Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-43/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 DIRECTING HSBC TO PRODUCE DOCS. RE: VASSALLO ACCTS AND TO FREEZE ACCTS

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 HSBC TO 

PRODUCE DOCUMENTS RE 

ANTHONY VASSALLO ACCOUNT(S) 

AND FREEZING ACCOUNT(S) 

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”) and on July 31, 2009, the Court filed an Order permanently 

appointing Receiver. 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: 

Receiver’s investigation has revealed that as of September 2007, Defendant Anthony 

Vassallo was an account holder or signatory for bank accounts at HSBC Premier, including but 

not limited to Premier Checking Account No. XXXXXX646 and Premier Money Market 

Account No. XXXXXX185 held in the name of Anthony Vassallo III (collectively, the “Vassallo 

HSBC Accounts”). Receiver believes the Vassallo transferred EIMT investor funds to the 

Vassallo HSBC Accounts and likely transferred EIMT investor funds from those accounts to 

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Case 2:09-cv-00665-JAM-KJN Document 206 Filed 12/24/09 Page 1 of 2
[PROPOSED] ORDER DIRECTING HSBC TO PRODUCE DOCS. RE: VASSALLO ACCTS AND TO FREEZE ACCTS

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

other accounts at HSBC or other financial institutions. 

To facilitate Receiver’s investigation as to whether any Vassallo HSBC Accounts are still 

in existence, to recover any assets contained in any such Vassallo HSBC Accounts, to trace 

investor funds in any and all Vassallo HSBC Accounts, and to identify other accounts from which 

or to which funds were transferred relating to the Vassallo HSBC Accounts, HSBC is hereby 

directed to provide to Receiver information and documentation concerning any and all Vassallo 

HSBC Accounts (including, but not limited to Premier Checking Account No. XXXXXX646 and 

Premier Money Market Account No. XXXXXX185 held in the name of Anthony Vassallo III)

(the full account numbers of which will be provided by Receiver to HSBC) from January 1, 2007 to 

the present, including, but not limited to statements and other documentation reflecting receipts 

by and disbursements from such accounts, account numbers and account holder identification. 

Pending Receiver’s investigation, Bank of America is hereby directed to freeze any and all 

Vassallo HSBC Accounts (including, but not limited to Premier Checking Account No. 

XXXXXX646 and Premier Money Market Account No. XXXXXX185 held in the name of 

Anthony Vassallo III) until further order of the Court. 

HSBC is hereby further directed to cooperate fully with Receiver in transmitting these 

documents and freezing the accounts and in Receiver’s activities, investigation and inquiries on 

behalf of this Court. 

IT IS SO ORDERED. 

Dated: December 23, 2009 

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Case 2:09-cv-00665-JAM-KJN Document 206 Filed 12/24/09 Page 2 of 2