and preservation of assets for the Receivership Estate.(Written Opinion). Signed by Chief Judge Michael J. Davis on 8/5/10. (GRR)
June 16, 2010 Opinion or Order Filing 341 ORDER granting Motion to Compel 309 pursuant to the Stipulation 340 executed on June 16, 2010(Written Opinion). Signed by Chief Judge Michael J. Davis on 6/16/10. (GRR)
June 1, 2010 Opinion or Order Filing 331 ORDER. Based on the submissions of the Receiver, the Court hereby appoints Alan Zucchiatti of Rainy Lake Realty Ltd., 540 Kings Highway, Fort Frances, Ontario, P9A2T1 to sell the Rainy Lake Property, formerly identified as Parcel 4178 Rainy River, Island G 1251 containing 2.3 acres situated in Rainy Lake, West of Sand Point Island District of Rainy River. (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/1/10. (GRR)
May 6, 2010 Opinion or Order Filing 314 ORDER GRANTING RECEIVERS MOTION FOR SALE OF CERTAIN PERSONAL PROPERTY IN ITS POSSESSION. IT IS HEREBY ORDERED that the Receivers Motion For Sale Of Certain Personal Property In Its Possession pursuant to 28 U.S.C. § 2001 and 28 U.S.C. § 2004 253 is GRANTED (Written Opinion). Signed by Chief Judge Michael J. Davis on 5/6/10. (GRR)
April 20, 2010 Opinion or Order Filing 258 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 246 (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/20/10. (GRR)
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Search for this case: United States Securities and Exchange Commission v. Trevor Cook, et al.
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Plaintiff: United States Securities and Exchange Commission
Represented By: Robyn A Millenacker
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Defendant: Trevor Cook
Represented By: Piper Kenney Webb
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Defendant: Patrick J. Kiley
Represented By: Peter B Wold
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Defendant: Crown Forex, LLC
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Defendant: Market Shot, LLC
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Defendant: PFG Coin and Bullion
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Defendant: Oxford Developers, S.A.
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Defendant: Oxford FX Growth, L.P.
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Defendant: Oxford Global Managed Futures Fund, L.P.
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Defendant: UBS Diversified FX Advisors, LLC
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Defendant: UBS Diversified FX Growth, L.P.
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Defendant: UBS Diversified FX Management, LLC
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Defendant: Basel Group, LLC
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Defendant: Clifford Berg
Represented By: John C Brink
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Defendant: Ellen Berg
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Defendant: Oxford Global Partners, LLC
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Defendant: Oxford Global FX, LLC
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Defendant: Oxford Global Advisors, LLC
Represented By: Barbara P Berens
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Defendant: UBS Diversified Growth, LLC
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Defendant: Universal Brokerage FX Management, LLC
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Receiver: R.J. Zayed, Carlson, Caspers, Vandenburgh & Lindquist
Represented By: R J Zayed
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Intervenor: The Law Office of William J. Mauzy
Represented By: Christopher W Madel
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Intervenor: William J. Mauzy
Represented By: Christopher W Madel
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