Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_18-cv-05080/USCOURTS-cand-3_18-cv-05080-6/pdf.json

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

---

STIPULATION TO MODIFY SCHEDULING ORDER SEC V. ROTHENBERG, ET AL. 

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

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 

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-DMR

STIPULATION TO MODIFY 

SCHEDULING ORDER AND 

[PROPOSED] ORDER 

Honorable Jon S. Tigar 

Honorable Donna M. Ryu 

HEARING: August 29, 2019 

at 2:00 p.m., Courtroom 9, 

19th Floor, 450 Golden Gate 

Avenue, San Francisco, CA 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN FRANCISCO DIVISION 

Case 3:18-cv-05080-JST Document 48 Filed 02/05/19 Page 1 of 5
STIPULATION TO MODIFY SCHEDULING ORDER 1 SEC V. ROTHENBERG, ET AL. 

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

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 

WHEREAS, pursuant to the Court’s Scheduling Order (ECF No. 30) (“Scheduling Order”), the 

parties are to complete fact discovery by April 1, 2019, exchange expert disclosures on April 23, 2019, 

and complete expert discovery by June 3, 2019, and Plaintiff Securities and Exchange Commission (the 

“SEC”) is to file its motion to determine amounts of disgorgement and civil monetary penalties due 

(“SEC’s Motion”) by July 1, 2019; 

WHEREAS, pursuant to the Scheduling Order, the hearing on the SEC’s Motion is set for 

August 29, 2019, at 2:00 p.m.; 

WHEREAS, pursuant to the Court’s Settlement Conference Order (ECF No. 41) (“Settlement 

Conference Order”), the parties are required to attend an in-person Settlement Conference on June 14, 

2019, at 11:00 a.m. before Magistrate Judge Ryu, and also have a settlement conference call on February 

21, 2019 (ECF No. 40); 

WHEREAS, on January 17, 2019, the parties stipulated and jointly requested the Court to 

temporarily stay the case because counsel for Defendants, Marc Fagel, is retiring and Defendants are 

seeking new counsel, and the SEC was shut down as of December 27, 2018, due to a lapse in 

appropriations; 

WHEREAS, the Court granted the parties’ request and entered an Order (ECF No. 44) 

temporarily staying the case until the shutdown ended, at which time the parties were to meet and confer 

to determine whether to propose a revised Civil Case Management Plan and Scheduling Order, and 

whether to propose modifications to the Settlement Conference Order, within seven (7) days of the SEC 

reopening; 

WHEREAS, appropriations were enacted on January 25, 2019, and the SEC returned to normal 

operations on January 28, 2019; 

WHEREAS, counsel for Defendants, Marc Fagel, is retiring this month and Defendants are 

continuing to look for new counsel; 

ACCORDINGLY, it is HEREBY STIPULATED by and between the undersigned parties that 

they respectfully request the Court to modify the Scheduling Order by extending the Scheduling Order 

by 30 days or as otherwise noted below: 

 

Case 3:18-cv-05080-JST Document 48 Filed 02/05/19 Page 2 of 5
STIPULATION TO MODIFY SCHEDULING ORDER 2 SEC V. ROTHENBERG, ET AL. 

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

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 

Event Current Deadline Revised Deadline 

Fact discovery cut-off April 1, 2019 May 1, 2019 

Expert disclosures April 23, 2019 May 23, 2019 

Expert discovery cut-off June 3, 2019 July 3, 2019 

SEC’s Motion July 1, 2019 July 31, 2019 

Defendants’ opposition July 22, 2019 August 21, 2019 

SEC reply August 1, 2019 at 2:00 p.m. September 4, 2019 at 2:00 p.m. 

Motion hearing August 29, 2019 at 2:00 p.m. October 3, 2019 at 2:00 p.m. 

It is further STIPULATED by and between the undersigned parties that they respectfully request 

the Court to vacate the Settlement Scheduling Order and conduct a telephonic scheduling conference on 

February 21, 2019, at 11:00 a.m. before Magistrate Judge Ryu, to discuss dates for the Settlement 

Conference and any related deadlines. 

IT IS SO STIPULATED. 

Dated: February 4, 2019 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 48 Filed 02/05/19 Page 3 of 5
STIPULATION TO MODIFY SCHEDULING ORDER 3 SEC V. ROTHENBERG, ET AL. 

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

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 

[PROPOSED] ORDER 

PURSUANT TO STIPULATION, IT IS SO ORDERED. 

DATED: 

 Hon. Jon S. Tigar 

 UNITED STATES DISTRICT JUDGE 

 

February 5, 2019

Case 3:18-cv-05080-JST Document 48 Filed 02/05/19 Page 4 of 5
STIPULATION TO MODIFY SCHEDULING ORDER 4 SEC V. ROTHENBERG, ET AL. 

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

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 

ATTESTATION 

 I, E. Barrett Atwood, am the ECF User whose identification and password are being used to 

file this Stipulation and Proposed Order. I hereby attest that each of the above parties or their 

representatives concurs in this filing. 

Dated: February 4, 2019 /s/ E. Barrett Atwood 

E. Barrett Atwood 

Attorney for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

Case 3:18-cv-05080-JST Document 48 Filed 02/05/19 Page 5 of 5