Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-35/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 BANKS AND/OR FINANCIAL INSTITUTIONS TO PRODUCE DOCS. RE JEFFREY FERENTZ

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 BANKS AND/OR 

FINANCIAL INSTITUTIONS TO 

PRODUCE DOCUMENTS 

CONCERNING EIMT FUNDS 

TRANSFERRED TO JEFF DENNIS 

FERENTZ AND/OR JEFF DENNIS 

FERENTZ, INC. 

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: 

On November 7, 2007, Defendant Anthony Vassallo, withdrew $1,000,000 from Wells 

Fargo Bank Account Number 734-4036681, in the name of EIMT, and transferred that money to 

Jeff Dennis Ferentz and/or Jeff Dennis Ferentz, Inc. On November 8, 2007, one of EIMT’s 

subfunds, the Vassallo Group, wired $1,000,000 from Wells Fargo Bank Account No. 708-

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Case 2:09-cv-00665-JAM-KJN Document 149 Filed 10/14/09 Page 1 of 2
[PROPOSED] ORDER DIRECTING BANKS AND/OR FINANCIAL INSTITUTIONS TO PRODUCE DOCS. RE JEFFREY FERENTZ

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

9171867 to an account held in the name of Jeff Dennis Ferentz, Inc./Jeff Ferentz Client Trust, 

SFR #FW72062311220186, TRN #071108080337. These EIMT funds were transmitted to Jeff 

Ferentz/Jeff Dennis Ferentz, Inc. in connection with a “bank sanctioned high yield project funding 

program.” Jeff Dennis Ferentz was a California attorney, who died in or around June 2008. 

To facilitate Receiver’s investigation, any and all banks and/or financial institutions, 

including, but not limited to Wells Fargo Bank, are directed to provide information and 

documentation to Receiver to facilitate Receiver tracing where the $1,000,000 withdrawn from 

EIMT’s account on November 7, 2009 went, including after its deposit into the “Jeff Dennis 

Ferentz, Inc., Client Trust Account for Designated Beneficiaries” at Wells Fargo Bank, including 

but not limited to all bank statements and other documentation reflecting receipts by, 

disbursements from and transfers to/from such account(s), account number(s) and account holder 

identification. Additionally, any and all banks and/or financial institutions including, but not 

limited to Wells Fargo Bank, are directed to provide information and documentation to Receiver 

to facilitate Receiver tracing where the $1,000,000 transferred from an EIMT subfund, the 

Vassallo Group, to Jeff Dennis Ferentz, Inc./Jeff Ferentz Client Trust on November 8, 2007, 

including, but not limited to bank statements and other documentation reflecting receipts by, 

disbursements from and transfers to/from such account(s), account number(s) and account holder 

identification. 

Any and all banks and/or financial institutions, including, but not limited to Wells Fargo 

Bank are further directed to cooperate fully with Receiver in Receiver’s activities, investigation 

and inquiries on behalf of this Court. 

IT IS SO ORDERED. 

Dated: October 13, 2009 

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Case 2:09-cv-00665-JAM-KJN Document 149 Filed 10/14/09 Page 2 of 2