Securities and Exchange Commission v. Mattera et al Featured Case
Plaintiff: Securities and Exchange Commission
Defendant: John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, LTD, Praetorian G Power I , LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard, II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon and Spartan Capital Partners
Relief_defendant: Ann A. Mattera, Lan T. Phan and Executive Source Holding, LLC
Case Number: 1:2011cv08323
Filed: November 17, 2011
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: P. Kevin Castel
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15:77
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on January 22, 2014. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 26, 2012 Filing 107 FINDINGS OF FACT AND CONCLUSIONS OF LAW ON CIVIL CONTEMPT: Plaintiff Securities and Exchange Commission (the "SEC") moves for an order finding defendant John A Mattera ("John Mattera" or "Mattera") and relief defendant Ann A Mattera ("Ann Mattera") (referred to collectively as the "Mattera Defendants") in civil contempt. Specifically, the SEC asserts that John Mattera and Ann Mattera, who is John Mattera's mother, have disobeyed this Court's orders dated November 17, 2011, November 29, 2011, and December 1, 2011 (referred to collectively as the "Court's Orders"). Set forth below are the Court's Findings of Fact and Conclusions of Law. Having considered the parties' submissions and the evidence admitted into the record, the Court finds by clear and convincing evidence that the Mattera Defendants violated the Court's Orders. The Mattera Defendants are therefore adjudged to be in contempt of Court, and the SEC's motion is granted. Nothing in this Order shall vary, alter, or modify the terms of the TRO dated November 17, 2011 (Docket# 4), the Consent Order dated November 29, 2011 (Docket# 25), and the PI Order dated December 1, 2011 (Docket# 28), all of which remain in effect. (Signed by Judge P. Kevin Castel on 9/25/2012) (jfe)
September 26, 2012 Filing 106 FINDINGS OF FACT AND CONCLUSIONS OF LAW ON CIVIL CONTEMPT: Set forth below are the Court's Findings of Fact and Conclusions of Law. Having considered the parties' submissions and the evidence admitted into the record, the Court finds by clear and convincing evidence that the Mattera Defendants violated the Court's Orders. The Mattera Defendants are therefore adjudged to be in contempt of Court, and the SEC's motion is granted. (Signed by Judge P. Kevin Castel on 9/25/2012) (Attachments: # 1 Part 2)(js)
September 18, 2012 Filing 105 AFFIDAVIT OF SERVICE of Letter, Subpoena to Appear ande Testify at a Hearing or Trial in a Civil Action served on Mr. John A. Mattera on 8/22/2012. Service was accepted by Mr. John A. Mattera. Document filed by Securities and Exchange Commission. (lmb)
September 18, 2012 Filing 104 AFFIDAVIT OF SERVICE of Subpoena to Appear and Testify at a Hearing of Trial in a Civil Action served on Ms. Ann A. Mattera on 8/22/2012. Service was accepted by Ms. Ann A. Mattera. Document filed by Securities and Exchange Commission. (lmb)
September 17, 2012 Minute Entry for proceedings held before Judge P. Kevin Castel: Evidentiary Hearing held on 9/17/2012. Neal Ralph Jacobson and Karen Elizabeth Willenken present for the SEC. Defendant, John Mattera-no appearance, Defendant, Anne Mattera-no appearance. Plaintiff orally moves to lift the stay, strike or preclude an answer to the complaint by defendants and have the Court draw an adverse inference against defendants, in addition to other relief sought. Matter is now under advisement. (Court Reporter Carol Ganley) (Nacanther, Florence) Modified on 9/18/2012 (tro).
August 23, 2012 Filing 103 Exhibit List And Witness List for September 17, 2012 Evidentiary Hearing. Document filed by Securities and Exchange Commission.(Willenken, Karen)
August 15, 2012 Filing 102 Letter addressed to John A. Mattera and Ann A. Mattera from Karen E. Willenken dated 8/7/2012 re: As ordered by the Court at the evidentiary hearing last week, we write to provide a detailed list of the additional allegation of contempt that we intend to present to the Court at the rescheduled evidentiary hearing on September 17, 2012. Document filed by Securities and Exchange Commission.(lmb)
August 2, 2012 Minute Entry for proceedings held before Judge P. Kevin Castel: Evidentiary Hearing held on 8/2/2012. Neal Ralph Jacobson and Karen Elizabeth Willenken present for the plaintiff. No appearance by the defendants. The evidentiary hearing is continued to September 17, 2012 at 3:00 p.m. The SEC is to state any additional bases for contempt by September 7, 2012. Any response of the defendants to the additional allegations of the SEC is due August 17, 2012. By August 24, the SEC shall identify witnesses and evidence it plans to offer at the hearing. By August 31, defendants shall identify witnesses and evidence they plan to offer at the hearing. (Court Reporter Ann Reagins-Hairston) (Nacanther, Florence) Modified on 8/2/2012 (Landers, Rigoberto).
July 27, 2012 Filing 101 DECLARATION of Karen Willenken in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit V, # 2 Exhibit Exhibit 26, # 3 Exhibit Exhibit 50, # 4 Exhibit Exhibit 51, # 5 Exhibit Exhibit 52, # 6 Exhibit Exhibit 53, # 7 Exhibit Exhibit 54, # 8 Exhibit Exhibit 55, # 9 Exhibit Exhibit 56, # 10 Exhibit Exhibit 57, # 11 Exhibit Exhibit 58, # 12 Exhibit Exhibit 59, # 13 Exhibit Exhibit 60, # 14 Exhibit Exhibit 61)(Willenken, Karen)
July 27, 2012 Opinion or Order Filing 100 ORDER: Defendants' letter application to adjourn the hearing and to compel discovery or a return of files from Ms. Yigit is denied without prejudice to their opportunity to object at the hearing. SO ORDERED. (Signed by Judge P. Kevin Castel on 7/26/2012) (ama)
July 16, 2012 Opinion or Order Filing 99 ORDER: The evidentiary hearing previously scheduled for July 17,2012 at 2:30 p.m. is adjourned to August 2,2012 at 10:30 a.m. There will be no further adjournments. All written submissions by either side shall be received in chambers by July 27, 2012. SO ORDERED. ( Status Conference set for 8/2/2012 at 10:30 AM before Judge P. Kevin Castel.) (Signed by Judge Naomi Reice Buchwald on 7/16/2012) (ama)
July 13, 2012 Filing 98 AFFIDAVIT OF SERVICE of Letter, declarations and endorsed order served on All Defendants and Relief Defendants on 7/11/2012 and 7/12/2012. Service was made by Mail and electronic mail. Document filed by Securities and Exchange Commission. (Willenken, Karen)
July 13, 2012 Filing 97 DECLARATION of Lisa Yigit in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Willenken, Karen)
July 13, 2012 Filing 96 DECLARATION of Karen Willenken in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit Exhibit O, # 2 Exhibit Exhibit P, # 3 Exhibit Exhibit Q, # 4 Exhibit Exhibit R, # 5 Exhibit Exhibit S, # 6 Exhibit Exhibit T, # 7 Exhibit Exhibit U)(Willenken, Karen)
July 12, 2012 Filing 95 ENDORSED LETTER addressed to Judge P. Kevin Castel from Karen E. Willenken dated 7/11/2012 re: I write to request that a pre-motion conference be scheduled to discuss the SEC's proposed Motion to Admit Additional Evidence and to Amend Its Proposed Findings of Fact and Conclusions of Law in connection with the SEC's application for a finding of contempt against Defendant John A. Mattera and Relief Defendant Ann A. Mattera (the "Mattera Defendants") for violations of the asset freeze imposed in this case. ENDORSEMENT: Plaintiff's letter will be deemed an application to reopen the hearing. As such is granted, the hearing will resume on July 16 at 2:30 pm., ( Status Conference set for 7/16/2012 at 02:30 PM before Judge P. Kevin Castel.) (Signed by Judge P. Kevin Castel on 7/12/2012) (lmb)
July 9, 2012 Filing 94 ENDORSED LETTER addressed to Judge P. Kevin Castel from Bradford Van Siclen dated 7/3/2012 re: I am writing to respectfully request that the Court permit me to travel for business and family purposes within the United States. Currently my travel is restricted to the states of New York, New Jersey and Connecticut. I ask that the Court please review and amend these current travel restrictions. ENDORSEMENT: Application denied without prejudice. Please advise the Court of the Order (by date) and page and paragraph that presently restricts travel. All communications must be copied to opposing counsel. (Signed by Judge P. Kevin Castel on 7/9/2012) (lmb)
July 5, 2012 Filing 93 ENDORSED LETTER addressed to Judge P. Kevin Castel from Karen E. Willenken dated 7/3/2012 re: Counsel for plaintiff writes that they are in receipt of John A. Mattera's request for an extension of time to respond to the Securities and Exchange Commission's ("SEC") Proposed Findings of Fact and Conclusions of Law in connection with the SEC's application for an order finding John A. Mattera in contempt of court. We have no objection to Mr. Mattera's request subject to Mr. Mattera providing the SEC staff with credible documentation substantiating his claims regarding his mother's condition on or before July 20, 2012. ENDORSEMENT: I regret I cannot grant the full extent of the requested adjournment. Response of John Mattera and Ann Mattera extended to July 17. SEC reply due July 24. Mr. Willenken is directed to advise John and Ann Mattera of the new dates., ( Responses due by 7/17/2012, Replies due by 7/24/2012.) (Signed by Judge P. Kevin Castel on 7/5/2012) (pl)
June 21, 2012 Filing 92 CERTIFICATE OF SERVICE of Court's Order of 6/19/12 served on all defendants and relief defendants on 6/21/12. Service was made by UPS and electronic mail. Document filed by Securities and Exchange Commission. (Willenken, Karen)
June 19, 2012 Opinion or Order Filing 91 ORDER: This purpose of this Order is to provide direction to the form of the response and to extend the date for filing. I direct John A. Mattera and Ann A. Mattera as follows: for each paragraph of the plaintiffs proposed findings and conclusions each of them shall (a) state whether he or she admits the proposed finding or conclusion or denies it; (b) if he or she admits less that all of it, set forth the portions which he or she admits and the portions he or she denies;(c) for each proposed finding which is denied in whole or in part, set forth the evidence from the hearing record hearing which supports the denial; in other words, cite to the exhibit and page which supports the denial Failure to comply with the foregoing shall be deemed an admission of the proposed finding(s) and conclusion(s). In addition, each of the Mattera Defendants is free to submit proposed findings of fact and conclusions of law of their own. The Mattera Defendants may also set forth their objections to the proposed order of civil contempt and to the language of the order. Although I have received no application from the Mattera Defendants to extend their time to serve and file their response, I will grant an extension from June 25 to July 6, 2012. The Mattera Defendants are invited to contact Ms. Willenken, counsel for the plaintiff, to explore the possibility of resolving the contempt issue on consent. Ms. Willenken is directed to transmit a copy of this Order to John A. Mattera and Ann A. Mattera within three days. (Signed by Judge P. Kevin Castel on 6/19/2012) (ft) Modified on 6/19/2012 (ft).
June 18, 2012 Filing 90 PROPOSED FINDINGS OF FACT AND CONCLUSIONS OF LAW. Document filed by Securities and Exchange Commission.(Willenken, Karen)
June 15, 2012 Filing 89 Letter addressed to Judge P. Kevin Castel from John Mattera dated 6/11/2012 re: As I had indicated in court, I am not represented by counsel in the SEC matter and I am represented in the criminal case. I have never had a single issue in the criminal case whereas I come to you now being accused of not following your order in the case I am unrepresented. I would never knowingly not adhere to your order nor follow your instructions. I just need to understand them. I have included affidavits from Dr. Manish Gupta and Dr. Shailesh Gupta who in an attempt to assist me with the consent order compliance and they (the SEC has recently indicated notes were unacceptable), converted their "loans/notes" to "gifts". As I understand it, these gifts may be used for business or personal expenses in which the money was used for only for exactly that. The loans in question total US$100,000.00 since December 2011. This reclassification should also allow me to comply with your honors order regarding the credit card usage for the business and personal side. Document filed by John A. Mattera.(lmb)
June 12, 2012 Filing 88 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 11/29/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 12, 2012 Filing 87 TRANSCRIPT of Proceedings re: HEARING held on 11/29/2011 before Judge P. Kevin Castel. Court Reporter/Transcriber: Paula Speer, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 7/6/2012. Redacted Transcript Deadline set for 7/16/2012. Release of Transcript Restriction set for 9/13/2012.(McGuirk, Kelly)
June 7, 2012 Filing 86 CERTIFICATE OF SERVICE of Supplemental Memorandum and Declaration served on All Defendants and Relief Defendants on 6/4/2012. Service was made by Mail and electronic mail. Document filed by Securities and Exchange Commission. (Willenken, Karen)
June 5, 2012 Minute Entry for proceedings held before Judge P. Kevin Castel: Contempt Hearing held on 6/5/2012. SEC:Neal Ralph Jacobson and Karen Elizabeth Willenken present U.S. Securities and Exchange Commission( 3 World Financial) Three World Financial Center /New York, NY 10281 /(212)336-0095 /Email: jacobsonn@sec.gov. Defendant: John Mattera, pro se present Contempt hearing held. Plaintiff presents its case-in-chief and rests. Defendant presents its case-in- chief and rests. Plaintiff may move to strike defendant's evidence. Both sides rest. SEC's submissions due June 18, 2012, any response of defendant due June 25, 2012. Defendant to send SEC binder by June 8, 2012. (js)
June 4, 2012 Filing 85 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 77 Order to Show Cause,,, Why John and Ann Mattera Should Not Be Held in Contempt of Court. Document filed by Securities and Exchange Commission. (Willenken, Karen)
June 4, 2012 Filing 84 DECLARATION of Karen Willenken in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 24, # 6 Exhibit 26, # 7 Exhibit 28, # 8 Exhibit 32, # 9 Exhibit 34, # 10 Exhibit 39, # 11 Exhibit 43, # 12 Exhibit 48, # 13 Exhibit 49)(Willenken, Karen)
May 29, 2012 Minute Entry for proceedings held before Judge P. Kevin Castel: Contempt Hearing held on 5/29/2012. Neal Ralph Jacobson and Karen Elizabeth Willenken present U.S. Securities and Exchange Commission( 3 World Financial) Three World Financial Center /New York, NY 10281 /(212)336-0095 /Email: jacobsonn@sec.gov. Defendant: John Mattera, pro se present Relief Defendant: Ann A. Mattera, pro se present. Contempt hearing adjourned until depositions are taken of John Mattera and Ann Mattera tomorrow morning at 11:00 a.m. at the offices of the SEC. Contempt hearing to continue on June 5, 2012 aat 2:45 p.m. Court Reporter: Eve Giniger (js)
May 25, 2012 Filing 83 DECLARATION of Karen Willenken in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Willenken, Karen)
May 25, 2012 Filing 82 CERTIFICATE OF SERVICE of Notice of Appearance and Supplemental Declaration in Support of Order to Show Cause served on All Defendants and Relief Defendants on 5/25/2012. Service was made by mail and email. Document filed by Securities and Exchange Commission. (Willenken, Karen)
May 25, 2012 Filing 81 CERTIFICATE OF SERVICE of Order to Show Cause served on All Defendants and Relief Defendants on 5/22/2012. Service was made by Mail. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A)(Willenken, Karen)
May 24, 2012 Filing 80 NOTICE OF APPEARANCE by Neal Ralph Jacobson on behalf of Securities and Exchange Commission (Jacobson, Neal)
May 24, 2012 Filing 79 DECLARATION of Karen Willenken in Support re: 77 Order to Show Cause,,,. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N)(Willenken, Karen)
May 24, 2012 Filing 78 MEMORANDUM OF LAW in Support re: 77 Order to Show Cause,,, Why Defendant John A. Mattera and Relief Defendant Ann A. Mattera Should Not Be Held in Contempt of Court. Document filed by Securities and Exchange Commission. (Willenken, Karen)
May 24, 2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Karen Elizabeth Willenken to RE-FILE Document 76 Declaration in Support of Motion. Use the event type Declaration in Support (non-motion) found under the event list Other Answers, then link to 77 Order. (db)
May 24, 2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Karen Elizabeth Willenken to RE-FILE Document 75 Memorandum of Law in Support of Motion. Use the event type Memorandum in Support (non-motion) found under the event list Other Answers, then link to 77 Order. (db)
May 24, 2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Karen Elizabeth Willenken. Document No. 74 Order to Show Cause. This document is not filed via ECF. Only the Court files Orders. This Order was filed as Document 77 . (db)
May 22, 2012 Opinion or Order Filing 77 ORDER TO SHOW CAUSE WHY DEFENDANT JOHN A. MATTERA AND RELIEF DEFENDANT ANN A. MATTERA SHOULD NOT BE HELD IN CONTEMPT OF COURT: Defendants shall show cause as to why this Court should not enter an Order (1) holding that Defendants are in contempt of the Consent Order and the PI Order (collectively, the "Orders"), for dissipating assets frozen pursuant to the Orders, and (2) holding that Ann Mattera is in contempt of the TRO for failing to respond to the Commission's document requests, and in contempt of the PI Order for failing to provide the required verified accounting. Show Cause Hearing set for 5/29/2012 at 03:15 PM in Courtroom 12C, 500 Pearl Street, New York, NY 10007 before Judge P. Kevin Castel. Show Cause Response due by 5/29/2012. (Signed by Judge P. Kevin Castel on 5/22/2012) (jfe)
May 22, 2012 Filing 76 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - DECLARATION of Karen Willenken in Support re: 74 EX PARTE MOTION for Order to Show Cause Why Defendant John Mattera and Relief Defendant Ann Mattera Should Not Be Held in Civil Contempt of Court. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N)(Willenken, Karen) Modified on 5/24/2012 (db).
May 22, 2012 Filing 75 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MEMORANDUM OF LAW in Support re: 74 EX PARTE MOTION for Order to Show Cause Why Defendant John Mattera and Relief Defendant Ann Mattera Should Not Be Held in Civil Contempt of Court. Document filed by Securities and Exchange Commission. (Willenken, Karen) Modified on 5/24/2012 (db).
May 22, 2012 Filing 74 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - EX PARTE MOTION for Order to Show Cause Why Defendant John Mattera and Relief Defendant Ann Mattera Should Not Be Held in Civil Contempt of Court. Document filed by Securities and Exchange Commission.(Willenken, Karen) Modified on 5/24/2012 (db).
May 11, 2012 Opinion or Order Filing 73 ORDER: Within fourteen days, the plaintiff SEC shall fax a letter to Chambers laying outall outstanding parties and issues and setting forth the steps it believes necessary to bring this case to final conclusion as to all defendants. (Signed by Judge P. Kevin Castel on 5/11/2012) (cd)
May 11, 2012 Filing 72 ENDORSED LETTER addressed to Judge P Kevin Castel from John Arnold dated 2/6/2012 re: Request for an appointed attorney or to represent myself. ENDORSEMENT: An individual is welcome to represent his or herself. A corporation, however, must be represented by an attorney admitted to practice. (Signed by Judge P. Kevin Castel on 5/11/2012) (cd)
March 16, 2012 Filing 71 JUDGMENT in favor of Securities and Exchange Commission against Executive Source Holding, LLC, Spartan Capital Partners and Joseph Almazon. (Signed by Judge P. Kevin Castel on 3/15/12) (Attachments: # 1 Notice of Right to Appeal)(dt)
March 13, 2012 Filing 70 JUDGMENT in favor of Securities and Exchange Commission against Bradford Van Siclen. (Signed by Judge P. Kevin Castel on 3/13/12) (Attachments: # 1 notice of right to appeal)(ml)
March 12, 2012 Filing 69 STIPULATION EXTENDING DEADLINE FOR RESPONDING TO COMPLAINT. IT IS HEREBY STIPULATED AND AGREED by and between counsel for Plaintiff Securities and Exchange Commission and counsel for Defendants Joseph Almazon and Spartan Capital Partners and Relief Defendant Executive Source Holding, LLC (collectively, the "Spartan Defendants") that the Spartan Defendants' time to answer or otherwise respond to the complaint in thls action shall be extended to through and including March 16, 2012. Joseph Almazon answer due 3/16/2012; Executive Source Holding, LLC answer due 3/16/2012; Spartan Capital Partners answer due 3/16/2012. (Signed by Judge P. Kevin Castel on 3/12/2012) (rjm)
March 1, 2012 Filing 68 CERTIFICATE OF SERVICE of Notice of Appearance of Todd Brody served on All Defendants and Relief Defendants on 3/1/2012. Service was made by Mail. Document filed by Securities and Exchange Commission. (Willenken, Karen)
March 1, 2012 Filing 67 NOTICE OF APPEARANCE by Todd Daniel Brody on behalf of Securities and Exchange Commission (Brody, Todd)
March 1, 2012 Filing 66 WAIVER OF SERVICE RETURNED EXECUTED. Ann A. Mattera waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
February 1, 2012 Opinion or Order Filing 59 ORDER: A purported answer to the Complaint has been filed as to defendants John R. Arnold and First American Service Transmittals, Inc. ("FAST"). A natural person such as Mr. Arnold may represent himself in this Court. A non-natural person such as FAST may not and it may only appear by a lawyer admitted to practice before this Court. Let defendant FAST show cause in writing by February 14, 2012 why its answer ought not be stricken. (Signed by Judge P. Kevin Castel on 2/1/2012) (mro)
January 30, 2012 Filing 57 STIPULATION EXTENDING DEADLINE FOR RESPONDING TO COMPLAINT: IT IS HEREBY STIPULATED AND AGREED that the Defendant's time to answer or otherwise respond to the complaint in this action shall be extended to through and including March 12, 2012. Bradford Van Siclen answer due 3/12/2012. (Signed by Judge P. Kevin Castel on 1/30/2012) (jfe)
January 30, 2012 Filing 56 STIPULATION EXTENDING DEADLINE FOR RESPONDING TO COMPLIANT: It is hereby Stipulated and agreed that the Spartan Defendants' time to answer or otherwise respond to the complaint in this action shall be extended to through and including March 12, 2012.Joseph Almazon answer due 3/12/2012; Executive Source Holding, LLC answer due 3/12/2012; Spartan Capital Partners answer due 3/12/2012. (Signed by Judge P. Kevin Castel on 1/30/2012) (jfe)
January 27, 2012 Filing 65 ANSWER to 1 Complaint. Document filed by David E. Howard, II.(mro)
January 27, 2012 Filing 64 ANSWER to 1 Complaint,. Document filed by John A. Mattera.(mro)
January 24, 2012 Opinion or Order Filing 54 STIPULATED AMENDMENT TO THE CONSENT ORDER IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT JOHN R. ARNOLD: Section IV of the Order is hereby modified solely to permit Commerce (through an employee or other agent) to take possession and ownership of the Car from Arnold in repayment of the Loan. This stipulated amendment does not otherwise alter the Order, which otherwise remains in effect. (Signed by Judge P. Kevin Castel on 1/24/2012) (ft)
January 24, 2012 Filing 52 WAIVER OF SERVICE RETURNED EXECUTED. Bradford Van Siclen waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 51 WAIVER OF SERVICE RETURNED EXECUTED. The Praetorian Global Fund, LTD waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 50 WAIVER OF SERVICE RETURNED EXECUTED. Praetorian G Power VI, LLC waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 49 WAIVER OF SERVICE RETURNED EXECUTED. Praetorian G Power V, LLC waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 48 WAIVER OF SERVICE RETURNED EXECUTED. Praetorian G Power IV, LLC waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 47 WAIVER OF SERVICE RETURNED EXECUTED. Praetorian G Power II, LLC waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 24, 2012 Filing 46 WAIVER OF SERVICE RETURNED EXECUTED. Praetorian G Power I, LLC waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
January 17, 2012 Filing 58 ANSWER to 1 Complaint,. Document filed by John R. Arnold.(pl)
January 17, 2012 Filing 45 ANSWER to 1 Complaint,. Document filed by Lan T. Phan.(Chase, David)
December 16, 2011 Filing 43 WAIVER OF SERVICE RETURNED EXECUTED. First American Service Transmittals, Inc. waiver sent on 12/1/2011, answer due 1/30/2012. Document filed by Securities and Exchange Commission. (Willenken, Karen)
December 13, 2011 CASHIERS OFFICE REMARK on 30 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 12/06/2011, Receipt Number 1023603. (jd)
December 12, 2011 Filing 42 RESPONSE to Discovery Request.Document filed by John A. Mattera.(cd)
December 12, 2011 Filing 41 MEMORANDUM OF LAW in Support re: 40 MOTION to Stay. Document filed by John A. Mattera. (cd)
December 12, 2011 Filing 40 MOTION to Stay Action Pending Resolution of Parallel Criminal Proceeding. Document filed by John A. Mattera.(cd)
December 12, 2011 Opinion or Order Filing 35 ORDER FOR ADMISSION PRO HAC VICE OF DAVID CHASE ON WRITTEN MOTION granting 30 Motion for David R. Chase to Appear Pro Hac Vice. (Signed by Judge P. Kevin Castel on 12/12/2011) (lmb)
December 8, 2011 Filing 31 CERTIFICATE OF SERVICE of Sworn Accounting Statement served on Securities and Exchange Commission on 12/08/2011. Service was made by Mail. Document filed by Joseph Almazon, Executive Source Holding, LLC, Spartan Capital Partners. (Adler, Gerald)
December 7, 2011 Filing 29 CERTIFICATE OF SERVICE of Notice of Appearance served on All defendants and relief defendants on 11/29/2011. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
December 6, 2011 Filing 30 MOTION for David R. Chase to Appear Pro Hac Vice. Document filed by Lan T. Phan.(bwa)
December 1, 2011 Opinion or Order Filing 28 ORDER GRANTING PRELIMINARY INJUNCTION, FREEZING ASSETS, AND GRANTING OTHER RELIEF: The Commission's application for a preliminary injunction against the Non-Opposing Defendants is GRANTED. This Order shall be, and is, binding upon each of the Non-Opposing Defendants, and each of their respective officers, agents, servants, employees, and attorneys, and those persons in active concert or participation with them who receive actual notice of this Order by personal service, facsimile, email, overnight courier, or otherwise. (Signed by Judge P. Kevin Castel on 12/1/2011) (ft)
November 29, 2011 Filing 27 MEMO ENDORSEMENT on DEFENDANT JOHN A. MATTERA'S NOTICE OF MOTION TO STAY ACTION PENDING RESOLUTION OF PARALLEL CRIMINAL PROCEEDING: Motion granted to the limited extent that discovery requests directed to Mr. John A. Mattera, individually, are stayed pending further Order except that Mr. Mattera shall be required to produce any materials required under the Stipulation and Consent of today's date. (Signed by Judge P. Kevin Castel on 11/29/2011) (lmb)
November 29, 2011 Minute Entry for proceedings held before Judge P. Kevin Castel: Show Cause Hearing held on 11/29/2011. Court grants preliminary injunction and grants, in part, Matteras motion to stay. Court Reporter: Paula Speer. (mro)
November 29, 2011 Filing 26 NOTICE OF APPEARANCE by Karen Elizabeth Willenken on behalf of Securities and Exchange Commission (Willenken, Karen)
November 29, 2011 Opinion or Order Filing 25 STIPULATION AND CONSENT ORDER IMPOSING PRELLVIINARY INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT JOHN A. MATTERA: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the Commission, by its undersigned counsel, and Mattera, without admitting or denying the Commission's allegations and without waiving his rights under the Fifth Amendment privilege against self-incrimination that, based on the foregoing, the Commission asserts that it has made a proper showing, as required by Section 20(b) of the Securities Act of 1933 ("Securities Act") and Section 21 (d) of the Securities Exchange Act of 1934 ("Exchange Act") for the relief granted herein, and that Mattera does not oppose the relief granted herein: IT IS HEREBY ORDERED that the Commission's application for a preliminary injunction against Mattera is GRANTED. IT IS HEREBY ORDERED that, pending a final disposition of this action, Mattera and each of his agents, servants, employees, attorneys, and those persons in active concert or participation with him who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, are preliminarily restrained and enjoined from, directly or indirectly, singly or in concert, in the offer or sale of any security, by use of any means or instruments of transportation or communication in interstate commerce or by use of the mails; as further set forth in this Stipulation and Order. (Signed by Judge P. Kevin Castel on 11/29/2011) (mro)
November 29, 2011 Opinion or Order Filing 24 STIPULATION AND CONSENT ORDER IMPOSING PRELIMINARY RELIEF AGAINST RELIEF DEFENDANT LAN T. PHAN: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the Commission, by its undersigned counsel, and, Phan, by her undersigned counsel, that, based on the foregoing, a proper showing, as required by Section 20(b) of the Securities Act of 1933 ("Securities Act") and Section 21 (d) of the Securities Exchange Act of 1934 ("Exchange Act") has been made for the relief granted herein: IT IS HEREBY ORDERED that the Commission's application for preliminary relief against Phan is GRANTED. IT IS FURTHER ORDERED that, pending a final disposition of the Commission's claim against Phan, Phan, and each of her financial and brokerage institutions, agents, servants, employees, attorneys-in-fact, and those persons in active concert or participation with her who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, and each of them, hold and retain within their control, and otherwise prevent (except to the extent this Order requires any transfer to repatriate assets to the United States), any withdrawal, transfer, pledge, encumbrance, assignment, dissipation, concealment or other disposal (including the use of any credit cards or any other incurring of debt in excess of $1000) of any assets, funds, or other property (including money, real or personal property, securities, commodities, choses in action or other property of any kind whatsoever, including vehicles) of, held by, or under the direct or indirect control of Phan, whether held in her name or for her direct or indirect beneficial interest, in whatever form such assets may presently exist and wherever located, and directing each of the financial or brokerage institutions, debtors and bailees, or any other person or entity holding such assets, funds or other property of Phan to hold or retain within its, his or her control and prohibit the withdrawal, removal, transfer or other disposal of any such assets, funds or other properties (except to the extent this Order requires any transfer to repatriate assets to the United States) including but not limited to, all assets, funds, or other properties held in the accounts listed on Schedule A to this Order, as well as all real property owned wholly, jointly, directly or indirectly by Phan, subject to the following limited exceptions and conditions; as further set forth in this Order. (Signed by Judge P. Kevin Castel on 11/29/2011) (mro)
November 29, 2011 Opinion or Order Filing 23 STIPULATION AND CONSENT ORDER IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT DAVID E. HOWARD II: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the Commission, by its undersigned counsel, and Howard, that, based on the foregoing, a proper showing, as required by Section 20(b) of the Securities Act of 1933 ("Securities Act") and Section 21 (d) of the Securities Exchange Act of 1934 ("Exchange Act") has been made for the relief granted herein: IT IS HEREBY ORDERED that the Commission's application for a preliminary injunction against Howard is GRANTED. IT IS HEREBY ORDERED that, pending a final disposition of this action, Howard and each of his agents, servants, employees, attorneys, and those persons in active concert or participation with him who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, are preliminarily restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption; as further set forth in this Stipulation and Order. (Signed by Judge P. Kevin Castel on 11/29/2011) (mro)
November 29, 2011 Opinion or Order Filing 22 STIPULATION AND CONSENT ORDER IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF AGAINST DEFENDANTS JOSEPH ALMAZON AND SPARTAN CAPITAL PARTNERS AND RELIEF DEFENDANT EXECUTIVE SOURCE HOLDING, LLC: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the Commission, by its undersigned counsel, and the Spartan Defendants, by their undersigned counsel, that, based on the foregoing, a proper showing, as required by Section 20(b) of the Securities Act of 1933 ("Securities Act") and Section 21(d) of the Securities Exchange Act of 1934 ("Exchange Act") has been made for the relief granted herein: IT IS HEREBY ORDERED that the Commission's application for a preliminary injunction against Almazon and Spartan is GRANTED. IT IS HEREBY ORDERED that, pending a final disposition of this action, Almazon and Spartan, and each of their agents, servants, employees, attorneys, and those persons in active concert or participation with them who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, are preliminarily restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption; as further set forth in this Stipulation and Order. (Signed by Judge P. Kevin Castel on 11/29/2011) (mro)
November 29, 2011 Opinion or Order Filing 21 STIPULATION AND CONSENT ORDER IMPOSING PRELIMINARY INJUNCTION AND OTHER RELIEF AGAINST DEFENDANT JOHN R. ARNOLD: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the Commission, by its undersigned counsel, and Arnold that, based on the foregoing, a proper showing, as required by Section 20(b) of the Securities Act of 1933 ("Securities Act") and Section 21 (d) of the Securities Exchange Act of 1934 ("Exchange Act") has been made for the relief granted herein: IT IS HEREBY ORDERED that the Commission's application for a preliminary injunction against Arnold is GRANTED. IT IS HEREBY ORDERED that, pending a final disposition of this action, Arnold and each of his agents, servants, employees, attorneys, and those persons in active concert or participation with him who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, are preliminarily restrained and enjoined from, directly or indirectly, singly or in concert, in the offer or sale of any security, by use of any means or instruments of transportation or communication in interstate commerce or by use of the mails; as further set forth in this Stipulation and Order. (Signed by Judge P. Kevin Castel on 11/29/2011) (mro)
November 28, 2011 Filing 20 NOTICE OF APPEARANCE by Gerald Alan Adler on behalf of Executive Source Holding, LLC (Adler, Gerald)
November 28, 2011 Filing 19 NOTICE OF APPEARANCE by Gerald Alan Adler on behalf of Joseph Almazon (Adler, Gerald)
November 28, 2011 Filing 18 CERTIFICATE OF SERVICE of Notice of Appearance and Financial Affidavit of Lan Phan Pursuant to Section XIV of the Order to Show Cause served on All Parties on November 28, 2011. Service was made by Mail. Document filed by Lan T. Phan. (Gourevitch, David)
November 28, 2011 Filing 17 NOTICE OF APPEARANCE by David Usher Gourevitch on behalf of Lan T. Phan (Gourevitch, David)
November 22, 2011 Filing 16 CERTIFICATE OF SERVICE of Notice of Appearance of Preethi Krishnamurthy served on all defendants and relief defendants on 11/18/2011. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 22, 2011 Filing 15 AFFIDAVIT OF SERVICE of Order to Show Cause and papers supporting Plaintiff's application for emergency relief served on All defendants and relief defendants on 11/17/11. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 21, 2011 Opinion or Order Filing 14 CONSENT ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF: that the Commission's application for a temporary restraining order and preliminary injunction is GRANTED. That, pending a final disposition of this action, Van Siclen, and each of his agents, servants, employees, attorneys, and those persons in active concert or participation with him who receive actual notice of this Order by personal service, e-mail, facsimile or otherwise, are temporarily restrained and preliminarily enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] in the manner that is set forth in this Order. (Signed by Judge P. Kevin Castel on 11/18/2011) (pl)
November 18, 2011 Filing 13 DECLARATION of Richard Needham in Support. Document filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38, # 39 Exhibit 39, # 40 Exhibit 40, # 41 Exhibit 41, # 42 Exhibit 42, # 43 Exhibit 43, # 44 Exhibit 44, # 45 Exhibit 45, # 46 Exhibit 46, # 47 Exhibit 47, # 48 Exhibit 48, # 49 Exhibit 49, # 50 Exhibit 50, # 51 Exhibit 51, # 52 Exhibit 52, # 53 Exhibit 53, # 54 Exhibit 54, # 55 Exhibit 55, # 56 Exhibit 56, # 57 Exhibit 57, # 58 Exhibit 58, # 59 Exhibit 59, # 60 Exhibit 60, # 61 Exhibit 61, # 62 Exhibit 62, # 63 Exhibit 63, # 64 Exhibit 64, # 65 Exhibit 65, # 66 Exhibit 66, # 67 Exhibit 67, # 68 Exhibit 68, # 69 Exhibit 69, # 70 Exhibit 70, # 71 Exhibit 71, # 72 Exhibit 72, # 73 Exhibit 73, # 74 Exhibit 74, # 75 Exhibit 75, # 76 Exhibit 76, # 77 Exhibit 77, # 78 Exhibit 78, # 79 Exhibit 79, # 80 Exhibit 80, # 81 Exhibit 81, # 82 Exhibit 82, # 83 Exhibit 83, # 84 Exhibit 84, # 85 Exhibit 85, # 86 Exhibit 86, # 87 Exhibit 87, # 88 Exhibit 88, # 89 Exhibit 89, # 90 Exhibit 90, # 91 Exhibit 91, # 92 Exhibit 92, # 93 Exhibit 93, # 94 Exhibit 94, # 95 Exhibit 95, # 96 Exhibit 96, # 97 Exhibit 97, # 98 Exhibit 98, # 99 Exhibit 99, # 100 Exhibit 100, # 101 Exhibit 101, # 102 Exhibit 102, # 103 Exhibit 103, # 104 Exhibit 104, # 105 Exhibit 105, # 106 Exhibit 106, # 107 Exhibit 107, # 108 Exhibit 108, # 109 Exhibit 109, # 110 Exhibit 110, # 111 Exhibit 111, # 112 Exhibit 112, # 113 Exhibit 113, # 114 Exhibit 114, # 115 Exhibit 115, # 116 Exhibit 116, # 117 Exhibit 117, # 118 Exhibit 118, # 119 Exhibit 119, # 120 Exhibit 120, # 121 Exhibit 121, # 122 Exhibit 122, # 123 Exhibit 123, # 124 Exhibit 124, # 125 Exhibit 125, # 126 Exhibit 126, # 127 Exhibit 127, # 128 Exhibit 128, # 129 Exhibit 129, # 130 Exhibit 130, # 131 Exhibit 131, # 132 Exhibit 132, # 133 Exhibit 133, # 134 Exhibit 134, # 135 Exhibit 135, # 136 Exhibit 136, # 137 Exhibit 137, # 138 Exhibit 138, # 139 Exhibit 139, # 140 Exhibit 140)(Krishnamurthy, Preethi)
November 18, 2011 Filing 12 DECLARATION of Karen Willenken in Support re: 6 Brief,. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 11 DECLARATION of Matthew K. Paroly in Support re: 6 Brief,. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 10 DECLARATION of David Kling in Support. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 9 DECLARATION of Natalie Evans in Support. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 8 DECLARATION of Brad Downes in Support re: 6 Brief,. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 7 DECLARATION of Elizabeth Baier re: 6 Brief, In Support of Plaintiff's Emergency Application. Document filed by Securities and Exchange Commission. (Krishnamurthy, Preethi)
November 18, 2011 Filing 6 BRIEF Plaintiff's Memorandum of Law in Support of Its Emergency Application For An Order To Show Cause, Temporary Restraining Order, Preliminary Injunction, Asset Freeze and Other Relief. Document filed by Securities and Exchange Commission.(Krishnamurthy, Preethi)
November 18, 2011 Filing 5 NOTICE OF APPEARANCE by Preethi Krishnamurthy on behalf of Securities and Exchange Commission (Krishnamurthy, Preethi)
November 17, 2011 Minute Order Proceedings held before Judge P. Kevin Castel: Pre-Motion Conference held on 11/17/2011 re signing of Order to Show Cause. Order to Show Cause presented and signed by the Court. Hearing on Order to Show Cause is set for November 29, 2011 at 12:00 pm. (cd)
November 17, 2011 Opinion or Order Filing 4 ORDER TO SHOW CAUSE,TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF filed by Securities and Exchange Commission. Defendants shall show cause as to why an order should not be entered, pending a final disposition of this action preliminarily enjoining defendants from violating Section 17(a) of the SEC Act of 1933, freezing defendants assets and as further set forth in this document. Show Cause Hearing set for 11/29/2011 at 12:00 PM in Courtroom 12C, 500 Pearl Street, New York, NY 10007 before Judge P. Kevin Castel. (Signed by Judge P. Kevin Castel on 11/17/2011) (cd)
November 17, 2011 Magistrate Judge Frank Maas is so designated. (pgu)
November 17, 2011 Filing 3 NOTICE OF CASE ASSIGNMENT to Judge P. Kevin Castel. Judge Unassigned is no longer assigned to the case. Case Accepted as Related to USA V. Doe. (pgu)
November 17, 2011 Filing 1 COMPLAINT against Joseph Almazon, John R. Arnold, Executive Source Holding, LLC, First American Service Transmittals, Inc., David E. Howard, II, Ann A. Mattera, John A. Mattera, Lan T. Phan, Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, Spartan Capital Partners, The Praetorian Global Fund, LTD, Bradford Van Siclen. Document filed by Securities and Exchange Commission.(ama)

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Search for this case: Securities and Exchange Commission v. Mattera et al
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Plaintiff: Securities and Exchange Commission
Represented By: George S. Canellos
Represented By: Preethi Krishnamurthy
Represented By: Karen Elizabeth Willenken
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Defendant: John A. Mattera
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Defendant: Bradford Van Siclen
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Defendant: The Praetorian Global Fund, LTD
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Defendant: Praetorian G Power I , LLC
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Defendant: Praetorian G Power II, LLC
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Defendant: Praetorian G Power IV, LLC
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Defendant: Praetorian G Power V, LLC
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Defendant: Praetorian G Power VI, LLC
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Defendant: David E. Howard, II
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Defendant: John R. Arnold
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Defendant: First American Service Transmittals, Inc.
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Defendant: Joseph Almazon
Represented By: Gerald Alan Adler
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Defendant: Spartan Capital Partners
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Relief_defendant: Ann A. Mattera
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Relief_defendant: Lan T. Phan
Represented By: David R. Chase
Represented By: David Usher Gourevitch
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Relief_defendant: Executive Source Holding, LLC
Represented By: Gerald Alan Adler
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