Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_18-cv-05080/USCOURTS-cand-3_18-cv-05080-2/pdf.json

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

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STIPULATION AND [PROPOSED] ORDER

SELECTING ADR PROCESS 

SEC V. ROTHENBERG, ET AL. 

CASE NO. 3:18-CV-05080-JST 

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JINA L. CHOI (N.Y. Bar No. 2699718) 

C. DABNEY O’RIORDAN (Cal. Bar No. 205158) 

ERIN E. SCHNEIDER (Cal. Bar No. 216114) 

 schneidere@sec.gov 

JEREMY E. PENDREY (Cal. Bar No. 187075) 

 pendreyj@sec.gov 

E. BARRETT ATWOOD (Cal. Bar No. 291181) 

 atwoode@sec.gov 

ANDREW J. HEFTY (Cal. Bar No. 220450) 

 heftya@sec.gov 

SECURITIES AND EXCHANGE COMMISSION 

44 Montgomery Street, Suite 2800 

San Francisco, CA 94104 

T: (415) 705-2500 

F: (415) 705-2501 

ERIC M. BROOKS (Cal. Bar No. 209153) 

 brookse@sec.gov 

SECURITIES AND EXCHANGE COMMISSION 

33 Arch Street, 23rd Floor 

Boston, MA 02110-1424 

(617) 573-8900 

SECURITIES AND EXCHANGE COMMISSION, 

 Plaintiff, 

 vs. 

MICHAEL B. ROTHENBERG, and 

ROTHENBERG VENTURES LLC (f/k/a 

FRONTIER TECHNOLOGY VENTURE CAPITAL 

LLC and ROTHENBERG VENTURES 

MANAGEMENT COMPANY, LLC), 

 Defendants. 

Case No. 3:18-cv-05080-JST 

STIPULATION AND [PROPOSED] 

ORDER SELECTING ADR 

PROCESS 

DATE: November 28, 2018 

TIME: 2:00 p.m. 

Location: Courtroom 9, 19th Floor, 

450 Golden Gate Ave., San 

Francisco, CA 94102 

Honorable Jon S. Tigar 

 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN FRANCISCO DIVISION

Case 3:18-cv-05080-JST Document 28 Filed 11/15/18 Page 1 of 3
STIPULATION AND [PROPOSED] ORDER

SELECTING ADR PROCESS 1 SEC V. ROTHENBERG, ET AL. 

CASE NO. 3:18-CV-05080-JST 

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 Counsel report that they have met and conferred regarding ADR and have reached the following 

stipulation pursuant to Civil L.R. 16-8 and ADR L.R. 3-5. The parties agree to participate in the 

following ADR process: 

 Early Neutral Evaluation (ENE) (ADR L.R. 5) 

 Mediation (ADR L.R. 6) 

X Early Settlement Conference with a Magistrate Judge (ADR L.R. 7) 

 Private ADR (specify process and provider) 

The parties agree to hold the ADR session by: 

 the presumptive deadline (90 days from the date of the order referring the case to ADR) 

X other requested deadline: After the close of expert discovery and prior to the deadline for 

the filing of Plaintiff’s motion for disgorgement and penalties, provided that the parties 

may stipulate to and jointly request an earlier date. 

Dated: November 14, 2018 Respectfully submitted, 

/s/ E. Barrett Atwood E. Barrett Atwood 

Andrew J. Hefty 

Eric M. Brooks 

Attorneys for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

/s/ Marc J. Fagel _ Marc J. Fagel 

GIBSON, DUNN & CRUTCHER 

555 Mission Street, Suite 3000 

San Francisco, CA 94105 

Attorney for Defendants 

Michael B. Rothenberg and Rothenberg Ventures LLC 

 

Case 3:18-cv-05080-JST Document 28 Filed 11/15/18 Page 2 of 3
STIPULATION AND [PROPOSED] ORDER

SELECTING ADR PROCESS 2 SEC V. ROTHENBERG, ET AL. 

CASE NO. 3:18-CV-05080-JST 

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 IT IS SO ORDERED 

 IT IS SO ORDERED WITH MODIFICATIONS: 

DATE: ________________, 2018 __________________________________ 

Hon. Jon S. Tigar 

November 15 X

Case 3:18-cv-05080-JST Document 28 Filed 11/15/18 Page 3 of 3