Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-00665/USCOURTS-caed-2_09-cv-00665-84/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] AMENDED ORDER DIRECTING BROKERAGE HOUSES TO PRODUCE DOCUMENTS AND CLOSE ACCOUNTS

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

AMENDED ORDER DIRECTING 

BROKERAGE HOUSES TO PRODUCE 

DOCUMENTS AND CLOSE ALL EIMT 

BROKERAGE ACCOUNTS 

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: 

EIMT investor funds were utilized to purchase investments through several brokerage 

houses, including but not limited TradeStation Securities, Inc., Options XPress and TD 

Ameritrade (the “Brokerages”). Receiver’s investigation has revealed that a variety of accounts 

were opened at the Brokerages, some of which were in the name of EIMT, and others of which 

may have been in the name of EIMT Properties, LLC, Anthony Vassallo, or Kenneth Kenitzer, 

Case 2:09-cv-00665-JAM-KJN Document 356 Filed 10/13/10 Page 1 of 2
[PROPOSED] AMENDED ORDER DIRECTING BROKERAGE HOUSES TO PRODUCE DOCUMENTS AND CLOSE ACCOUNTS

CASE NO. CV 09-000665 LKK-DAD 

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FUTTERMAN DUPREE 

DODD CROLEY

MAIER LLP

or for which Anthony Vassallo or Kenneth Kenitzer had signing authority (the “EIMT Brokerage 

Accounts”). Receiver’s investigation has further revealed that at least one EIMT Brokerage 

Account, TradeStation Account Number 172-81228JB3, in the name of EIMT, is frozen, but 

contains $2,283.00. 

To facilitate Receiver’s investigation as to whether any other EIMT Brokerage Accounts 

are still in existence, to recover any assets contained in any such EIMT Brokerage Accounts, and 

to trace investor funds any and all Brokerages, including, but not limited to TradeStation 

Securities, Inc., Options XPress and TD Ameritrade, are hereby directed to provide to Receiver 

information and documentation concerning any and all EIMT Brokerage Accounts (including, 

TradeStation Account Number 172-81228JB3, held in the name of EIMT) from January 1, 2004, 

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

disbursements from such accounts, account numbers and account holder identification. 

Furthermore, any and all brokerage houses, including, but not limited to TradeStation Securities, 

Inc., Options XPress and TD Ameritrade, are hereby directed to close any and all EIMT 

Brokerage Account(s) and remit to Receiver any money or securities contained in the EIMT 

Brokerage Account(s) (including, TradeStation Account Number 172-81228JB3, held in the 

name of EIMT). 

All Brokerages, including, but not limited to TradeStation Securities, Inc., Options 

XPress and TD Ameritrade, are hereby further directed to cooperate fully with Receiver in 

transmitting these documents and assets to him and in Receiver’s activities, investigation and 

inquiries on behalf of this Court. 

This order amends the Court’s Order on the same topic issued on October 13, 2009 (Doc. 

No. 148). 

IT IS SO ORDERED. 

Dated: October 12, 2010 

Case 2:09-cv-00665-JAM-KJN Document 356 Filed 10/13/10 Page 2 of 2