Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-24/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:77 Securities Fraud

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[PROPOSED] ORDER COMPELLING CHICAGO INVESTMENT GROUP TO PRODUCE DOCUMENTS AND FREEZE ACCOUNTS

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

FUTTERMAN DUPREE DODD CROLEY MAIER LLP

JAMIE L. DUPREE (158105) 

JAIME E. GODIN (233187) 

180 Sansome Street, 17th Floor 

San Francisco, CA 94104 

Telephone: (415) 399-3840 

Facsimile: (415) 399-3838 

jdupree@fddcm.com

jgodin@fddcm.com

Attorneys for Receiver 

Stephen E. Anderson 

UNITED STATES DISTRICT COURT 

EASTERN DISTRICT OF CALIFORNIA 

SACRAMENTO 

SECURITIES AND EXCHANGE 

COMMISSION, 

Plaintiff 

v. 

ANTHONY VASSALLO, et al, 

Defendants. 

Case No. CV 09-000665 LKK-DAD 

ORDER DIRECTING CHICAGO 

INVESTMENT GROUP TO PRODUCE 

DOCUMENTS AND FREEZE ALL 

ACCOUNTS ON WHICH MATTHEW 

TUCKER HAS SIGNING AUTHORITY 

Judge Lawrence K. Karlton

On April 30, 2009, this Court filed the Order Appointing Temporary Receiver for Equity 

Investment Management and Trading, Inc. (“EIMT”) and Order to Show Cause for Appointment 

of Permanent Receiver (“OAR”). Pursuant to the OAR, for good cause shown, and in order to 

empower and authorize the Receiver to carry out his duties and obligations, 

THE COURT HEREBY FINDS AND ORDERS AS FOLLOWS: 

The Receiver has learned that on December 31, 2008, one of EIMT’s subfunds, Veritas 

Investments, LLC (“Veritas”), wired $1,875,000 to a Bank of America account held in the name 

of Matthew Tucker in connection with the purported purchase of a Collateralized Mortgage 

Obligation (“CMO”). Despite repeated demands by Receiver to Mr. Tucker and his 

representatives to deliver the purported CMO to Receiver, no CMO has been delivered, nor does 

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Case 2:09-cv-00665-JAM-KJN Document 105 Filed 07/31/09 Page 1 of 2
[PROPOSED] ORDER COMPELLING CHICAGO INVESTMENT GROUP TO PRODUCE DOCUMENTS AND FREEZE ACCOUNTS

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

it appear that any CMO was ever purchased with the funds transferred from EIMT. Since no 

CMO was purchased, it is Receiver’s position that the $1,875,000 transferred to Mr. Tucker in 

connection with the transaction belongs to the receivership estate and that Mr. Tucker has no 

right, title or interest in or to these funds. The Receiver has also learned that on January 2, 2009, 

at least $650,000 of the $1,875,000 was apparently wired from Mr. Tucker’s Bank of America 

account to a Bank of New York Mellon account and thereafter wired to a Legent Clearing 

account for the benefit of Chicago Investment Group. It is Receiver’s understanding that Mr. 

Tucker holds and/or has signing authority on an account or accounts with Chicago Investment 

Group (“Tucker Account(s)”). For the reasons discussed above, Receiver believes the $650,000 

deposited into the Tucker Account(s) constitutes EIMT investor funds and is therefore part of the 

receivership estate. Receiver is investigating where, if anywhere, the $650,000 went after it was 

transferred to the Tucker Account(s). 

To facilitate Receiver’s investigation, Chicago Investment Group is hereby directed to 

provide to Receiver information and documentation concerning any and all Tucker Account(s) 

from and after December 1, 2008, including, but not limited to statements and other 

documentation reflecting receipts by and disbursements from such accounts, account numbers and 

account holder identification. Furthermore, Chicago Investment Group is hereby directed to 

freeze any and all Tucker Account(s) pending the resolution of the above-entitled action, unless 

otherwise ordered by this Court. 

Chicago Investment Group is hereby further directed to cooperate fully with Receiver in 

his investigation and inquiries on behalf of this Court. 

IT IS SO ORDERED. 

Dated: July 30, 2009 

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Case 2:09-cv-00665-JAM-KJN Document 105 Filed 07/31/09 Page 2 of 2