IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

SECURITIES & EXCHANGE COMMISSION,

Plaintiff(s), NO. C-09-2554 MMC

vs.

PRETRIAL PREPARATION

 ORDER

 PETER C. SON, et al.,

Defendant(s).

 /

It is hereby ORDERED pursuant to Federal Rules of Civil Procedure and the Local Rules

of this Court:

JURY TRIAL DATE: Monday, March 21, 2011 at 9:00 a.m., Courtroom 7, 19th floor.

TRIAL LENGTH is estimated to be 15 days.

DISCOVERY PLAN: Per Federal Rules of Civil Procedure and Local Rules, subject to any

provisions below.

NON-EXPERT DISCOVERY CUTOFF : August 31, 2010 .

DESIGNATION OF EXPERTS:

Plaintiff/Defendant: No later than July 31, 2010 .

Plaintiff/Defendant: Rebuttal no later than N/A .

Parties shall conform to Federal Rule of Civil Procedure 26(a)(2).

EXPERT DISCOVERY CUTOFF : August 31, 2010 .

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DISCOVERY MATTERS are referred to a Magistrate Judge and are to be noticed for hearing

before the assigned Magistrate Judge.

DISPOSITIVE MOTIONS shall be filed no later than October 1, 2010 , and shall be noticed

for hearing 35 days thereafter.

SETTLEMENT CONFERENCE shall be held before Magistrate Judge Elizabeth D. Laporte and

scheduled to take place no later than 30 days prior to the Pretrial Conference.

PRETRIAL CONFERENCE DATE: March 8, 2011 at 3:00 p.m.

COUNSEL WHO INTEND TO TRY THE CASE MUST ATTEND THE

PRETRIAL CONFERENCE. Counsel shall be prepared to discuss all aspects of

the case, including settlement. Pretrial shall conform to the attached instructions.

MEET AND CONFER (Civil L.R. 16-10(b)(5): Lead trial counsel shall meet and confer no later

than January 31, 2011 .

FURTHER TELEPHONIC STATUS CONFERENCE: Friday, October 29, 2010 at 10:30 a.m.

FURTHER STATUS CONFERENCE STATEMENT DUE: Friday, October 22, 2010 .

ADDITIONAL ORDERS: 

Deadline for defendants to provide their accounting is January 29, 2010.

PLAINTIFF IS ORDERED TO SERVE A COPY OF THIS ORDER ON ANY PARTY

SUBSEQUENTLY JOINED IN THIS ACTION.

DATED: January 25, 2010 

MAXINE M. CHESNEY

United States District Judge

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PRETRIAL INSTRUCTIONS

Counsel SHALL meet and confer in good faith in advance of complying with the following

pretrial requirements for the purpose of preparing for the Pretrial Conference and to discuss

settlement.

A. TEN COURT DAYS PRIOR TO PRETRIAL CONFERENCE

The following shall be accomplished not later than ten Court days prior to the scheduled

Pretrial Conference:

1. PRETRIAL STATEMENT: The parties shall file a joint pretrial statement which

shall set forth: 

(1) The substance of the action; 

(2) The relief claimed, including the particular elements of the damages claimed; 

(3) The factual issues remaining, as well as any stipulations of fact; 

(4) The legal issues, including a concise statement of each disputed point of law

concerning liability or relief and citing supporting statutory and case law; 

(5) A current estimate as to the length of the trial; 

(6) The status of the case with respect to alternative dispute resolution.

2. JURY INSTRUCTIONS:

a. Joint Set of Agreed Upon Instructions: The parties shall jointly prepare a set of

agreed upon jury instructions, which shall be filed ten Court days prior to the Pretrial

Conference. Whenever possible, counsel shall deliver to the Courtroom Deputy a copy of their

proposed jury instructions, in the same order as their joint submission, on a CD or 3-1/2" floppy

disk in WordPerfect format. The disk label shall include the name of the parties, the case number

and a description of the documents.

b. Separate Instructions: Separate instructions may be submitted only as to those

instructions upon which the parties cannot agree. Each separate instruction shall note on its face

the identity of the party submitting such instruction. 

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No later than ten Court days prior to the Pretrial Conference, the party or parties

objecting to an instruction shall file a written objection to such instruction. The form of the

objection shall be as follows: 

(1) Set forth in full the instruction to which the objection is made; 

(2) Provide concise argument and citations to authority explaining why the opposing

party's instruction is improper; and 

(3) Set forth in full an alternative instruction, if any. 

The separate instructions with objections shall be filed ten Court days prior to the Pretrial

Conference.

c. Substance and Format of Instructions: The instructions shall cover all substantive

issues. Proposed instructions shall be consecutively numbered. Each proposed instruction shall

be typed in full on a separate page and cover only one subject, to be indicated in the title. 

Citations to the authorities upon which the instruction is based shall be included. Instructions

shall be brief, clear, written in plain English and free of argument. Pattern or form instructions

shall be revised to address the particular facts and issues of this case.

d. Preliminary Statement and Instructions: If the parties wish to have a preliminary

statement read to the jury, and/or preliminary instructions given to the jury, they shall jointly

prepare and submit to the Court, one week prior to trial, the text of the statement and

instructions, clearly marked.

e. Clean Copies: The parties shall be prepared to submit two clean copies of

instructions without citations, titles or attribution on or before the date trial commences.

3. FINDINGS OF FACT and CONCLUSIONS OF LAW: In non-jury cases,

each party shall serve and lodge with the Court proposed findings of fact and conclusions of law

on all material issues. Proposed findings shall be brief, written in plain English and free of

pejorative language and argument. Whenever possible, parties shall deliver to the Courtroom

Deputy copies of proposed findings of fact and conclusions of law on a CD or 3-1/2" floppy disk

in WordPerfect format. The disk label shall include the name of the parties, the case number and

a description of the documents.

4. EXHIBITS:

a. Provide Copies of Exhibits to Other Parties: Each party shall provide every other

party with one set of all proposed exhibits, charts, schedules, summaries, diagrams and other

similar documentary materials to be used in its case in chief at trial, together with a complete list

(see attached) of all such proposed exhibits. Voluminous exhibits shall be reduced by elimination

of irrelevant portions or through the use of summaries. Each item shall be pre-marked with an

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exhibit sticker (see attached), plaintiff's exhibits with numbers, defendant's exhibits with letters or

with numbers sequenced to begin after plaintiff's exhibit numbers. If there are numerous exhibits,

they should be provided in three-ring binders with marked tab separators. All exhibits which have

not been provided as required are subject to exclusion.

b. Stipulations re Admissibility: Prior to the Pretrial Conference, the parties shall

make a good faith effort to stipulate exhibits into evidence and be prepared to place their

admission on the record at the Pretrial Conference. If stipulation to admission in evidence is not

possible, the parties shall make every effort to stipulate to authenticity and foundation absent a

legitimate (not tactical) objection.

c. Provide Copies of Exhibits to Court: Three sets of exhibits shall be provided to

the Court on the first day of trial. Each set shall be in binders, tabbed and indexed.

d. Disposition of Exhibits After Trial: Upon the conclusion of the trial, each party

shall retain its exhibits through the appellate process. It is each party's responsibility to make

arrangements with the Clerk of the Court to file the record on appeal.

5. WITNESSES:

a. Jury Trials: The Pretrial Conference Statement shall include a list of witnesses

likely to be called at trial, other than solely for impeachment or rebuttal, together with a brief

statement following each name, describing the testimony to be given. Expert witnesses shall be

listed separately. Witnesses not included on the list may be excluded from testifying.

b. Non-Jury Trials: In non-jury cases, each party shall serve and lodge with the

Court a written narrative statement of the proposed direct testimony of each witness under that

party's control in lieu of a summary. Each statement shall be marked as an exhibit and shall be in

a form suitable to be received into evidence.

6. MOTIONS IN LIMINE: Motions in limine are limited to motions to exclude specific

items of evidence (i.e. specific testimony or exhibits) on a ground and upon such authority as

would be sufficient to sustain an objection to such evidence at trial. 

Motions in limine shall be filed and served no later than ten Court days prior to the date set for

the pretrial conference. Any party opposing such a motion in limine shall file and serve its

opposition papers no later than five Court days prior to the pretrial conference. No reply papers

will be considered. 

B. ONE COURT DAY PRIOR TO PRETRIAL CONFERENCE

The following shall be accomplished not later than one Court day prior to the Pretrial

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Conference:

1. List of Exhibits With Stipulations and Objections - The parties shall file with the

Court a list of all exhibits admitted by stipulation; and a list of all exhibits as to which objections

have been made, with a brief notation indicating which party objects and for what reason.

2. Objections to Other Evidence - In addition to exhibit lists, counsel shall confer

with respect to any other evidentiary objections in advance of the Pretrial Conference as required

by Local Rule. Each party shall file and serve a statement briefly identifying each item objected

to, the grounds for the objection and the position of the offering party as stated at the conference.

3. Voir Dire and Verdict Forms - Each party shall serve and file proposed questions

for jury voir dire and a proposed form of verdict.

C. OTHER PRETRIAL MATTERS

1. Citations - In all Pretrial Statements, memoranda of points and authorities and jury

instructions, citations shall be as follows: (1) all United States Supreme Court citations shall be to

both the official reporter and to the West Supreme Court Reporter, (2) all citations to California

state courts shall be to both the official reporter and to the West California Reporter, and (3) all

citations to the courts of any other state shall be to both the official reporter of that state and to

the West Regional Reporter. 

2. Settlement Conferences - Any party utilizing another form of Alternative Dispute

Resolution who wishes to arrange a settlement conference before a judge or magistrate judge

thereafter may do so by contacting the Courtroom Deputy.

3. Copies - Unless otherwise indicated, each document filed or lodged with the Court

must be accompanied by a copy for use in the Judge's chambers. In addition, one copy of the

witness and exhibit lists should be furnished to the court reporter.

4. Daily Transcripts - If transcripts will be requested during or immediately after trial,

arrangements must be made with the court reporter at least one week before trial commences.

Attachments

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UNITED STATES DISTRICT COURT

 NORTHERN DISTRICT OF CALIFORNIA

CASE NO. C- MMC DATE: 

 

 vs 

EXHIBIT LIST

 ( ) Plaintiff ( ) Defendant

EXHIBIT

NUMBER Marked Admitted

Sponsoring

Witness DESCRIPTION

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Case No.

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