Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-32/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 FUNDS TO PRODUCE DOCUMENTS AND INFORMATION

CASE NO. CV 09-00665 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 09-00665 LKK-DAD 

ORDER DIRECTING ENTITIES 

PROVIDING FUNDS TO OR 

RECEIVING FUNDS FROM EQUITY 

INVESTMENT MANAGEMENT AND 

TRADING, INC. TO PRODUCE 

DOCUMENTS AND INFORMATION 

Judge Lawrence K. Karlton 

Pursuant to orders dated April 30, 2009 and July 31, 2009, the Court appointed Stephen 

E. Anderson (“Receiver”) as Receiver over Defendant Equity Investment Management Trading, 

Inc. (“EIMT”). The Court has empowered Receiver to “take all steps the receiver deems 

necessary to secure and protect the assets and property of EIMT....” Order Appointing 

Temporary Receiver for Equity Investment Management and Trading, Inc. and Order to Show 

Cause for Appointment of Permanent Receiver dated April 30, 2009 (“OAR”), ¶ III B. 

In an order dated August 10, 2009, this Court directed subfund managers for EIMT 

subfunds to provide certain documents and information to Receiver and to cooperate with 

Receiver (the “August 10, 2009 Order”). Certain entities named in the August 10, 2009 Order 

have refused to comply with that order claiming that they are not “subfunds” of EIMT, and, 

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[PROPOSED] ORDER COMPELLING FUNDS TO PRODUCE DOCUMENTS AND INFORMATION

CASE NO. CV 09-00665 LKK-DAD 

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FUTTERMAN DUPREE DODD CROLEY MAIER LLP

therefore, the August 10, 2009 Order does not apply to them. Without superseding the August 

10, 2009 Order, to clarify its intent, to ensure compliance with its provisions, and for good cause 

shown 

THE COURT HEREBY FINDS AND ORDERS AS FOLLOWS: 

Receiver’s investigation into the activities of EIMT has revealed that certain entities 

provided funds to EIMT and EIMT provided funds to certain entities, including, but not limited 

to, investment management fees. Receiver’s investigation has focused on approximately thirtyone entities (listed below) which provided funds to EIMT and/or received funds from EIMT, 

including such investment management fees. Receiver is auditing information from such entities 

to determine if any entity or individuals associated with such entities received investor funds to 

which it, he or she was not entitled so that Receiver may pursue disgorgement of any such funds. 

In order to do this, Receiver needs documents and other information from the managers of such 

entities sufficient to provide a complete accounting of all funds invested in EIMT by such entities 

and all funds received from EIMT by such entities, including, but not limited to, investment 

management fees. 

To facilitate Receiver’s investigation and to prevent the further transfer of and/or 

dissipation of EIMT assets, present and/or former managers, shareholders, directors, officers, 

agents, employees, consultants, attorneys, successors and/or assigns, of the following named 

entities are hereby directed to provide Receiver with copies of all information and documentation 

concerning any and all funds provided to EIMT or received from EIMT, including, but not limited to 

statements and other documentation reflecting disbursements to EIMT, receipts from EIMT, and 

distribution of funds received from EIMT. The information to be provided to Receiver includes 

information and documents showing the amount of money any person or entity (including fund 

managers) received as compensation from EIMT, including but not limited to management fees, 

referral fees and/or any other payments received from EIMT. The entities for which compliance 

is required are: 

• Apex Financial Development, LLC 

• Black Card I, LLC 

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[PROPOSED] ORDER COMPELLING FUNDS TO PRODUCE DOCUMENTS AND INFORMATION

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FUTTERMAN DUPREE DODD CROLEY MAIER LLP

• Black Card Group, Inc. 

• BT Management & Development Group, LLC 

• BT Partners, LLC 

• BV Skyline Corporation 

• ECBC1, LLC 

• EIG I 

• EIG II 

• Equity Constellation, LLC 

• Equity Group Management, Inc. 

• Exclusive Financial Partners, LLC 

• iFund Investment Group, LLC 

• iFund Management Group, LLC 

• Income Management Group, LLC 

• J Capital Partners, LLC 

• J Capital Management, Inc. 

• J Capital Fund, LLC 

• KVW Investments, LLC 

• Lancaster Platinum Growth, LP 

• LCJ Capital, LLC 

• Legacy Family Fund, LLC 

• Matrix Investment Group, LLC 

• Strategic Capital Management, LLC 

• Vastmann Investment Partners, LLC 

• Veritas Fund, LLC 

• Veritas Fund II, LLC 

• West Coast Trading, LLC 

• Z Investments, LLC 

• Z Investment Group LLC 

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[PROPOSED] ORDER COMPELLING FUNDS TO PRODUCE DOCUMENTS AND INFORMATION

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• Z Management, LLC 

All of the above-listed entities by and through each entities’ present and/or former 

managers, shareholders, directors, officers, agents, employees, consultants, attorneys, successors 

and/or assigns, are hereby further directed to cooperate fully with Receiver in his investigation 

and inquiries on behalf of this Court. 

IT IS SO ORDERED. 

Dated: September 17, 2009 

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