Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_05-cv-03843/USCOURTS-cand-5_05-cv-03843-23/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:78m(a) Securities Exchange Act

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OHS West:260267297.1 

WALTER F. BROWN, JR. (STATE BAR NO. 130248) 

SUSAN D. RESLEY (STATE BAR NO. 161808) 

ERIC HAIRSTON (STATE BAR NO. 229892) 

RANDALL S. LUSKEY (STATE BAR NO. 240915) 

ORRICK, HERRINGTON & SUTCLIFFE LLP 

The Orrick Building 

405 Howard Street 

San Francisco, CA 94105-2669 

Telephone: 415-773-5700 

Facsimile: 415-773-5759 

Attorneys for Defendant 

Richard A. Nye 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN JOSE DIVISION 

SECURITIES AND EXCHANGE 

COMMISSION, 

Plaintiff, 

v. 

KEITH G. BAXTER, RONALD J. GOEDDE, 

RICHARD D. NYE, ROBERT E. 

ELLINGTON and ANTHONY W. O'DELL, 

Defendants. 

Case No. C 05 3843 RMW 

JOINT STIPULATION AND 

[PROPOSED] ORDER CONTINUING 

SETTLEMENT CONFERENCE 

DATE 

Date: July 18, 2007 

 Time: 10:00 a.m. 

 Magistrate Judge: Hon. Patricia Trumball 

 

Case 5:05-cv-03843-RMW Document 115 Filed 07/13/07 Page 1 of 3
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JOINT STIPULATION AND [PROPOSED] ORDER CONTINUING SETTLEMENT CONFERENCE– Master File No. C 05 3843 RMW 

OHS West:260267297.1

1

This Stipulation is entered into by and among plaintiff, the Securities and Exchange 

Commission ("SEC"), and defendant Richard D. Nye, through their respective attorneys of record. 

WHEREAS, the next settlement conference in this matter is currently scheduled for July 18, 

2007; 

WHEREAS, trial of this matter has been continued to January 28, 2008, with corresponding 

continuances for related pre-trial deadlines; 

WHEREAS, counsel for the SEC and Mr. Nye have continued informal settlement 

discussions, but neither party has changed its position regarding settlement since the September 25, 

2006 settlement conference; 

WHEREAS, counsel for the SEC and Mr. Nye agree that participation in the private 

mediation process may facilitate an informed and productive discussion regarding the appropriate 

disposition of the case, and thus intend to engage a private mediator and complete mediation by 

September 30, 2007; 

NOW THEREFORE, the parties agree that the July 18, 2007 settlement conference shall be 

continued to November 14, 2007, or at such time as ordered by the Court and that the parties shall 

inform the Court of the results of the mediation at its conclusion but by no later than October 15, 

2007. 

Case 5:05-cv-03843-RMW Document 115 Filed 07/13/07 Page 2 of 3
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JOINT STIPULATION AND [PROPOSED] ORDER CONTINUING SETTLEMENT CONFERENCE– Master File No. C 05 3843 RMW 

OHS West:260267297.1

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IT IS SO STIPULATED 

 Respectfully submitted, 

Dated: July 12, 2007 WALTER F. BROWN, JR 

SUSAN D. RESLEY 

ERIC HAIRSTON 

RANDALL S. LUSKEY 

Orrick, Herrington & Sutcliffe LLP 

The Orrick Building 

405 Howard Street 

San Francisco, California 94105 

Telephone: (415) 773-5700 

Facsimile: (415) 773-5759 

 / s / 

Susan D. Resley 

Attorneys for Defendant 

Richard A. Nye 

Dated: July 12, 2007 ELIZABETH KRUPA 

SECURITIES AND EXCHANGE 

COMMISSION 

1801 California Street, Suite 1500 

Denver, CO 80202 

Telephone: (303) 844-1000 

Facsimile: (303)844-1068 

 / s / 

Elizabeth Krupa 

Attorneys for Plaintiff United States Securities and 

Exchange Commission

 [PROPOSED ORDER] 

DATE: July 13, 2007 ______________________________ 

PATRICIA V. TRUMBULL 

UNITED STATES MAGISTRATE JUDGE

IT IS HEREBY ORDERED that the Settlement Conference is continued to November 14, 2007 at 2:00 p.m. and the 

parties shall report the results of the private mediation no later than October 15, 2007.

Case 5:05-cv-03843-RMW Document 115 Filed 07/13/07 Page 3 of 3