Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-94/pdf.json

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

---

[PROPOSED] ORDER DIRECTING BANKS AND/OR FINANCIAL INST. TO PROD. DOCS. RE RAAR, MILLER & BRADSHAW

CASE NO. CV 09-000665 LKK-DAD 

1

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

FUTTERMAN DUPREE DODD CROLEY MAIER LLP

JAMIE L. DUPREE (158105) 

JAIME G. TOUCHSTONE (233187) 

180 Sansome Street, 17th Floor 

San Francisco, CA 94104 

Telephone: (415) 399-3840 

Facsimile: (415) 399-3838 

jdupree@fddcm.com

jtouchstone@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 RAAR 

INVESTMENTS, LTD., JACK MILLER 

AND MICHAEL BRADSHAW 

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 August 12, 2008, EIMT transferred $2,500,000 of investor funds to J.R. Trust in 

connection with a bank note trading “investment” facilitated by a company called Global 

Mergers & Acquisitions, Inc. and its Chief Executive Officer William Alfred Hayward. 

Receiver has been unable to discern any legitimate business reason for the transaction which did 

not financially benefit EIMT. 

Case 2:09-cv-00665-JAM-KJN Document 390 Filed 12/08/10 Page 1 of 3
[PROPOSED] ORDER DIRECTING BANKS AND/OR FINANCIAL INST. TO PROD. DOCS. RE RAAR, MILLER & BRADSHAW

CASE NO. CV 09-000665 LKK-DAD 

2

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

The Court previously issued an order authorizing any and all banks and/or financial 

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

documentation to Receiver tracing the $2,500,000 in EIMT investor funds transferred to J.R. 

Trust (Doc. No. 362), which remains in full force and effect. 

Receiver’s investigation has revealed that a portion of the $2,500,000 in EIMT investor 

funds was transferred from J.R. Trust to the following persons and/or entities during August and 

September of 2008: 

• $395,317.50 to RAAR Investments, Ltd. (“RAAR”); 

• $102,317.01 to Jack Miller; and 

• $232,349.49, Michael Bradshaw. 

Public records indicated that Richard J. Schotts, Jr., Jack Miller, Michael Bradshaw and 

Chris Bradshaw are managing members of RAAR. 

To further facilitate Receiver’s investigation in tracing the disposition of EIMT investor 

funds transferred to J.R. Trust, the Court directs any and all banks and/or financial institutions, 

including, but not limited to Wells Fargo Bank and HSBC, to provide documents and 

information for accounts held by RAAR Investments, Ltd., Richard J. Schotts, Jr., Jack Miller, 

Michael Bradshaw and Chris Bradshaw, or for which Richard J. Schotts, Jr., Jack Miller, 

Michael Bradshaw and Chris Bradshaw have signing authority, including, but not limited to 

Account Numbers XXX-XXX9127, XXX-XXX9438, XXX-XXX1611 and XXX-XXX9327. 

Such documentation shall include, but is not limited to statements and other documentation 

reflecting receipts by, disbursements from, and transfers to/from such account(s), account 

number(s) and account holder identification. 

/ / / 

/ / / 

/ / / 

/ / / 

/ / / 

Case 2:09-cv-00665-JAM-KJN Document 390 Filed 12/08/10 Page 2 of 3
[PROPOSED] ORDER DIRECTING BANKS AND/OR FINANCIAL INST. TO PROD. DOCS. RE RAAR, MILLER & BRADSHAW

CASE NO. CV 09-000665 LKK-DAD 

3

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

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

Bank and HSBC are hereby prohibited from notifying account holder(s), including, but not 

limited to RAAR Investments, Ltd., Richard J. Schotts, Jr., Jack Miller, Michael Bradshaw and 

Chris Bradshaw, of this Order and are directed to cooperate fully with Receiver in his 

investigation and inquiries on behalf of this Court. 

IT IS SO ORDERED.

Dated: December 7, 2010 

Case 2:09-cv-00665-JAM-KJN Document 390 Filed 12/08/10 Page 3 of 3