Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_07-cv-03798/USCOURTS-cand-5_07-cv-03798-22/pdf.json

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

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JOINT PRETRIAL STATEMENT AND [PROPOSED] AMENDED SCHEDULING ORDER 

CASE NO. C-07-3798-JW (HRL) 

496084.01 

KEKER & VAN NEST, LLP 

ELLIOT R. PETERS - #158708 

epeters@kvn.com

R. JAMES SLAUGHTER - #192813 

rslaughter@kvn.com

R. ADAM LAURIDSEN - #243780 

alauridsen@kvn.com

710 Sansome Street 

San Francisco, CA 94111-1704 

Telephone: (415) 391-5400 

Facsimile: (415) 397-7188 

SHIRLI F. WEISS 

shirli.weiss@dlapiper.com

DAVID A. PRIEBE 

david.priebe@dlapiper.com

JEFF COOPERSMITH 

jeff.coopersmith@dlapiper.com

DLA PIPER LLP (US) 

2000 University Avenue 

East Palo Alto, CA 94303 

Telephone: (619) 699-2700 

Facsimile: (619) 699-2701 

Attorneys for Defendant 

KENNETH L. SCHROEDER 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN JOSE DIVISION 

SECURITIES AND EXCHANGE 

COMMISSION, 

Plaintiff, 

v. 

KENNETH L. SCHROEDER, 

Defendant. 

 Case No. C-07-3798-JW (HRL) 

JOINT PRETRIAL STATEMENT AND 

[PROPOSED] AMENDED SCHEDULING 

ORDER 

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORN

I

A

IT IS SO ORDERED

AS MODIFIED

Judge James Ware

6/3/2010

Case 5:07-cv-03798-JW Document 218 Filed 06/03/10 Page 1 of 4
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1 

JOINT PRETRIAL STATEMENT AND [PROPOSED] AMENDED SCHEDULING ORDER 

CASE NO. C-07-3798-JW (HRL) 

496084.01 

Plaintiff Securities and Exchange Commission (the “Commission”) and defendant 

Kenneth L. Schroeder respectfully submit this Joint Pretrial Statement and Proposed Amended 

Scheduling Order in advance of the Pretrial Conference set for June 7, 2010. 

WHEREAS the Court entered an amended scheduling order for this case on January 11, 

2010 [Docket No. 204]; 

WHEREAS the Court’s amended scheduling order requires the parties to submit 

preliminary pretrial conference statements by May 28, 2010; 

WHEREAS Mr. Schroeder, without admitting or denying the allegations of the 

complaint, consented to the entry of partial final judgment on March 31, 2010; 

WHEREAS Mr. Schroeder’s consent to the entry of partial final judgment has not yet 

been considered by the Commission; 

WHEREAS if approved by the Commission and entered by the Court, the partial final 

judgment will resolve all aspects of this case except the issue of whether it is appropriate to enter 

an order, pursuant to Section 21(d)(2) of the Exchange Act [15 U.S.C. §78u(d)(2)], barring 

Mr. Schroeder from serving as an officer or director of any issuer required to file reports with the 

Commission pursuant to Sections 12(b), 12(g) or 15(d) of the Exchange Act [15 U.S.C. 

§§781(b), 781(g), 780(d)]; 

WHEREAS, if the consent is approved by the Commission and entered by the Court, the 

Commission will submit a brief asking that the Court impose no more than a five-year bar and 

Mr. Schroeder would oppose the Commission’s request by asking that no bar be imposed; 

WHEREAS the parties believe that the following extensions to the current deadlines set 

forth in the Court’s amended discovery order would allow them to complete discovery and 

would permit sufficient time, approximately one month, for the Commission to consider the 

proposed consent, which if approved by the Commission would require only a briefing and 

argument on the officer and direct bar issue; 

IT IS HEREBY STIPULATED by the parties, and the parties ask the Court to adopt as its 

amended scheduling order, the following: 

 Close of All Discovery: July 26, 2010 

Case 5:07-cv-03798-JW Document 218 Filed 06/03/10 Page 2 of 4
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JOINT PRETRIAL STATEMENT AND [PROPOSED] AMENDED SCHEDULING ORDER 

CASE NO. C-07-3798-JW (HRL) 

496084.01 

 The Commission’s Opening Brief on Officer and Director Bar Issue: July 26, 

2010 

 Mr. Schroeder’s Opposition Brief: September 17, 2010 

 The Commission’s Reply Brief: October 8, 2010 

 Hearing: October 25, 2010 

IT IS FURTHER STIPULATED THAT, in the event the Commission does not approve 

the proposed consent by June 25, 2010, the parties will jointly notify the Court and will submit a 

proposed schedule for dispositive motions and trial. 

Dated: May 28, 2010 KEKER & VAN NEST LLP 

By: /s/ R. James Slaughter ________________

R. JAMES SLAUGHTER 

Attorneys for Defendant 

KENNETH L. SCHROEDER 

Dated: May 28, 2010 SECURITIES AND EXCHANGE 

COMMISSION 

By: /s/ Mark P. Fickes ___________________

MARK P. FICKES 

Attorneys for Plaintiff 

SECURITIES AND EXCHANGE 

COMMISSION 

Schroeder’s undersigned counsel of record, R. James Slaughter, hereby attests that 

Mark P. Fickes concurs in the filing of this stipulation, in accordance with General Order No. 45, 

Electronic Case Filing, section 10(b). 

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November 1, 2010 9:00 AM

Case 5:07-cv-03798-JW Document 218 Filed 06/03/10 Page 3 of 4
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JOINT PRETRIAL STATEMENT AND [PROPOSED] AMENDED SCHEDULING ORDER 

CASE NO. C-07-3798-JW (HRL) 

496084.01 

[PROPOSED] ORDER

PURSUANT TO STIPULATION, IT IS SO ORDERED. 

DATED: May ___, 2010 

______________________________________

HON. JAMES WARE 

UNITED STATES DISTRICT JUDGE 

AS MODIFIED:

The Preliminary Pretrial Conference set to June 7, 2010 is continued to September 27, 2010 at 

11:00 AM. On or before September 17, 2010, the parties shall file a joint statement updated the 

Court on the status of the parties' partial settlement efforts. 

Dated: June 3, 2010 

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORN

I

A

IT IS SO ORDERED

AS MODIFIED

Judge James Ware

Case 5:07-cv-03798-JW Document 218 Filed 06/03/10 Page 4 of 4