UNITED STATES DISTRICT COURT

DISTRICT OF OREGON

SECURITIES AND EXCHANGE

COMMISSION

Case No.: 3:16−cv−00438−PK

Plaintiff(s),

v.

AEQUITAS MANAGEMENT, LLC, et al.

Defendant(s).

/

Civil Case Assignment Order

1. Presiding Judge: The above referenced case has been filed in the Portland Division of the U.S.

District Court for the District of Oregon and assigned to:

2. Courtroom Deputy Clerk: Questions about the status or scheduling of this case should be

directed to:

Gary Magnuson

Telephone: 503−326−8055

Email: gary_magnuson@ord.uscourts.gov

3. Case Administrator/Docket Clerk: Questions about filings or docket entries in this case

should be directed to:

Telephone: 503−326−8050

4. Place of Filing: Any paper filings must be submitted to the Clerk of Court, Mark O. Hatfield

U.S. Courthouse, 1000 S.W. Third Ave., Portland, OR, 97204. (See LR 3−1, LR 5−5.)

5. District Court Website: Information about local rules of practice, CM/ECF electronic filing

requirements, responsibility to redact personal identifiers from filings, and other related information

can be found on the Court's website at ord.uscourts.gov.

6. Jurisdictional Authority of Magistrate Judges:

a. Pretrial Administration: Pursuant to LR 72, the assigned United States Magistrate Judge

is authorized to conduct all pretrial proceedings contemplated by 28 U.S.C. § 636(b) and Fed. R. Civ.

P. 72 without further designation of the Court.

b. Trial by Consent and Appeal Options: Pursuant to LR 73, 28 U.S.C. § 636(c), and Fed.

R. Civ. P. 73, all United States Magistrate Judges in this district are certified to exercise civil

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 1 of 7
jurisdiction in assigned cases and, with the consent of the parties, enter final orders on dispositive

motions, conduct trial, and enter final judgment which may be appealed directly to the Ninth Circuit

Court of Appeals (instead of a district judge).

Parties are encouraged to consent to the jurisdiction of a Magistrate Judge by signing and filing

the (attached) Consent to Jurisdiction by a United States Magistrate Judge and Designation of the

Normal Appeal Route. (See LR 5−5(c).) There will be no adverse consequences if a party elects not to

consent to a Magistrate Judge. A Magistrate Judge, however, may be able to resolve a case earlier as

they are primarily assigned only to civil cases.

Additional information about United States Magistrate Judges in the District of Oregon is

available on the Court's website.

DATED: March 11, 2016 MARY L. MORAN

Clerk of Court

by: /s/ S. Sellers

S. Sellers, Deputy Clerk

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 2 of 7
UNITED STATES DISTRICT COURT

DISTRICT OF OREGON

SECURITIES AND EXCHANGE

COMMISSION

Case No.: 3:16−cv−00438−PK

Plaintiff(s),

v.

AEQUITAS MANAGEMENT, LLC, et al.

Defendant(s).

/

Discovery and Pretrial Scheduling Order

To facilitate discovery and the effective management of this case, the Court orders that:

1. Discovery and Pretrial Deadlines: Unless otherwise ordered by the Court, the parties shall,

a. within 120 days of this Order:

i. File all pleadings pursuant to Fed. R. Civ. P. 7(a) and 15;

ii. Join all claims, remedies, and parties pursuant to Fed. R. Civ. P. 18 and 19;

iii. File all pretrial, discovery, and dispositive motions;

iv. Complete all discovery; and

v. Confer as to Alternate Dispute Resolution pursuant to LR 16−4(c).

b. within 150 days of this Order:

i. File a Joint ADR Report pursuant to LR 16−4(d); and

ii. File a Proposed Pretrial Order pursuant to LR 16−5.

2. Corporate Disclosure Statement: In accordance with Fed. R. Civ. P. 7.1 and LR 7.1−1, any

non−governmental corporate party must file a corporate disclosure statement concurrently with its

first appearance (See also LR 83−9).

3. Initial Conference of Counsel for Discovery Planning:

a. Except in cases exempted under Fed. R. Civ. P. 26(a)(1)(B), upon learning the identity of

counsel for Defendant(s), counsel for the Plaintiff(s) must initiate communications with counsel for

Defendant(s).

b. All counsel must then confer as required by Fed. R. Civ. P. 26(f) within thirty (30) days

after a defendant files a repsonsive pleading or a motion under Fed. R. Civ. P. 12. (See LR 26−1.)

c. Counsel should also discuss their client's positions regarding:

i. Consent to a Magistrate Judge; and

ii. Alternate Dispute Resolution options. ADR options include judicial settlement

conferences or Court−sponsored mediation with highly qualified lawyer−mediators. Court−sponsored

mediators agree to conduct mediation without cost to the Court or parties for four (4) hours, exclusive

of preparation and travel time to and from the agreed location for mediation. Parties are encouraged to

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 3 of 7
visit the Court's website for additional ADR information, including mediator biographies,

subject−matter expertise, and contact information.

d. If counsel for all of the parties agree to forgo the initial disclosures required by Fed. R.

Civ. P. 26(a)(1), they shall file with the Court the Fed. R. Civ. P. 26(a) Discovery Agreement form

issued with this order (See LR 26−2). Whether or not the parties agree to forgo the initial disclosures,

they may seek discovery once the initial conference of counsel for discovery planning contemplated

by Fed. R. Civ. P. 26(f) has occurred. (See LR 26−1.)

4. Rule 16 Court Conference for Scheduling and Planning: Counsel for Plaintiff(s) and for

Defendant(s) must, during or promptly after the conference of counsel referred to in section 3 above,

contact the assigned judge's courtroom deputy clerk to schedule a Rule 16 Conference for scheduling

and planning. (See LR 16−2.)

At the Rule 16 Conference, the parties must be prepared to discuss discovery, whether there is consent

to a Magistrate Judge, and any scheduling or other issues, including any requested modifications to

the initial scheduling order set forth in section 1 above, and possible submission of trial exhibits

electronically (See LR 5−6(b)).

5. Service of this Order: Counsel for the Plaintiff (the "filing party") must serve this order and all

attachments upon all other parties to the action. (In cases removed to this Court, the removing

defendant is considered the "filing party.") (See LR 3−5.) A pro se filing party is required to serve this

order and all attachments upon all other parties to the action.

DATED: March 11, 2016 MARY L. MORAN

Clerk of Court

by: /s/ S. Sellers

S. Sellers, Deputy Clerk

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 4 of 7
UNITED STATES DISTRICT COURT

DISTRICT OF OREGON

SECURITIES AND EXCHANGE

COMMISSION

Case No.: 3:16−cv−00438−PK

Plaintiff(s),

v.

AEQUITAS MANAGEMENT, LLC, et al.

Defendant(s).

/

Fed. R. Civ. P. 26(a)(1) Discovery Agreement

Pursuant to LR 26−2, I state that the parties who have been served and who are not in default

have agreed to forgo the disclosures required by Fed. R. Civ. P. 26(a)(1).

DATED:

Signature:

Name and OSB ID:

E−mail Address:

Firm Name:

Mailing Address:

City, State, Zip:

Parties Represented:

cc: Counsel of Record

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 5 of 7
UNITED STATES DISTRICT COURT

DISTRICT OF OREGON

SECURITIES AND EXCHANGE

COMMISSION

Case No.: 3:16−cv−00438−PK

Plaintiff(s),

v.

AEQUITAS MANAGEMENT, LLC, et al.

Defendant(s).

/

Consent to Jurisdiction by a Magistrate Judge

and Designation of the Normal Appeal Route

Pursuant to Fed. R. Civ. P 73(b), as counsel for the party (parties) identified below, I consent to

have a United States Magistrate Judge conduct any and all proceedings in this case, including entry of

orders on dispositive motions, trial, and entry of final judgment. I understand that withholding consent

will not result in any adverse consequences. Pursuant to Fed. R. Civ. P. 73(c), I agree that an appeal

from a judgment entered at a Magistrate Judge's direction may be taken to the court of appeals as

would any other appeal from a district court judgment.

DATED:

Signature:

Name and OSB ID:

E−mail Address:

Firm Name:

Mailing Address:

City, State, Zip:

Parties Represented:

cc: Counsel of Record

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 6 of 7
U.S. District Court − Oregon

Civil Case Management Time Schedules

Local Rule Event or Requirement Time Frame Comment

LR 16−1(d)

Discovery and Pretrial

Scheduling Order (with

attachments)

Issued by the Clerk's Office at

new civil case initiation, along

with the summonses

Required to be served on all

parties by the filing party (See

LR 3−5)

LR 26−1 Initial Conference for

Discovery Planning

Within 30 days of a defendant

filing a responsive pleading or a

motion under Fed. R. Civ. P. 12

Held between the parties

LR 16−2 Rule 16 Conference

Scheduled by the assigned

judge after the required LR

26−1 initial discovery planning

conference

Affirmative duty on all

counsel to contact the

assigned judge's courtroom

deputy (See LR 16−2(a))

LR 16−4(c) ADR Conference

Requirements

Within 120 days from the date

the Discovery and Pretrial

Scheduling Order is issued

Parties must confer with other

attorneys and unrepresented

parties to discuss ADR

options

Joint Status Report

Within 120 days from the date

the Discovery and Pretrial

Scheduling Order is issued

Required in cases assigned to

Judge Jones

LR 16−2(e) Completion of Discovery

Unless otherwise ordered by the

Court, within 120 days from the

date the Discovery and Pretrial

Scheduling Order is issued

Discovery deadlines are set

forth in the Discovery and

Pretrial Scheduling Order

LR 16−4(d) Joint ADR Report

Within 150 days from the date

the Discovery and Pretrial

Scheduling Order is issued

The parties must file a Joint

ADR Report

LR 16−5 Joint Proposed Pretrial Order

Unless otherwise modified

pursuant to LR 16−5(a), within

150 days from the date the

Discovery and Pretrial

Scheduling Order is issued

The Joint Proposed Pretrial

Order filing deadline is

established in the Discovery

and Pretrial Scheduling Order

LR

16−4(f)(2)(B)

Notice to the Court that the

Parties Are Unable to Select a

Court−sponsored Mediator

from the Court's list of

mediators

Within fourteen (14) days after

entry of a court order referring a

case for Court−sponsored

mediation

Plaintiff's attorney (or the pro

se plaintiff) is responsible for

notifying the assigned judge

who will then designate a

mediator

LR 16−4(h)(1) Notification of Private ADR

Results

Not later than seven (7) days

after the conclusion of private

ADR proceedings

Plaintiff's attorney (or the pro

se plaintiff) is responsible for

notifying the court

LR 16−4(h)(2) Report of Court−sponsored

Mediator

Not later than seven (7) days

following the conclusion of the

mediation if no settlement is

achieved

Court−sponsored mediator is

responsible for notifying the

court

Case 3:16-cv-00438-PK Document 3 Filed 03/11/16 Page 7 of 7