Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-100/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 EDWIN WESTLAKE

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 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 EDWIN 

WESTLAKE 

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 October 7, 2008, defendant Anthony Vassallo transferred $195,000 of investor funds 

from Veritas Investment LLC’s U.S. Bank Account Number XXXXXXXX2642 (“Veritas 

Account”) to Commerce Bank (now TD Bank) Account Number XXXXXX3742, an account 

which is held in the name of Ban Europa (“Ban Europa Account”). The $195,000 was wired to 

Ban Europa in connection with a certificate of deposit/prime bank note “investment” facilitated 

Case 2:09-cv-00665-JAM-KJN Document 409 Filed 05/04/11 Page 1 of 2
[PROPOSED] ORDER DIRECTING BANKS AND/OR FINANCIAL INSTITUTIONS TO PRODUCE DOCS. RE EDWIN WESTLAKE

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

by a company called NCT Trading, LTD (“NCT Trading”) and its Chairman Edwin Westlake. 

Receiver located a signed “Program Trade Agreement” entered into between Vassallo and NCT 

Trading, but has been unable to discern any legitimate business reason for the transaction which 

did not financially benefit the EIMT investors. 

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

institutions, including, but not limited to Commerce Bank and/or TD Bank, to provide 

information and documentation to Receiver tracing the $195,000 in investor funds transferred 

from the Veritas Account to the Ban Europa Account (Doc. No. 407), which remains in full force 

and effect. Receiver’s investigation has revealed that a portion of the $195,000 in EIMT 

investor funds was transferred from Ban Europa to Edwin Westlake during October 2008. 

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

funds, the Court directs any and all banks and/or financial institutions, including, but not limited 

to Wells Fargo Bank and/or Wachovia, to provide information and documentation to Receiver 

for accounts held by Edwin Westlake and his companies, NCT Trading, Westev WW 

Commodities, LLC, and WestNyre Consulting, Inc., or for which Edwin Westlake has signing 

authority, including, but not limited to Account Number XXXXXXXXX1357. 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. 

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

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

limited to Edwin Westlake, NCT Trading, Westev WW Commodities, LLC, and WestNyre 

Consulting, Inc. 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: May 3, 2011 

Case 2:09-cv-00665-JAM-KJN Document 409 Filed 05/04/11 Page 2 of 2