JS 44 (Rev. 10/ 20) FLSD Revised 02/ 12/ 2021 CIVIL COVER SHEET 

The JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as provided 

by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of the Clerk of Court for the purpose of lllitiating 

tlie civil docket sheet. (SEE INSTRUCTIONS ON NEXT PAGE OF THIS FORM.) NOTICE: Attorneys MUST Indicate All Re-filed Cases Below. 

I. (a) PLAINTIFFS DEFENDANTS 

Securities and Exchange Commission Empirex Capital LLC, AK.C Management LLC, 

Rafael Alberto Vargas Gonzalez a/k/a Rafael Vargas, Paola Vargas 

(b) County of Residence of First Listed Plaintiff 

{EXCEPT IN U.S. PLAINTIFF CASES) 

County of Residence of First Listed Defendant Miami-Dade County, FL

(IN U.S. PLAINTIFF CASES ONLY) 

( C) Attorneys (Firm Name, Address, and Telephone Number) 

Teresa Verges and Russell Koonin, SEC, 801 Brickell Ave #1950, 

Miami, FL 33131, (305) 982-6300 

NOTE: 

Attorneys (If Known) 

IN LAND CONDEMNATION CASES, USE THE LOCATION OF 

THE TRACT OF LAND INVOLVED. 

(d)Check CountyWhere ActionArose: DX MIAMI-DADE D MONROE □ BROWARD □ PALMBEACH □ MARTIN □ ST.LUCIE □ INDIANRIVER □ OKEECHOBEE □HIGHLANDS 

II. BASIS OF JURISDICTION (Place an "X"inOneBoxOn/y) III. CITIZENSHIP OF PRINCIPAL PARTIES (Place an "X" in One Box for Plaintiff) 

ii I U.S. Government 

Plaintiff 

03 Federal Question 

(U.S. Government Not a Party) 

(For Diversity Case.s Only) 

PTF DEF 

□ I 

and One Box for Defendant) 

PTF DEF 

Citizen of This State D I Incorporated or Principal Place D 4 D 4 

of Business In This State 

D 2 U.S. Government 

Defendant 

04 Diversity Citizen of Another State 02 0 2 Incorporated and Principal Place 0 5 05 

(indicate Citizenship of Parties in Item Ill) of Business In Another State 

Citizen or Subject of a 03 0 3 Foreign Nation 06 06 

Foreign Country 

IV. NATURE OF SUIT (Place an "X" in One Box Only) Click here for: Nature of Suit Code Descriptions 

CONTRACT TORTS FORFEITURE/PENALTY BANKRUPTCY OTHER STATUTES 

D 375 False Claims Act 

□ 376 Qui Tam (31 USC

D 110 Insurance 

D 120Marine 

0 130 Miller Act 

D 140 Negotiable Instrument 

0 150 Recovery of Overpayment 

& Enforcement of Judgment 

D 151 Medicare Act 

D 152 Recovery of Defaulted 

Student Loans 

(Exel. V ctcran.�) 

0 153 Recovery of Overpayment 

of Veteran's Benefits 

D 160 Stockholders' Suits 

0 190 Other Contract 

0 195 Contract Product Liability 

0 196 Franchise 

REAL PROPERTY 

D 210 Land Condemnation 

D 220 Foreclosure 

D 230 Rent Lease & Ejectment 

□ 240 T Ori$ to Land 

D 245 Tort Product Liability 

□ 290 All Other Real Property 

PERSONAL INJURY 

D 310 Airplane 0 315 Airplane Product 

Liability 

0 320 Assault, Libel & 

Slander 

D 330 Federal Employers' 

Liability 

D340Marine 

0 345 Marine Product 

Liability 

D 350 Motor Vehicle 

D 355 Motor Vehicle 

Product Liability 

0 360 Other Personal 

Injury 

□ 362 Personal Injury • 

Med. Malpractice 

CIVIL RIGHTS 

D 440 Other Civil Rights 

D441 Voting 

0 442 Employment 

0 443 Housing/ 

Accommodations 

D 445 Amer. w/Disabilities • 

Employment 

D 446 Amer. w/Disabilities • 

Other 

0 448 Education 

PERSONAL INJURY 

D 365 Personal Injury -

Product Liability 

□ 367 Health Care/ 

Pharmaceutical 

Personal Injury 

Product Liability 

D 625 Drug Related Seizure 

ofProperty 21 USC 881 

0 690Other 

D 368 Asbestos Personal 

Injury Product Liability 

LABOR 

PERSONAL PROPERTY O 710 Fair Labor Standards 

D 370 Other Fraud 

D 371 Truth in Lending 

0 380 Other Personal 

Property Damage 

0 385 Property Damage 

Product Liability 

PRISONER PETITIONS 

Habeas Corpus: 

D 463 Alien Detainee 

0 510 Motions to Vacate

Sentence 

Other: 

D 530 General 

0 535 Death Penalty 

D 540 Mandamus & Other 

0 550 Civil Rights 

0 555 Prison Condition 

560 Civil Detainee - D Conditions of 

Confinement 

Act 

D 720 Labor/Mgmt. Relations 

0 740 Railway Labor Act 

0 751 Family and Medical 

Leave Act 

D 790 Other Labor Litigation 

D 791 Empl. Ret. Inc. 

Security Act 

IMMIGRATION 

0 462 Naturalization Application 

D 465 Other Immigration 

Actions 

V. ORIGIN

■ I Original 

Proceeding 

(Place an "X" in One Box Only) 

□ 2 Removed □ 3 Re-filed □

from State (See VI 

Court below) 

4 Reinstated 

or 

Reopened 

□ 5 Transferred from 

another di.�trict 

{specify) 

0 6 Multidistrict 

Litigation 

Transfer 

□ 422 Appeal 28 USC 158

□ 423 Withdrawal 

28 use 151 

PROPERTY RIGHTS 

□ 820 Copyrights 

D 830Patent 

D 835 Patent-Abbreviated 

New Drug Application 

D 840 Trademark 

D 880 Defend Trade Secrets 

Act of 2016 

SOCIAL SECURITY 

□ 861 IDA (1395ft)

□ 862 Black Lung ( 923) 

□ 863 DIWC /DIWW ( 405(g)) 

□ 864 SSID Title XVI 

□ 865 RSI (405(g)) 

3729 (a)) 

D 400 State Reapportionment 

D 410Antitrust 

D 430 Banks and Banking 

D 450 Commerce 

D 460 Deportation 

D 4 70 Racketeer Influenced and 

Corrupt Organizations 

D 480 Consumer Credit 

( 15 USC 1681 or 1692) 

D 485 Telephone Consumer 

Protection Act (TCPA) 

□ 490 Cable/Sat TV 

D 850 Securities/Commodities/ 

Exchange 

I!) 890 Other Statutory Actions 

D 891 Agricultural Acts 

D 893 Environmental Maners 

D 895 Freedom oflnfonnation 

FEDERAL TAX SUITS Act 

D 870 Taxes (U.S. Plaintiff D 896 Arbitration 

or Defendant) D 899 Administrative Procedure 

□ 871 IRS-Third Party 26 USC Act/Review or Appeal of 

7 609 Agency Decision 

D 7 Appeal to 

District Judge 

from Magistrate 

Jud ent 

D 950 Constitutionality of State 

Statutes 

D 8 �ultidistrict 09 Remanded from 

L1tigatton Appellate Court 

- Ducct 

File 

VI. RELATED/

RE-FILED CASE(S)

(See instructions): a) Re-filed Case DYES D NO 

JUDGE: 

b) Related Cases DYES D NO

DOCKET NUMBER: 

Cite the U.S. Civil Statute under which you are filing and Write a Brief Statement of Cause (Do not cite jurisdictional stJuutes unless diversuy): 

VII. CAUSE OF ACTION 15 USC 78u(c) Application to enforce subpoena ofa U.S. agency

VIII. REQUESTED IN

COMPLAINT:

LENGTH OF TRIAL via days estimated (for both sides to try entire case) 

□

CHECK IF THIS IS A CLASS ACTION 

UNDER F.R.C.P. 23 DEMANDS 

ABOVE INFORMATION IS TRUE & CORRECT TO THE BEST OF MY KNOWLEDGE 

DA TE SIONA TURE OF ATTORNEY OF RECORD 

August 30, 2022 s/Teresa Verges and Russell Koonin 

FOR OFFICE USE ONLY : RECEIPT# AMOUNT IFP JUDGE 

CHECK YES only if demanded in complaint: 

JURY DEMAND: □ Yes ii No 

MAG JUDGE 

x

Case 1:22-mc-22752-DPG Document 1-1 Entered on FLSD Docket 08/30/2022 Page 1 of 1