RSS Feed Print
Merrill Scott recovery goes past $10 million mark
Anonymous
Posted: Friday, August 12, 2011 11:38 PM

Posted: 7/21/2004 3:40:14 AM

By: Howard Fisher, Mr. Insignificant, member of management team

http://web.archive.org/web/20011013000613/http://www.merrillscott.com/management.html

Our Management Team, Advisors & Partners

Merrill Scott management, advisors and partners excel in tax and estate planning for the affluent, and provide financial services for the world’s wealthy.

Robert J. Hipple, MBA, JD, LLM Chairman and CEO of Merrill Scott & Associates.
Masters of Business Administration, Business/Finance, Emory University. Masters of Laws (LLM), Federal Taxation, Georgetown University. Juris Doctor, Business, Georgetown Law School. Bachelor of Arts, Economics. Founder and Director, Summit Bank Holding Corp., Atlanta, GA, a national bank holding company. Director, Secretary and Corporate Counsel, Xenox, Inc, an AMEX listed holding company. Owner and operator, Kemps’ Bay Bone-fishing Lodge, Kemps’ Bay, South Andros Island, The Bahamas. Published many articles and materials in legal publications; co-author of multi-volume bankruptcy law treatise; given many speeches and presentations to legal, business and accounting groups. International experience: United States, Asia, Europe, Canada, Latin America. Work history: Enesco Group, Inc., Senior VP Law & Licensing, General Counsel and Corporate Secretary, and part of a 5 person senior management team; also, director of foreign subsidiaries in UK., France and Hong Kong. 3D Image Technology, Inc. Executive Vice President, Director, COO/CFO and General Counsel. CareHaven Homes, Inc., Chairman and CEO. Corporate Counsel, CEO and Managing Partner. Emory University Law School, Associate Professor of Law and Director of Graduate Tax Law Program. U.S. Department of Justice Tax Division, Trial Attorney with over 100 trials.



David Ross, JD
Mr. Ross specializes in tax law with over 27 years of experience in handling tax matters, including 8 years as an attorney for the Internal Revenue Service. Mr. Ross received his B.B.A. and J.D. degrees in 1971 from Washburn University. He clerked for the Kansas Supreme Court and later worked as an attorney for the IRS and a Hearing Judge for the U.S. Civil Service Commission Mr. Ross was general counsel for a corporation in Chicago, Illinois and for the Equitable Life Insurance Company. He has served as the president of the Utah Chapter of Insurance Accounting and Systems Association and chairman of the Utah Corporate Counsel Section of the Utah State Bar. He was appointed by Governor Bangerter to serve as a member of the task force to rewrite the Utah Insurance Code. Mr. Ross is a member of the Bar of Utah, Illinois, Kansas and the Federal Bar. He is admitted to practice before the United States Supreme Court, U.S. District Courts, and the U.S. Court of Military Appeals.



Lester A. Katz, JD, LLM, CPA
Masters of Laws in Taxation (LL.M.) The George Washington University, Washington DC. Juris Doctor (J.D.) Boston University School of Law, Boston, MA. Bachelor of Science in Business Administration, Boston University, College of Business Administration, Boston, MA. Certified Public Accountant. Member of the Bar, District of Columbia, Massachusetts, Pennsylvania, and Rhode Island.Adjunct Professor of Law at both Georgetown University Law Center (LLM Tax Program) and George Mason University School of Law. The Washington Law Group, President, Business Tax Lawyer. Metzger, Gordon & Scully, Washington DC. Partner, Business Tax Lawyer. Sachs & Taylor, Washington, DC, Partner, Business Tax Lawyer. Rose, Schmidt, Chapman, Duff & Hasley, Washington, DC, Partner, Business Tax Lawyer. Grant Thorton, Washington, DC, National Tax Partner, Washington – Liaison. J.K. Lasser & Company – Principal, Maintained liaison for the firm with the National Office of the IRS; Internal Revenue Service, National Office, Washington DC, Tax Law Specialist, Corporation and Reorganization Branches. Speaking engagements: Mid-America Tax Conference, Louisiana Tax Conference, District of Columbia Institute of CPAs, Great Plains Federal Tax Institute, Federal Bar Association, D.C. Bar Association, Executive Enterprises.



Boyce F. Lowery, CLU, CHFC
Mr. Lowery has nearly 25 years of diverse experience in the insurance and financial services industry. Most recently, prior to joining MSA, he served as Executive Vice-President and Chief Operating Officer for an insurance agency and a broker-dealer each of which focused on bank channel marketing. He received his B.S. in Management from Bob Jones University in 1976. His Chartered Life Underwriter and Chartered Financial Consultant designations were earned in 1983 and 1984, respectively, from the American College in Bryn Mawr, PA.. Mr. Lowery is also co-founder of PIE Technologies, Inc., a financial services software development firm located in Midlothian, VA. He continues to serve on the company’s board of directors.



Michael G. Licopantis
Mr. Licopantis is a Chartered Financial Analyst ("CFA") with over thirty years of diverse investment experience managing institutional and a high net worth portfolios. He was formerly Senior Vice President and Chief Investment Officer, Aim Management Group Inc, responsible for the management of $18.8 billion of diversified assets, which included money market, fixed income, real estate, and stocks including venture capital. Additionally, he has served as Senior Vice President and Chief Investment Officer for E. F. Hutton Insurance Group, serving as Chairman of the Investment Policy Committee, Member of the Executive Council, and Product Development Committee. Additionally, Mr. Licopantis holds Series 7 and 63 licenses and is a graduate of New York University, Stern Business School (BS) and Graduate School of Business Administration (MBA).




Michael Coopet, JD, LLM
Mr. Coopet is an attorney with 16 years of varied tax and business law experience. Mr. Coopet holds a B.A. in Business/Economics from Hamline University (1979), a Juris Doctor from Hamline University School of Law (1982) and an LL.M. (Master of Laws) in tax law from Boston University School of Law (1983). Most recently, Mr. Coopet has been in private practice for the last 10 years specializing in taxation, estate planning, asset protection and probate matters. Michael has been called upon to coordinate the legal and financial aspects of raising of capital for several entrepreneurial projects, including two independently produced feature-length films and the underwater reclamation of a 16th-century Spanish treasure galleon in the Caribbean. Mr. Coopet is licensed to practice law in California, Minnesota, New York, the District of Columbia and the U. S. District Courts.



Scott Ashton-Blair, JD
Mr. Ashton-Blair specializes in investment banking services for international agencies, governments, government agencies, and "Fortune 500" companies. He was a Private Client Services Manager for Arthur Andersen, LLP, for clients with net worth’s ranging from $7 to $300 million. He was a member of the firm’s Family Wealth Transfer Specialty Team and developed products including dynasty trusts, installment sales to grantor trusts, appraisals for discounted valuations, designer private placement insurance, and non-qualified stock option plans. As an attorney in Scottsdale, Arizona, he practiced primarily in the field of estate planning, trusts, and probate. Mr. Ashton-Blair received his J.D. from the University of Arizona College of Law and his MBA from the American Graduate School of International Management (Thunderbird). He received his B.A. in Finance from Claremont Men’s College.



James W. Drese, JD
Mr. Drese spent the last fifteen years actively involved in international financial activities and strategies. He was incumbent as Managing Director for a Swiss based firm, living in Grand Cayman in the Cayman Islands. This firm offered three international hedge funds, operated two offshore banks and provided a wealth management firm, specializing in asset protection. He occupied this position for four years. Prior to the position in Grand Cayman, he was Director of Investment Services for another firm based n Zurich, Switzerland that offered investment options to high net worth individuals, families and organizations in Latin America. He lived in Nassau, Bahamas during the three and one half years he was associated with his firm. his consultant also was involved in services rendered to several governmental organizations, that included the Central Intelligence Agency, The Treasury Department and private contractual services to Governments of Venezuela, Canada, Mexico, Holland and the United Arab Emirates. e has been active in financial services and activities in more than thirty countries, and continues to advise the governmental units on financial matters. He currently provides investment banking consultant services to the governments of Malaysia and Thailand.




Howard Fisher, JD
Mr. Fisher is a member of the California Bar (Board Certified Taxation Specialist), and the Honourable Society of Lincoln's Inn (London [student bencher]). Mr. Fisher is a graduate of the University of Southern California (having studied at the American College In Paris), Southwestern University (J.D.), the University of Cambridge (LL.B. with honours), and completed post-graduate studies in taxation at Harvard University Law School. Mr. Fisher specializes in business and tax planning, and tax litigation. Mr. Fisher is the past Chair of the California State Bar's Taxation Section and the Beverly Hills Bar's Tax Section, and was the secretary of the Western Division of the International Fiscal Association. He is the senior partner of Clinco & Fisher, LLP, based in Beverly Hills, California.



Patrick M. Brody
Mr. Brody is currently the Managing Director of Merrill Scott and Associates (MSA), a company that has established itself as a leader in tax and estate planning for the affluent. He has served as an Accountant and Financial Planner for MSA since its inception. Today, MSA serves four primary financial markets with four key operating units, six financial subsidiaries and an affiliated law firm, and has office representation throughout the US, Bahamas, Hong Kong, Belize, Europe and other various international jurisdictions. Previous to forming Merrill Scott & Associates, Mr. Brody was a partner in Computerized Accounting Services in Idaho Falls, Idaho, as well as a partner in Progressive Business Services – a venture capital firm. In 1996 Mr. Brody became the managing director of Phoenix Overseas Advisors, Ltd., an offshore investment management sister company to MSA. Based in The Bahamas, this company was founded to provide state-of-the-art counseling for offshore investments. Under the guidance of Mr. Brody, the parent company branched out to include private banking services. Merrill Scott Merchant Banking was formed as a private equity and deal-making venture that identifies opportunistic investments and converts them into ownership interests and cash-flow for MSA clients. Engagements involve identification and review of merger and acquisition candidates, the introduction of financing sources and all aspects of raising capital for expansion and/or new business endeavors. Over the past ten years, Mr. Brody has helped many affluent individuals with their tax strategy and legacy planning needs – protecting their assets and saving them millions of tax dollars. Mr. Brody’s expertise and specialty in international planning, asset protection, and estate planning is specifically geared to meet the needs of the affluent.



Raymond J. Muratori, JD, CPA
Professional background as a tax attorney and CPA with a significant part of his career spent on tax planning and tax minimization for his clients. He is experienced in defending tax-planning positions with federal and state taxing authorities. Also, Raymond has experience in federal and state legislative and regulatory matters and often use that background to accomplish or assist in the tax planning goals of his clients. Mark Nordbrock, JD, CPA. University of Arizona (B.S. Accounting and Finance, top 3%) Loyola Law School (J.D., 1992 top 11% with emphasis on tax and business law. Work experience, Price Waterhouse, Kindel & Anderson, Deems & Carpenter, Research Institute of America .


Mark Woods, CPA
Received both Bachelor’s and Master’s degrees from Brigham Young University in Accounting/Taxation in 1995. Worked six years for PricewaterhouseCoopers providing tax consulting services for individuals, businesses, and corporations dealing with domestic and international tax issues in connection with both US and foreign taxes. Of the six years with PwC, three years were in San Francisco consulting with corporations, partnerships and individuals primarily in the domestic real estate, retail, and services industries. The following two years were in PwC's Sao Paulo, Brazil office dealing with international tax issues for multinational corporate clients, including mergers and acquisitions, import/export issues, international corporate structuring, tax treaties, etc. The last two years with PwC were in San Jose consulting with technology corporations dealing with international expansion, international mergers and acquisitions, offshore intangible property migration, etc.

Adolph W. Ebersberger, JD
Education: University of Baltimore Law School. Insurance broker, realtor in Florida and Maryland, General Securities License. Series Seven, Sixty Three, and Sixty Five. Certified Financial Planner Registered Investment Advisor, Mortgage Broker.

Walter J. MacCarron, MBA
Mr. MacCarron specializes in institutional and retail securities. He has extensive experience with strategic planning, forecasting, troubleshooting, and financial management for a variety of institutional retail clients. He was in charge of controlling major equity accounts in the Pacific Northwest for such clients as Bank of America, Wells Fargo Bank, the University of California, and the State of California’s Pension System, to name a few. He also has extensive experience with retail security sales for such firms as Kidder Peabody, Lehman Brothers, Drexel Burnham Lambert, and Prudential Securities. Mr. MacCarron received his MBA from Pepperdine University in Los Angeles, CA, and his B.S. in Finance from Florida State University in Tallahassee, Florida.

John R. Capasso, CPA
With eight years of experience working in the public accounting profession and over 14 years of financial industry experience, John has built upon his deep analytical and implementation skills in handling complex business issues surrounding closely held businesses and high net worth individuals. As a certified public accountant, he was involved in all aspects of the client engagement - from staffing and budgeting requirements to tax preparation, planning and analysis, to strategic marketing initiatives and business expansion opportunities in a wide range of industries. Mr. Capasso’s profound technical and functional skills as well as his leadership and problem-solving abilities led him to a career in the financial services field. He founded a Registered Investment Advisory firm to provide closely held business owners and high net worth individuals with quality service and first-rate implementation capabilities. Relying on his networking skills and contacts within the accounting and legal professions, John established a niche advising small to medium sized businesses on matters including asset management and allocation services, business succession and estate planning, tax reduction and minimization, pension/retirement planning and health insurance studies and review (specifically self-insurance and third party administration). Under the guidance of Mr. Capasso, the firm branched out to include limited private banking services. Engagements involved identification and review of merger and acquisition candidates, the introduction of financing sources and all aspects of raising capital for expansion and/or new business endeavors. John’s steady progression and his strengthened technical and leadership skills led to his taking on additional responsibilities in certain engagements, including assisting clients in writing business plans and private placement memoranda, working closely with legal representation as well as consultative and brief management assignments involving restructurings and bankruptcies. John’s progression in a wide range of industries and financial situations has further enhanced his broad business perspective and demonstrates his commitment and persistence as well as his willingness and ability to take on additional responsibilities.

Steve Parker, MBA, CPA
Mr. Parker specializes in all manner of financial services. He has extensive experience with corporate funding, budgeting, accounting, income tax (including that for individual shareholders), financial reporting as well as credit administration and employee benefits. As Chief Financial Officer for Old National Bancorp in Evansville, Indiana, Mr. Parker directed capital markets, investor relations, bank investment portfolios, bank market based funding, holding company funding, interest rate risk analysis, shareholder services, and strategic planning. Mr. Parker received his MBA with honors from Vanderbilt University’s Owen Graduate School of Management, Executive Program. He received his B.S. in Accounting from Ball State University.



Dave Smith, MBA
David E. Smith III is Director of Client Relations. Mr. Smith has over ten years of experience in the financial services arena as well as years of experience consulting with high net worth entrepreneurial focused entities and individuals regarding strategic business planning and implementation. Mr. Smith received his B.S. degree in Business Management from the University of Utah with a marketing and science background. Mr. Smith received his Masters of Business Administration degree from the University of Arizona with emphasis in management and finance. As a consultant working with firms with nation wide clientele, he has consulted with and presented to high net worth and professional clientele around the country.



Dwight Larsen MBA, MS
Mr. Larsen has extensive experience counseling with high net worth clients including members of the Forbes 400 list in providing asset management and financial planning services. Prior to joining MSA, Mr. Larsen worked with Fidelity Investments developing and maintaining relationships with their ultra high net worth clients. He has also worked with the affluent at The Prudential and Oppenheimer Fund Management. Mr. Larsen received his Bachelor of Science from the University of Utah and his Master of Business Administration and Master of Science from the University of Colorado. Dwight is a registered investment advisor.



Dell Wayne Gailey, MBA
Mr. Gailey received his MBA (Magna Cum Laude) in 1974 from University of Utah with emphasis in Operations and Logistics. He has more than 30 years management experience encompassing operations, business development, marketing and finance. Prior to joining Merrill Scott, he served as CFO, Controller, Director of Operations and Vice President of various businesses including Fortis Financial, Great Western, Inc. and Otten Management. Dell has been instrumental in developing many financial products, programs and strategies for these companies addressing the challenges faced by the highly compensated and affluent.



Aaron Nilsen, JD
Mr. Nilsen earned a Bachelor of Arts degree in Editorial Journalism from the University of Washington in 1993. He obtained his Juris Doctorate degree in 1997 from the University of Utah College of Law, where he earned recognition as a Leary Scholar (awarded to top 20%) and served as Senior Staff on the Law Review. Since 1997, Mr. Nilsen's legal practice has consisted almost entirely of estate and business planning for high net worth individuals with an emphasis on domestic asset protection strategies. At Merrill Scott & Associates, Mr. Nilsen is the principal estate planning and implementation attorney. His responsibilities specifically include drafting custom-tailored wills, trusts, and closely-held entities carefully constructed to assure achievement of the clients' lifetime and post-mortem tax and personal goals.




Internal Administrator
Posted: Friday, August 12, 2011 11:38 PM
Joined: 10/12/2010
Posts: 5783


Posted: 7/21/2004 1:12:01 AM

By: Sooltauq

http://www.merrillscott.com/fourteenth_report_of_receiver.pdf

David:

I think it would be an excellent story for your next OffshoreAlert to update the status of the Merrill Scott receivership and whatever happened to Pat Brody et al., i.e., were criminal charges ever filed and against whom and the status thereof. I'm sure that the Receiver would be more than happy to discuss the status of all the foregoing with you by telephone.


Anonymous
Posted: Friday, August 12, 2011 11:38 PM

Posted: 5/24/2006 3:22:19 PM

By: piutah@aol.com

What would you like to know


Anonymous
Posted: Friday, August 12, 2011 11:38 PM

Posted: 7/26/2004 11:36:19 PM

By: interested

Can you say what role Robert Hipple is alleged to have had in this? The court papers say he was MD of MSA.


Anonymous
Posted: Friday, August 12, 2011 11:38 PM

Posted: 7/21/2004 11:35:15 AM

By: Sooltauq

Among the juicy tidbits:

1) The SEC is suing Lloyds of London, ostensibly on Merrill Scott's E&O policy.

2) There is some action currently pending before the Nevada Supreme Court.

3) The SEC has recently moved to hold head crook Pat Brody in contempt.

4) The SEC is attempting to get pre-judgment attorney fees against several of the main individual defendants.

Can federal grand jury proceedings be too far behind?


Anonymous
Posted: Friday, August 12, 2011 11:38 PM

Posted: 7/21/2004 11:25:05 AM

By: Sooltauq

Docket as of July 16, 2004 10:06 pm Web PACER (v2.4)


--------------------------------------------------------------------------------

U.S. District Court

District of Utah (Central)

CIVIL DOCKET FOR CASE #: 02-CV-39

SEC v. Merrill Scott Ltd, et al

Filed: 01/15/02
Assigned to: Judge Tena Campbell
Referred to: Judge David Nuffer
Demand: $0,000
Nature of Suit: 850
Lead Docket: None
Jurisdiction: US Plaintiff
Dkt# in other court: None
Cause: 15:77 Securities Fraud



--------------------------------------------------------------------------------



DAVID K. BROADBENT David K. Broadbent, Mr.
receiver [COR]
Richard D. Clayton, Mr.
EMAIL
[COR]
John P Harrington, Mr.
EMAIL
[COR]
James L. Barnett
EMAIL
[COR]
Brent E. Johnson
EMAIL
[COR LD NTC]
Reha Kamas Deal
EMAIL
[COR]
Jennifer L. Lange
EMAIL
[COR]
Gavin M. Reese
EMAIL
[COR]
Lindsay Welch Hola
[COR]
Sarah G. Schwartz
EMAIL
[COR]
HOLLAND & HART
60 E SOUTH TEMPLE STE 2000
SALT LAKE CITY, UT 84111-1031
(801)595-7800

Randy Paar
[COR LD NTC]
John P. Winsbro

[COR]
DICKSTEIN SHAPIRO MORIN &
OSHINSKY
1177 AVENUE OF THE AMERICAS
NEW YORK, NY 10036-2714
(212)835-1400

-------------------------

SECURITIES AND EXCHANGE William B McKean, Mr.
COMMISSION EMAIL
plaintiff [COR]
Thomas M Melton, Mr.
EMAIL
[COR LD NTC]
Karen L. Martinez
EMAIL
[COR]
Cheryl M. Mori-Atkinson
EMAIL
[COR]
SECURITIES AND EXCHANGE
COMMISSION
50 S MAIN STE 500
SALT LAKE CITY, UT 84144-0402
(801)524-5796

MARK J. GRIFFIN Nicholas E Hales, Mr.
movant JFAX 9,3592320
[COR]
WOODBURY & KESLER
265 E 100 S STE 300
SALT LAKE CITY, UT 84110
(801)364-1100

Mark J. Griffin
EMAIL
[COR LD NTC]
WOODBURY & KESLER
265 E 100 S STE 300
SALT LAKE CITY, UT 84111
(801)364-1100

NICHOLAS E. HALES Nicholas E Hales, Mr.
movant (See above)
[COR]

Mark J. Griffin
(See above)
[COR LD NTC]

THE SCOTT K. CANEPA CHARITABLE Richard D Burbidge, Mr.
SUPPORTING ORGANIZATION, A EMAIL
Nevada charitable trust [COR LD NTC]
movant Stephen B Mitchell, Mr.
EMAIL
[COR]
Jefferson W. Gross
EMAIL
[COR]
BURBIDGE & MITCHELL
215 S ST ST STE 920
SALT LAKE CITY, UT 84111
(801)355-6677

Mark A. Solomon
[COR LD NTC]
Dana A. Kleiber
[COR]
LIONEL SAWYER & COLLINS
300 S FOURTH STE 1700
LAS VEGAS, NV 89101
(702)383-8896

SCOTT K. CANEPA, As trustee Richard D Burbidge, Mr.
and individually (See above)
movant [COR LD NTC]
Stephen B Mitchell, Mr.
(See above)
[COR]
Jefferson W. Gross
(See above)
[COR]

Mark A. Solomon
(See above)
[COR LD NTC]
Dana A. Kleiber
(See above)
[COR]

CURT WOODS, as his interests Richard G. Cook
may appear [COR LD NTC]
movant COOK & CO PLLC
2425 CATALINA DR
SALT LAKE CITY, UT 84121
(801)943-1688

KATHY WOODS, as her interests Richard G. Cook
may appear (See above)

movant [COR LD NTC]

v.

MERRILL SCOTT & ASSOCIATES LTD
defendant

MERRILL SCOTT & ASSOCIATES James L. Barnett
defendant EMAIL
[COR]
Brent E. Johnson
EMAIL
[COR LD NTC]
Reha Kamas Deal
EMAIL
[COR]
HOLLAND & HART
60 E SOUTH TEMPLE STE 2000
SALT LAKE CITY, UT 84111-1031
(801)595-7800

PHOENIX OVERSEAS ADVISERS James L. Barnett
defendant (See above)
[COR]
Brent E. Johnson
(See above)
[COR LD NTC]
Reha Kamas Deal
(See above)
[COR]

GIBRALTAR PERMANENTE ASSURANCE James L. Barnett
defendant (See above)
[COR]
Brent E. Johnson
(See above)
[COR LD NTC]
Reha Kamas Deal
(See above)
[COR]

PATRICK M. BRODY Randall A Mackey, Mr.
defendant EMAIL
[COR LD NTC]
Gifford W Price, Mr.
JFAX 9,5755006
[COR]
Gregory N. Jones

JFAX 9,5755006
[COR]
Russell C. Skousen
JFAX 9,5755006
[COR]
MACKEY PRICE THOMPSON & OSTLER
57 W 200 S STE 350
SALT LAKE CITY, UT 84101-1655
(801)575-5000

Robert Henry Copier, Mr.
[term 10/30/03]
[COR LD NTC]
17 E 400 S
SALT LAKE CITY, UT 84111
(801)531-0099

DAVID E. ROSS, II Richard A Van Wagoner, Mr.
defendant EMAIL
[COR]
Max D Wheeler, Mr.
EMAIL
[COR LD NTC]
Robert J. Shelby
EMAIL
[COR]
SNOW CHRISTENSEN & MARTINEAU
10 EXCHANGE PLACE
PO BOX 45000
SALT LAKE CITY, UT 84145-5000
(801)521-9000

MICHAEL G. LICOPANTIS
defendant

========================

CERTAIN UNDERWRITERS AT LLOYDS Peter W. Billings, Jr, Mr.
OF LONDON, ENGLAND EMAIL
third-party defendant [COR LD NTC]
Joan M. Andrews
EMAIL
[COR]
FABIAN & CLENDENIN
215 S STATE STE 1200
PO BOX 510210
SALT LAKE CITY, UT 84151
(801) 531-8900

Kristopher A. Kuehn

EMAIL
[COR LD NTC]
Kathryn A. Lewis
EMAIL
[COR]
WARDEN TRIPLETT GRIER
9401 INDIAN CREEK PKWY STE 1100
OVERLAND PARK, KS 66210
(913)491-3000

JAMES P. LANDIS James P. Landis
third-party defendant [NTC] [PRO SE]
105 W WOODLAWN
SAN ANTONIO, TX 78212

========================

CHARLES COZEAN, secured Mary C. Gordon
creditor of Merrill Scott & EMAIL
Assoc., et al. [COR LD NTC]
movant MANNING CURTIS BRADSHAW &
BEDNAR LLC
THIRD FLOOR NEWHOUSE BLDG
10 EXCHANGE PL
SALT LAKE CITY, UT 84111
(801)363-5678





--------------------------------------------------------------------------------


DOCKET PROCEEDINGS


--------------------------------------------------------------------------------

DATE # DOCKET ENTRY



1/15/02 1 Complaint filed, assigned to Judge Tena Campbell. Receipt
no.: Waived (alt) [Entry date 01/16/02]

1/15/02 2 Motion by SEC for temporary restraining order enjoining
dfts and their officers from violating sections of the
Securities Exchange Act (see motion in file for details) ,
for asset freeze, and for appointment of temporary
receiver (tsi) [Entry date 01/16/02]

1/15/02 3 Memorandum by SEC in support of [2-1] motion for temporary
restraining order enjoining dfts and their officers from
violating sections of the Securities Exchange Act (see
motion in file for details) (tsi) [Entry date 01/16/02]

1/15/02 4 Affidavit of Scott R. Frost in support of [2-1] motion for
temporary restraining order enjoining dfts and their
officers from violating sections of the Securities Exchange
Act (see motion in file for details) (tsi)
[Entry date 01/16/02]

1/15/02 5 Motion by SEC for Ex Parte Hearing re: Pla's Motion for
TRO, Freezing Assets, and other relief (tsi)
[Entry date 01/16/02]

1/15/02 6 Motion by SEC to require dfts to execute consent
directives (tsi) [Entry date 01/16/02]

1/15/02 7 Memorandum by SEC in support of [6-1] motion to require
dfts to execute consent directives (tsi)
[Entry date 01/16/02] [Edit date 01/18/02]

1/15/02 8 Order granting [2-1] motion for temporary restraining
order enjoining dfts and their officers from violating
sections of the Securities Exchange Act (see order in file
for details), granting [2-2] motion for asset freeze,
granting [2-3] motion for appointment of temporary
receiver, show cause hearing set for 1:30 1/25/02 signed
by Judge Tena Campbell , 01/14/02 cc:atty (tsi)
[Entry date 01/17/02]

1/16/02 10 Motion by SEC to expedite briefing schedule for
preliminary injuction hearing (tsi) [Entry date 01/18/02]

1/16/02 11 Return of summons executed as to Merrill Scott Ltd, Merrill
Scott & Asso, Phoenix Overseas, David E. Ross II, Michael
G. Licopantis 1/15/02 Answer due on 2/4/02 for Michael G.
Licopantis, for David E. Ross II, for Phoenix Overseas, for
Merrill Scott & Asso, for Merrill Scott Ltd (tsi)
[Entry date 01/22/02]

1/16/02 13 Minute entry: ; Judge: Tena Campbell Court Reporter:
Patti Walker Court Deputy: Theresa Brown (tb)
[Entry date 01/23/02]

1/16/02 14 Return of summons executed as to Patrick M. Brody 1/15/02
Answer due on 2/4/02 for Patrick M. Brody (tsi)
[Entry date 01/23/02]

1/17/02 12 Stipulation filed by SEC, Merrill Scott Ltd, Merrill Scott
& Asso, Phoenix Overseas, Gibraltar Permanente, Patrick M.
Brody, David E. Ross II, Michael G. Licopantis RE:
conditions of removal of objects from the premises located
at 4021 South 700 East, the persons who may be on the
premises, and other conditions (see stip in file for
details) (tsi) [Entry date 01/22/02]

1/18/02 9 Order status conference re: prel inj set for 3:15
1/25/02, any memo opposing relief sought by the
Commission in its motion or other motions, aff or other
materials submitted by the dfts to be filed and served by
5:00 p.m. on 1/23/02. Reply memo, aff or other materials
shall be filed/served by cnsl for the Commission by 5:00 pm
on 1/24/02. Counsel for the dfts were not served with this
order as there has been no appearance entered. signed by
Judge Tena Campbell , 1/18/02. cc:atty (ce)
[Entry date 01/18/02]

1/23/02 15 Order granting [2-3] motion for appointment of temporary
receiver David K. Broadbent (see order in file for details)
signed by Judge Tena Campbell , 01/23/02 cc:atty (tsi)
[Entry date 01/24/02]

1/23/02 17 Stipulation by SEC, Merrill Scott Ltd, Merrill Scott &
Asso, Phoenix Overseas, Gibraltar Permanente, Patrick M.
Brody stip to extend temporary Restraining Order, Asset
Freeze Order, and Other Relief, and for appointment of
David K. Broadbent, Esq. as temporary receiver (tsi)
[Entry date 01/25/02]

1/23/02 18 Notice of filing by David E. Ross II re: Consent of David
E. Ross II to the entry of Order of Preliminary Injunction
(tsi) [Entry date 01/25/02]

1/24/02 16 Order, for preliminary injunction against David E. Ross II
(see order in file for details) signed by Judge Tena
Campbell , 01/23/02 cc:atty (tsi) [Entry date 01/25/02]

1/31/02 19 Notice of filing by SEC - Lis Pendens re: property in Salt
Lake County (tsi) [Entry date 02/01/02]

2/25/02 20 Answer to Complaint by David E. Ross II (tsi)
[Entry date 02/26/02]

2/26/02 -- Clerk's mailing of certificate of acknowledgment of
alternative dispute resolution option. Mailed or faxed to
plaintiff SEC, defendant Patrick M. Brody, defendant David
E. Ross II (tsi) [Entry date 02/26/02]

3/15/02 21 Declaration and Report of David K. Broadbent, receiver (tsi)
[Entry date 03/15/02] [Edit date 03/15/02]

3/21/02 22 Notice of attorney appearance for David K. Broadbent,
Merrill Scott & Asso, Phoenix Overseas, Gibraltar
Permanente by Brent E. Johnson, James Barnett, Reha Kamas
Deal (alt) [Entry date 03/21/02]

3/21/02 23 Ex parte motion by David K. Broadbent, Merrill Scott &
Asso, Phoenix Overseas, Gibraltar Permanente for expedited
discovery (alt) [Entry date 03/21/02]

3/21/02 24 Ex parte motion by David K. Broadbent, Merrill Scott &
Asso, Phoenix Overseas, Gibraltar Permanente for order to
show cause why Robert J. Hipple; CGI Intl Holdings;
Concilium Ins Svc; Concilium Real Estate & Mtge Svc;
Concilium Planning Grp; Concilium Merchant Capital Grp; Rod
Read; Aaron Nilsen; Perry Bsharah; and Melanie Decker
should not be held in contempt of TRO and for additional
relief in form of accounting exam of books & records of CGI
Intl Holdings and related entities (alt)
[Entry date 03/21/02]

3/21/02 25 Ex parte motion by David K. Broadbent to consolidate
cases, this case with 2:02CV230 J, Merrill Scott v. CGI
Intl, and to expedite hearing re: this motion (tsi)
[Entry date 03/22/02]

3/22/02 26 Minute entry: A related case has been filed (2-cv-230) and
re-assigned to Judge Benson. The court directs counsel in
the second case to see Judge Benson about consolidating or
transferring their case to Judge Campbell due to the
overlap of parties etc. ; Judge: Tena Campbell Court
Reporter: Ray Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 03/26/02]

3/25/02 27 Addendum to Declaration of Pawan Malhotra filed by David K.
Broadbent (exhibit A). (tsi) [Entry date 03/26/02]

3/27/02 28 Order, accepting the 3/15/02 Declaration and Report of
Receiver, for payment from the assets of Merrill Scott
or the Receivership Estate as follows: The invoice of the
receiver dated 3/13/02 for fees and expenses in the amt of
$44,485.50 and the invoice of Holland & Hart dated 3/13/02
for fees and expenses in the amt of $225,448.50 signed by
Judge Tena Campbell , 03/27/02 cc:atty (tsi)
[Entry date 03/27/02]

3/28/02 29 Order granting [23-1] ex parte motion for expedited
discovery. The receiver, David K. Broadbent may issue
subpoenas to Melanie Decker, Drew Roberts, and Dale Gailey
commanding each to appear and give deposition testimony and
to produce documents within 7 days of issuance of
subpoenas. This order will not prejudice the right of the
receiver to take full depositions of these three
individuals in Broadben v. CGI, case no. 2:02CV230 C.
Signed by Judge Tena Campbell , 03/28/02 cc:atty (tsi)
[Entry date 03/29/02]

3/29/02 30 Affidavit of Scott Ashton Blair (tsi) [Entry date 04/01/02]

4/2/02 31 Affidavit of Tamesha Perrault (tsi) [Entry date 04/03/02]

4/5/02 32 Stipulation filed by SEC, Patrick M. Brody that the
Receiver in this action be authorized to release the sum of
$6,000.00 to Jana Brody from payment of child support. The
stipulation is only as to child support payments and no
other expenses may be withdrawn without further order of
the court. (tsi) [Entry date 04/08/02]

4/5/02 33 Affidavit of Business Records/Wendy Edy (tsi)
[Entry date 04/08/02]

4/10/02 34 Return of service executed as to Drew Roberts on 04/08/02
(tsi) [Entry date 04/10/02]

4/26/02 35 Motion by David K. Broadbent to stay litigation against
Merrill Scott & Associates (tsi) [Entry date 04/29/02]

4/26/02 36 Memorandum by David K. Broadbent in support of [35-1]
motion to stay litigation against Merrill Scott &
Associates (tsi) [Entry date 04/29/02]

5/7/02 37 Declaration of David K. Broadbent, Receiver re: Second
Report of Receiver. (jmo) [Entry date 05/07/02]

5/7/02 37 Second Status Report filed by David K. Broadbent (jmo)
[Entry date 05/07/02]

5/15/02 39 Objections by Mark J. Griffin, Nicholas E. Hales [35-1]
motion to stay litigation against Merrill Scott &
Associates (tsi) [Entry date 05/16/02]

5/15/02 39 Motion by Mark J. Griffin, Nicholas E. Hales for Hearing
re: receiver's Motion to Stay (tsi) [Entry date 05/16/02]

5/16/02 38 Notice of Hearing filed : status conference set for 3:30
5/23/02 To be held before Judge TC cc:atty ( Ntc
generated by: TC's crtrm dep) (tsi) [Entry date 05/16/02]

5/20/02 40 Notice of Stricken Hearing filed : striking [38-2] notice
hearing, [38-1] notice hearing status conference set for
3:30 5/23/02, terminated deadlines cc: atty ( Ntc
generated by: TC's crtrm dep) (tsi) [Entry date 05/20/02]

5/28/02 41 Order, accepting/approving the declaration and second
report of receiver filed 5/7/02. The receiver may pay from
the assets of Merril Scott or the Receivership Estate as
outlined in the order (see order in file for details)
signed by Judge Tena Campbell , 05/28/02 cc:atty (tsi)
[Entry date 05/29/02]

5/31/02 42 Certificate of service [35-1] motion to stay litigation
against Merrill Scott & Associates, [36-1] support
memorandum, Stay of Litigation and Proposed Form of Notice
of Stay of Litigation by David K. Broadbent (tsi)
[Entry date 06/03/02]

6/4/02 43 Errata to [36-1] support memorandum re: Motion to Stay
filed by David K. Broadbent . (tsi) [Entry date 06/05/02]

6/14/02 44 Motion by Scott K Canepa Chari, Scott K. Canepa for leave
to file overlength special appearance opposition to Motion
to Stay (tsi) [Entry date 06/18/02]

6/14/02 -- Proposed document from Scott K Canepa Chari, Scott K.
Canepa entitled Special Appearance Opposition to Motion to
Stay Litigation (tsi) [Entry date 06/18/02]

6/17/02 45 Request for hrg filed by Scott K Canepa Chari, Scott K.
Canepa re: movants' Special Appearance Opposition to
Motion to Stay Litigation (This document is still a
proposed document) (tsi) [Entry date 06/18/02]

6/18/02 46 Motion and Order signed by Judge Tena Campbell , 06/17/02
Granting motion/PHV for Attorney Mark A. Solomon, Dana A.
Kleiber on behalf of movant Scott K Canepa Chari, movant
Scott K. Canepa cc:attys (tsi) [Entry date 06/19/02]

6/18/02 47 Order granting [35-1] motion to stay litigation against
Merrill Scott & Associates. See order in file for details.
Signed by Judge Tena Campbell , 06/18/02 cc:atty (tsi)
[Entry date 06/19/02] [Edit date 06/19/02]

6/18/02 -- Action STAYED. (tsi) [Entry date 06/19/02]

6/18/02 48 Motion by David K. Broadbent, Merrill Scott & Asso, Phoenix
Overseas, Gibraltar Permanente for order requiring Patrick
M. Brody to show cause as to why he should not be held in
contempt of the court's stipulated order appointing
receiver (tsi) [Entry date 06/20/02]

6/26/02 49 Return of service executed as to Janet Ackerson re:
Subpoena executed on 6/23/02. (tsi) [Entry date 06/28/02]

6/26/02 50 Certificate of service by David K. Broadbent re: Notice of
Deposition of Janet Ackerson (tsi) [Entry date 06/28/02]

7/2/02 51 Motion by David K. Broadbent, Merrill Scott Ltd, Merrill
Scott & Asso, Phoenix Overseas, Gibraltar Permanente to
expedite, and for appointment of appraisers (tsi)
[Entry date 07/08/02]

7/2/02 52 Memorandum by David K. Broadbent, Merrill Scott Ltd,
Merrill Scott & Asso, Phoenix Overseas, Gibraltar
Permanente in support of [51-1] motion to expedite, [51-2]
motion for appointment of appraisers (tsi)
[Entry date 07/08/02]

7/9/02 53 Declaration and Third Report of David K. Broadbent,
receiver (tsi) [Entry date 07/10/02]

7/9/02 54 Order granting [51-1] motion to expedite hearing re:
confirmation of private sale , granting [51-2] motion for
appointment of three appraisers as follows: Julie Rawl,
Thomas E. Mulcock, and Robert A. Cook to evaluate the
reasonableness of the proposed private sale, set hearing
re: proposed private sale of real property located in
Summit County, Utah for 4:00 7/22/02 signed by Judge Tena
Campbell , 07/08/02 cc:atty (tsi) [Entry date 07/11/02]

7/12/02 55 Order, accepting and approving the declaration and third
report of the receiver dated 5/7/02, The receiver may pay
from the assets of Merrill Scott or the receivership estate
the following: The invoice of the receiver dated 7/8/02 for
fees and expenses incurred from 4/1/02 through 6/30/02 in
the amt of $33,252.50; The invoice of Holland & Hart dated
7/8/02 for fees and expenses incurred from 4/1/02 through
6/30/02 in the amt of $340,385.00; and the invoices of
PricewaterhouseCoopers totalling $42,701.64 for services
and expenses incurred between 4/15/02 at 6/15/02 in
connection with the accounting examination of the books and
records of CGI Intl Holdings and its affiliates signed by
Judge Tena Campbell , 07/11/02 cc:atty (tsi)
[Entry date 07/16/02]

7/19/02 56 Notice of Hearing filed : show cause hearing as to Patrick
Brody set for 3:30 10/15/02 To be held before Judge TC
cc:atty ( Ntc generated by: TC's crtrm dep) (tsi)
[Entry date 07/19/02]

7/19/02 57 Affidavit 7/19/02 of David K. Broadbent Re: Confirmation of
Private Sale of Park City Property (tsi)
[Entry date 07/23/02] [Edit date 07/23/02]

7/22/02 58 Minute entry: The court meets with receiver, David
Broadbent and approves the sale of property in the amount
of $725,000. ; Judge: Tena Campbell Court Reporter: Ray
Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 07/23/02]

7/22/02 59 Order, confirming the private sale of Merrill Scott's Park
City property signed by Judge Tena Campbell , 07/22/02
cc:atty (tsi) [Entry date 07/25/02]

7/23/02 60 Affidavit of 7/23/02 of David K. Broadbent Re: Backup Real
Estate Purchase Contract (tsi) [Entry date 07/26/02]

7/25/02 61 Order denying as moot [48-1] motion for order requiring
Patrick M. Brody to show cause as to why he should not be
held in contempt of the court's stipulated order appointing
receiver signed by Judge Tena Campbell , 07/23/02 cc:atty
(tsi) [Entry date 07/26/02]

8/15/02 62 Acceptance of service of subpoena as to Stenograph, LLC by
receiver David K. Broadbent, receiver on 7/31/02. (tsi)
[Entry date 08/19/02]

8/15/02 63 Declaration and Fourth Report of David K. Broadbent,
receiver (tsi) [Entry date 08/19/02]

8/21/02 64 Order, accepting and approving the fourth declaration and
report of receiver filed 8/15/02, and the receiver may
pay the invoice of receiver dated 8/15/02 for fees and
expenses incurred from 7/1/02 through 7/31/02 and the
invoice of Holland and Hart dated 8/15/02 for fees and
expenses incurred from 7/1/02 through 7/31/02 signed by
Judge Tena Campbell , 08/19/02 cc:atty (tsi)
[Entry date 08/22/02]

8/21/02 65 Motion by David K. Broadbent, Merrill Scott & Asso, Phoenix
Overseas, Gibraltar Permanente to limit contact between
Devon Binnings and the receiver (tsi) [Entry date 08/22/02]

8/21/02 66 Memorandum by David K. Broadbent, Merrill Scott & Asso,
Phoenix Overseas, Gibraltar Permanente in support of
[65-1] motion to limit contact between Devon Binnings and
the receiver (tsi) [Entry date 08/22/02]

8/21/02 67 Affidavit of Dorothy L. Boggs (tsi) [Entry date 08/22/02]

8/21/02 68 Affidavit of Lisa N. Gallegos (tsi) [Entry date 08/22/02]

8/21/02 69 Affidavit of David K. Broadbent dated 8/21/02. (tsi)
[Entry date 08/22/02]

8/22/02 70 Order, Motion hearing set for 1:30 8/28/02 for [65-1]
motion to limit contact between Devon Binnings and the
receiver. Mr. Binnings to appear and show cause as to why
this motion should not be granted. signed by Judge Tena
Campbell , 08/21/02 cc:atty (tsi) [Entry date 08/23/02]

8/28/02 71 Minute entry: Mr. Devon Binnings is present in court. The
court directs Mr. Binnings to stop harrassing counsel and
staff of the receiver. Communication from Mr. Binnings to
the receiver must be in writing. The court will prepare an
order. ; Judge: Tena Campbell Court Reporter: Ray Fenlon
Court Deputy: Theresa Brown (tb) [Entry date 08/29/02]

8/29/02 72 Order granting [65-1] motion to limit contact between
Devon Binnings and the receiver. Mr. Binnings may only
communicate with the receiver through writings, signed by
Judge Tena Campbell , 08/28/02 cc:atty (tsi)
[Entry date 08/30/02]

9/10/02 73 Notice of filing by David K. Broadbent re: Confirmation of
Appointment of Receiver (tsi) [Entry date 09/12/02]

9/10/02 74 Return of service executed as to Rick Lobb of
Backman-Stewart Title Services on 9/6/02. (tsi)
[Entry date 09/12/02]

9/16/02 75 Certificate of service by David K. Broadbent re: Subpoena
and Notice of Deposition as to Drew Roberts (tsi)
[Entry date 09/17/02]

9/17/02 76 Notice of filing by Scott K Canepa Chari, Scott K. Canepa
re: Change of Address of cnsl for movants: Burbidge &
Mitchell. cc: DQA (tsi) [Entry date 09/20/02]

9/24/02 77 Acceptance of service on 9/16/02 re: subpoena issued to
Drew Roberts. (tsi) [Entry date 09/27/02]

10/4/02 78 Motion by David K. Broadbent to pursue and obtain
investments located in the Cayman Islands (tsi)
[Entry date 10/09/02]

10/4/02 79 Memorandum by David K. Broadbent in support of [78-1]
motion to pursue and obtain investments located in the
Cayman Islands (tsi) [Entry date 10/09/02]

10/8/02 80 Order granting [78-1] motion to pursue and obtain
investments located in the Cayman Islands signed by Judge
Tena Campbell , 10/07/02 cc:atty (tsi) [Entry date 10/09/02]

10/18/02 81 Declaration and Fifth Report of David K. Broadbent,
receiver (tsi) [Entry date 10/24/02]

10/31/02 82 Minute entry: The court has reviewed the 5th declaration of
Mr. Broadbent. The court executes order approving payments
to Holland and Hart. ; Judge: Tena Campbell Court Reporter:
Ray Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 10/31/02]

10/31/02 83 Order granting [81-1] declaration of receiver re: fifth
report of receiver - said decl and rpt are accepted and
approved the receiver may make payment from the assets of
Merrill Scott or the Receivership Estate: a) the invoice of
the Receiver dated 10/17/02 for fees/expenses incurred from
8/1/02 through 9/30/02 in the amt of $42,723.00 and b) the
invoice of Holland & Hart dated 10/17/02 for fees/expenses
incurred from 8/1/02 through 9/30/02 in the amt of
$195,123,45 signed by Judge Tena Campbell, 10/31/02.
cc:atty (ce) [Entry date 11/05/02]

12/11/02 84 Declaration of David K. Broadbent Re: report of receiver (ce)
[Entry date 12/13/02]

12/11/02 84 Sixth Status Report filed by David K. Broadbent, receiver
(ce) [Entry date 12/13/02]

12/16/02 85 Order affirming (accepting & approving) [84-1] 6th report
and [84-1] declaration of Receiver, for payment by
Receiver from assets of Merrill Scott or Receivership
Estate: invoice of Receiver dated 12/11/02 in amt of
$17,484.00, and invoice of Holland & Hart dated 12/11/02 in
amt of $163,601.71 signed by Judge Tena Campbell, 12/16/02
cc:atty (alt) [Entry date 12/17/02]

1/29/03 86 Motion by SEC, David K. Broadbent for protective order
pertaining to subps to Advantage Software, Portia Seely,
Greg Seely, Wayne Reilla & Stenograph LLC (alt)
[Entry date 01/30/03]

1/29/03 86 Protective Order granting [86-1] motion for protective
order pertaining to subps to Advantage Software, Portia
Seely, Greg Seely, Wayne Reilla & Stenograph LLC Signed by
Judge Tena Campbell 1/29/03 cc: atty (alt)
[Entry date 01/30/03]

2/12/03 87 Motion by David K. Broadbent to confirm sale of real
property pursuant to lease option (alt)
[Entry date 02/12/03]

2/12/03 88 Memorandum by David K. Broadbent in support of [87-1]
motion to confirm sale of real property pursuant to lease
option (alt) [Entry date 02/12/03]

2/12/03 89 Stipulation by SEC, Merrill Scott Ltd, Merrill Scott &
Asso, Phoenix Overseas, Gibraltar Permanente, Patrick M.
Brody, David E. Ross II, Michael G. Licopantis, David K.
Broadbent stip for Receiver to sell certain real property
pursuant to certain Lease Agreement (alt)
[Entry date 02/12/03]

2/14/03 90 Declaration of David K. Broadbent receiver Re: seventh
report of receiver (ce) [Entry date 02/18/03]

2/25/03 91 Order granting [89-1] stipulated motion for Receiver to
sell certain real property pursuant to certain Lease
Agreement, granting [87-1] motion to confirm sale of real
property pursuant to lease option signed by Judge Tena
Campbell, 2/13/03 cc:atty (alt) [Entry date 02/25/03]

3/5/03 92 Notice of Hearing filed: ex parte status conference set
for 4:00 4/3/03 w/Broadbent only To be held before Judge
TC cc:atty (Ntc generated by: Chmbrs, TB) (alt)
[Entry date 03/05/03]

3/28/03 93 Consent to filing of 3rd Pty Cmp against Lloyds, by SEC (alt)
[Entry date 03/31/03]

3/28/03 94 Third-party complaint by David K. Broadbent against
Certain Underwriters, James P. Landis (alt)
[Entry date 03/31/03]

4/4/03 95 Order accepting/adopting [90-1] declaration & 7th Rpt of
Receiver, for payment by Rec of Rec's invoice dated
2/14/03 for $8,100.00 and Holland & Hart's invoice dated
2/14/03 for $185,723.24 signed by Judge Tena Campbell ,
4/4/03 cc:atty (alt) [Entry date 04/04/03]

4/4/03 96 Motion and Order signed by Judge Tena Campbell, 4/2/03.
Granting motion/PHV for Attorney Randy Paar, John P.
Winsbro on behalf of receiver David K. Broadbent cc:attys
(alt) [Entry date 04/07/03]

4/16/03 97 Declaration & 8th Report of David K. Broadbent, RECEIVER
(alt) [Entry date 04/17/03]

5/14/03 98 Order affirming [97-1] declaration, for payment by
Receiver of his invoice dated 4/10/03 in amt of $17,025.00
and invoice of Holland & Hart dated 4/10/03 in amt of
$212,543.47 signed by Judge Tena Campbell, 5/13/03 cc:atty
(alt) [Entry date 05/14/03]

5/28/03 99 Motion by David K. Broadbent for Expedited Hearing to
confirm private sale of property (alt) [Entry date 05/29/03]

5/28/03 100 Memorandum by David K. Broadbent in support of [99-1]
motion for Expedited Hearing to confirm private sale of
property (alt) [Entry date 05/29/03]

5/28/03 101 Order granting [99-1] motion for Expedited Hearing to
confirm private sale of property, hrg to confirm private
sale of property set for 10:00 6/17/03 signed by Judge
Tena Campbell, 5/28/03 cc:atty (alt) [Entry date 05/29/03]

5/28/03 102 Joint motion by David K. Broadbent, Certain Underwriters
to extend time to 5/30/03 for Certain Underwriters to resp
to 3rd Pty cmp (alt) [Entry date 05/29/03]

5/30/03 103 Order granting [102-1] joint motion to extend time to
5/30/03 for Certain Underwriters to resp to 3rd Pty cmp
signed by Judge Tena Campbell, 5/30/03 cc:atty (alt)
[Entry date 06/02/03]

5/30/03 104 Answer by Certain Underwriters to [94-1] third-party
complaint (alt) [Entry date 06/02/03]

6/6/03 105 Motion and Order signed by Judge Tena Campbell, 6/5/03.
Granting motion/PHV for Attorney Kristopher A. Kuehn,
Kathryn A. Lewis on behalf of third-party defendant Certain
Underwriters cc:attys (alt) [Entry date 06/06/03]

6/12/03 106 Declaration & Ninth Report of David K. Broadbent, Receiver
(alt) [Entry date 06/12/03]

6/16/03 108 Stipulation filed by David K. Broadbent & non-ptys in this
case RE: Motion for expedited hrg to confirm private sale
of receivership property (alt) [Entry date 06/18/03]

6/17/03 107 Minute entry: Ms. Mary Gordon is present representing Mr.
Charles Cozean. Mr. Broadbent addresses the court
regarding the sale of property. A stipulation and order
have been presented to the court regarding a possible
creditor, Mr. Cozean. Notice has been published and no one
appear to object to the sale. The court approves the sale
and executes order presented by Mr. Broadbent.; Judge: Tena
Campbell Court Reporter: Ray Fenlon Court Deputy: Theresa
Brown (tb) [Entry date 06/17/03]

6/17/03 109 Order confirming private sale of receivership's Brown's
Canyon property signed by Judge Tena Campbell, 6/17/03
cc:atty (alt) [Entry date 06/18/03]

6/17/03 110 Order affirming/accepting-approving [106-1] declaration &
9th Rpt of Rcvr, for payment of Rc's invoice dated 6/6/03
in amt of $18,575.00 and Holland & Hart's invoice dated
6/6/03 in amt of $283,732.83 signed by Judge Tena
Campbell, 6/17/03 cc:atty (alt) [Entry date 06/18/03]

6/18/03 111 Motion by David K. Broadbent to strike Lloyds of London
3rd Affirmative Defense (alt) [Entry date 06/20/03]

6/18/03 112 Memorandum by David K. Broadbent in support of [111-1]
motion to strike Lloyds of London 3rd Affirmative Defense
(alt) [Entry date 06/20/03]

6/27/03 113 Motion by Certain Underwriters to compel arbitration re:
3dpty pla's claims, to stay proceedings re: 3d Pty Cmp
pending aribtration (alt) [Entry date 06/30/03]

6/27/03 114 Memorandum by Certain Underwriters in support of [113-1]
motion to compel arbitration re: 3dpty pla's claims,
[113-2] motion to stay proceedings re: 3d Pty Cmp pending
aribtration (alt) [Entry date 06/30/03]

7/1/03 115 Return of summons executed as to Certain Underwriters
5/2/03per attached acceptance of svc (alt)
[Entry date 07/01/03]

7/3/03 116 Joint motion by David K. Broadbent, Certain Underwriters
to extend time to 7/16/03 for Underwriters to resp to
mot/strike & to 7/23/03 for rc to resp to mot/compel (alt)
[Entry date 07/07/03]

7/11/03 117 Notice of Hearing filed : Motion hearing set for 3:00
10/9/03 for [111-1] motion to strike Lloyds of London 3rd
Affirmative Defense, set for 3:00 10/9/03 for [113-1]
motion to compel arbitration re: 3dpty pla's claims, set
for 3:00 10/9/03 for [113-2] motion to stay proceedings re:
3d Pty Cmp pending aribtration To be held before Judge
TC cc:atty ( Ntc generated by: Case mgr) (kam)
[Entry date 07/11/03]

7/17/03 118 Memorandum by Certain Underwriters in opposition to [111-1]
motion to strike Lloyds of London 3rd Affirmative Defense
(alt) [Entry date 07/18/03]

7/22/03 119 Return of service executed re: subp served upon Automatic
Data Processing c/o Alice Quinn, 5/16/03 (alt)
[Entry date 07/23/03]

7/22/03 120 Return of service executed re: subp served upon Sean Ross,
5/17/03 (alt) [Entry date 07/23/03]

7/23/03 121 Motion by SEC for contempt against David E. Ross II (alt)
[Entry date 07/29/03]

7/23/03 122 Memorandum by SEC in support of [121-1] motion for contempt
against David E. Ross II (alt) [Entry date 07/29/03]

7/23/03 123 Declaration of David K. Broadbent Re: [121-1] motion for
contempt against David E. Ross II (alt)
[Entry date 07/29/03]

7/23/03 124 Ex parte motion by David K. Broadbent for leave to file
overlength mem/opp to Certain Underwriters at Lloyds
mot/compel (alt) [Entry date 07/29/03]

7/23/03 125 Memorandum by David K. Broadbent in opposition to [113-1]
motion to compel arbitration re: 3dpty pla's claims (alt)
[Entry date 07/29/03]

7/23/03 126 Affidavit of Rodney B. Read Re: [125-1] opposition
memorandum (alt) [Entry date 07/29/03]

7/28/03 127 Motion by SEC for civil contempt against Patrick M. Brody
(alt) [Entry date 07/29/03]

7/28/03 128 Memorandum by SEC in support of [127-1] motion for civil
contempt against Patrick M. Brody (alt)
[Entry date 07/29/03]

7/28/03 130 Acceptance of service re: 3dptycmp as to James P. Landis
7/23/03. Answer due on 8/12/03 for James P. Landis (alt)
[Entry date 07/29/03]

7/29/03 129 Order granting [124-1] ex parte motion for leave to file
overlength mem/opp to Certain Underwriters at Lloyds
mot/compel signed by Judge Tena Campbell, 7/28/03 cc:atty
(alt) [Entry date 07/29/03]

7/29/03 131 Reply by David K. Broadbent to response to [111-1] motion
to strike Lloyds of London 3rd Affirmative Defense (alt)
[Entry date 07/30/03]

8/4/03 133 Reply by Certain Underwriters to response to [113-1] motion
to compel arbitration re: 3dpty pla's claims, [113-2]
motion to stay proceedings re: 3d Pty Cmp pending
aribtration (alt) [Entry date 08/06/03]

8/5/03 132 AMENDED Notice of Hearing filed: evidentiary hearing set
for 2:00 10/3/03 on mots for contempt, to strike, to stay &
to compel To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 08/05/03]

8/8/03 134 Declaration & Tenth Report of David K. Broadbent, Receiver
(alt) [Entry date 08/11/03]

8/11/03 135 Answer by James P. Landis to [94-1] third-party complaint
(alt) [Entry date 08/12/03]

8/12/03 136 AMENDED Notice of Hearing filed: Motion hearing set for
2:30 10/3/03 for [113-1] motion to compel arbitration re:
3dpty pla's claims, set for 2:30 10/3/03 for [113-2] motion
to stay proceedings re: 3d Pty Cmp pending aribtration, set
for 2:30 10/3/03 for [111-1] motion to strike Lloyds of
London 3rd Affirmative Defense To be held before Judge TC
cc:atty (Ntc generated by: Chmbrs, TB) (alt)
[Entry date 08/12/03]

8/12/03 137 AMENDED Notice of Hearing filed: evidentiary hearing on
Motions for Contempt re: David Ross & Patrick Brody set for
2:30 10/2/03 To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 08/12/03]

8/12/03 139 Memorandum by Patrick M. Brody in opposition to [127-1]
motion for civil contempt against Patrick M. Brody (Entry
of Ltd appearance & req for ntc of evid hrg) (alt)
[Entry date 08/15/03]

8/13/03 138 Order affirming [134-1] 10th declaration, for payment of
Rcv's invoice dated 8/7/03 for $13,325.00 and Holland &
Hart's invoice dated 8/7/03 for $262,546.65 signed by
Judge Tena Campbell, 8/8/03 cc:atty (alt)
[Entry date 08/14/03]

8/14/03 140 Notice of filing -Defense of Impossibility- by Patrick M.
Brody (alt) [Entry date 08/15/03]

8/15/03 141 Joint motion by SEC, Patrick M. Brody to extend time to
8/29/03 for dft Brody resp to mot/contempt (alt)
[Entry date 08/15/03]

8/19/03 142 Acceptance of service re: subp to Matthew Brody 7/3/03 (alt)
[Entry date 08/20/03]

8/19/03 143 Acceptance of service re: subp to Michael G. Licopantis
7/7/03 (alt) [Entry date 08/20/03]

8/20/03 144 Memorandum by David E. Ross II in opposition to [121-1]
motion for contempt against David E. Ross II (alt)
[Entry date 08/21/03]

8/25/03 146 Motion by SEC to extend time until 9/5/03 for pla to file
response to dft Brody's Notice of Defense of Impossibility
(tsh) [Entry date 08/27/03]

8/26/03 145 Order granting [141-1] joint motion to extend time to
8/29/03 for dft Brody resp to mot/contempt signed by Judge
Tena Campbell , 8/25/03 cc:atty (ksp) [Entry date 08/26/03]

8/27/03 147 Order granting [146-1] motion to extend time until 9/5/03
for pla to file response to dft Brody's Notice of Defense
of Impossibility signed by Judge Tena Campbell , 08/26/03
cc:atty (tsh) [Entry date 08/28/03]

8/28/03 148 Certificate of service by Patrick M. Brody re: First
Request to the SEC for document production (kvs)
[Entry date 09/02/03]

8/28/03 149 Response by Patrick M. Brody to [128-1] support memorandum
of motion for contempt (kvs) [Entry date 09/02/03]

8/28/03 150 Order granting [141-1] joint motion to extend time to
8/29/03 for dft Brody resp to mot/contempt signed by Judge
Tena Campbell , 8/18/03. cc:atty (ce) [Entry date 09/03/03]

9/5/03 151 Reply by SEC to response to [127-1] motion for civil
contempt against Patrick M. Brody (alt)
[Entry date 09/08/03]

9/5/03 152 Motion by SEC to disqualify Robert Henry Copier as cnsl
for Patrick M. Brody (alt) [Entry date 09/08/03]

9/5/03 153 Memorandum by SEC in support of [152-1] motion to
disqualify Robert Henry Copier as cnsl for Patrick M. Brody
(alt) [Entry date 09/08/03]

9/9/03 154 Order of Reference signed by TC 9/9/03, 636(b)(1)(A). Mag
Judge to hear & determine any nondispositive pretrial
matters. cc: atty (alt) [Entry date 09/10/03]

9/9/03 -- Case referred to magistrate under 28:636(b)(1)(A). (alt)
[Entry date 09/10/03]

9/15/03 155 Case referred to Judge David Nuffer cc: atty (alt)
[Entry date 09/16/03]

9/15/03 156 Notice of filing re: change of atty's address by Patrick M.
Brody (alt) [Entry date 09/17/03]

9/15/03 157 Motion by Patrick M. Brody to refer mot/disqualify to
mediation under supervision of USDJ who will not hear other
motions in this case (alt) [Entry date 09/17/03]

9/15/03 158 Memorandum by Patrick M. Brody in support of [157-1] motion
to refer mot/disqualify to mediation under supervision of
USDJ who will not hear other motions in this case (alt)
[Entry date 09/17/03]

9/15/03 159 Motion by Patrick M. Brody to extend time for dft Brody to
resp to mot/disqualify (alt) [Entry date 09/17/03]

9/19/03 -- Pro Hac Motion/Orders recieved for non-pty Charles Cozean;
lodged in file as judge has not ruled for addition of this
party (alt) [Entry date 09/22/03]

9/24/03 160 Memorandum by SEC in opposition to [157-1] motion to refer
mot/disqualify to mediation under supervision of USDJ who
will not hear other motions in this case (alt)
[Entry date 09/25/03]

9/24/03 161 Memorandum by SEC in opposition to [159-1] motion to extend
time for dft Brody to resp to mot/disqualify (alt)
[Entry date 09/25/03]

9/24/03 162 Motion by David K. Broadbent for consolidation of frozen
assets (alt) [Entry date 09/25/03]

9/24/03 163 Memorandum by David K. Broadbent in support of [162-1]
motion for consolidation of frozen assets (alt)
[Entry date 09/25/03]

9/24/03 164 Declaration of David K. Broadbent in support of [162-1]
motion for consolidation of frozen assets (alt)
[Entry date 09/25/03]

9/29/03 165 Return of service executed re: subp served upon Dr. Shelton
Powers c/o Stacey Barnes, 9/12/03 (alt)
[Entry date 09/30/03]

9/30/03 166 Order denying [157-1] motion to refer mot/disqualify to
mediation under supervision of USDJ who will not hear other
motions in this case, granting [159-1] motion to extend
time for dft Brody to resp to mot/disqualify to 10/15/03;
signed by Judge David Nuffer, 9/30/03 cc:atty (alt)
[Entry date 10/01/03]

10/2/03 167 Declaration of Tony Mendez (alt) [Entry date 10/03/03]

10/2/03 168 Minute entry: Prior to this hearing, Richard Clayton, John
Harrington and Chris Kuehn stipulate to vacate hearing set
for 10/03/04 and have agreed to arbitration. Counsel will
file a stipulation to stay within 7 days. The court
vacates hearing. The court hears testimony from David
Ross. Depositions of G. White, T. Dundorf, J. Dundorf,
Shelton Powers and Michelle Powers are filed with the
court. After hearing testimony and argument from counsel,
the court reserves on this matter. Mr. Melton will attempt
to have Thomas and John Dundorf appear in person for live
testimony. The court sets hearing on further testimony
regarding the motion for contempt related to Mr. David Ross
for 10/14/03 @ 3:00 p.m. The court hears testimony from
government's witnesses regarding the motion for contempt
related to Mr. Patrick Brody. The court continues hearing
to 10/03/03 @ 2:00 p.m. [127-1] motion for civil contempt
against Patrick M. Brody not ruled on, [121-1] motion for
contempt against David E. Ross II not ruled on ; Judge:
Tena Campbell Court Reporter: Ray Fenlon Court Deputy:
Theresa Brown (tb) [Entry date 10/03/03]

10/6/03 169 Minute entry: The court hears proffer fromMs. Karen
Martinez regarding the motion for contempt involving Mr.
Patrick Brody. The court continues this hearing until
10/29/03 @ 3:30 p.m. Two hours will be set aside. [127-1]
motion for civil contempt against Patrick M. Brody not
ruled on, Motion hearing set for 3:30 10/29/03 for [127-1]
motion for civil contempt against Patrick M. Brody ;
Judge: Tena Campbell Court Reporter: Ray Fenlon Court
Deputy: Theresa Brown (tb) [Entry date 10/07/03]

10/9/03 170 Notice of Hearing filed: evidentiary hearing set for 4:00
10/16/03 re: motion for contempt against David Ross To be
held before Judge TC cc:atty (Ntc generated by: Chmbrs, TB)
(alt) [Entry date 10/09/03]

10/14/03 171 Joint motion by David K. Broadbent and non-pty Dr. Richard
B. Gerber to extend time for non-pty Dr. Richard B. Gerber
to oppose mot/consol frozen assets to 10/20/03 (alt)
[Entry date 10/15/03]

10/15/03 -- Transcript of Proceedings for date(s) of 10/2/03 re: evid
hrg held before TC. Court Reporter: Raymond P. Fenlon (alt)
[Entry date 10/15/03]

10/15/03 -- Transcript of Proceedings for date(s) of 10/3/03 re: evid
hrg held before TC. Court Reporter: Raymond P. Fenlon (alt)
[Entry date 10/15/03]

10/15/03 174 Memorandum by Patrick M. Brody in opposition to [152-1]
motion to disqualify Robert Henry Copier as cnsl for
Patrick M. Brody (alt) [Entry date 10/17/03]

10/16/03 172 Minute entry: Counsel for pla and dft David Ross present.
Exclusionary rule invoked. Pla's witnesses sworn and the
Court hears their testimony (D. Broadbent, T. Dundorf, J.
Dundorf, G.L. White), defense counsel cross-examines.
Exhibits marked and admitted. Court hears arguments from
both counsel. The Court orders counsel for both parties to
prepare Proposed Findings of Fact and Conclusions two weeks
after the receipt of transcripts from previous hearings.
Instructions given as to preparation. Court adjourned. ;
Judge: TC Court Reporter: Ray Fenlon Court Deputy: alp (alp)
[Entry date 10/16/03]

10/16/03 173 Order granting [171-1] joint motion to extend time for
non-pty Dr. Richard B. Gerber to oppose mot/consol frozen
assets to 10/20/03 signed by Judge Tena Campbell, 10/16/03
cc:atty (alt) [Entry date 10/17/03]

10/16/03 175 Return of service executed re: supb served upon Franklin St
Prop Willow Bend c/o Wm H. Paine, 10/10/03 (alt)
[Entry date 10/17/03]

10/16/03 176 Declaration and 11th Report of Receiver, David K. Broadbent
(alt) [Entry date 10/17/03]

10/17/03 177 Amended [127-1] motion for civil contempt against Patrick
M. Brody for civil contempt against Patrick M. Brody
(amends motion no. 127) by SEC (alt) [Entry date 10/20/03]

10/17/03 178 AMENDED Memorandum by SEC in support of [177-1] amended
motion for civil contempt against Patrick M. Brody (amends
motion no. 127) (alt) [Entry date 10/20/03]

10/20/03 179 Motion to intervene by Richard Gerber (alt)
[Entry date 10/21/03]

10/20/03 180 Ex parte motion by Richard Gerber for leave to file
overlength mem/opp to mot/consol frozen assets (alt)
[Entry date 10/21/03]

10/20/03 181 Memorandum by Richard Gerber in opposition to [162-1]
motion for consolidation of frozen assets (alt)
[Entry date 10/21/03]

10/20/03 182 Order affirming/approving [176-1] declaration & 11th Rpt of
Rcvr, for payment of 10/14/03 Rcvr's invoice in amt of
$26,600.00 and 10/14/03 invoice of Halland & Hart in amt of
183,526.76 signed by Judge Tena Campbell, 10/20/03 cc:atty
(alt) [Entry date 10/21/03]

10/22/03 183 Notice of Hearing filed: Motion hearing set for 2:00
11/6/03 for [179-1] motion to intervene by Richard Gerber,
set for 2:00 11/6/03 for [162-1] motion for consolidation
of frozen assets To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 10/22/03]

10/22/03 184 Memorandum by Patrick M. Brody in opposition to [177-1]
amended motion for civil contempt against Patrick M. Brody
(amends motion no. 127) (alt) [Entry date 10/23/03]

10/22/03 185 Notice of election to waive putting ona defense to original
SEC contempt motion by Patrick M. Brody (alt)
[Entry date 10/23/03]

10/24/03 186 Motion by Patrick M. Brody for ct to formally apply rules
of evidence to SEC's contempt motion (alt)
[Entry date 10/27/03]

10/27/03 188 Reply by SEC to response to [152-1] motion to disqualify
Robert Henry Copier as cnsl for Patrick M. Brody (alt)
[Entry date 10/28/03]

10/28/03 187 Order denying [152-1] motion to disqualify Robert Henry
Copier as cnsl for Patrick M. Brody signed by Judge David
Nuffer , 10/28/03 cc:atty (blk) [Entry date 10/28/03]

10/29/03 189 Minute entry: After a discussion with counsel, the court
denies as moot amended motion for contempt re: Patrick
Brody. The court will allow Mr. Robert Copier to withdraw
as counsel on contempt matters. Hearing is continued
without date. The SEC will file a new motion and memo for
contempt alleging security fraud by 11/10/03. Mr. Copier
is directed to consult with Mr. Brody's other attorneys
regarding this contempt motion. Mr. Brody's counsel will
have two weeks to respond to SEC's new motion. denying
[177-1] amended motion for civil contempt against Patrick
M. Brody (amends motion no. 127) ; Judge: Tena Campbell
Court Reporter: Ray Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 10/31/03]

10/29/03 190 Joint motion by David K. Broadbent, SEC, Richard Gerber to
vacate 11/6/03 hrg, agreeing to Gerber's limited
intervention and as to conducting disc re: mot/consl frozen
assets (alt) [Entry date 11/03/03]

10/30/03 191 Order mooting [177-1] amended motion for civil contempt
against Patrick M. Brody (amends motion no. 127), for
Robert Copier to withdraw as attorney (Terminated attorney
Robert Henry Copier for Patrick M. Brody) signed by Judge
Tena Campbell, 10/29/03 cc:atty (alt) [Entry date 11/03/03]

11/3/03 192 Order granting [179-1] motion to intervene by Richard
Gerber (neither Rcv nor Gerber shall redeem certain assets
until 6/04), granting [190-1] joint motion to vacate
11/6/03 hrg, agreeing to Gerber's limited intervention and
as to conducting disc re: mot/consl frozen assets,
terminated 11/6/03 hrg deadline signed by Judge Tena
Campbell, 11/3/03 cc:atty (alt) [Entry date 11/05/03]

11/7/03 -- Transcript of Proceedings for date(s) of 10/16/03 re: evid
hrg on mot/contempt held before TC. Court Reporter: Raymond
P. Fenlon (alt) [Entry date 11/20/03]

11/10/03 193 Motion by SEC for contempt against dft Patrick Brody (alt)
[Entry date 11/12/03]

11/10/03 194 Memorandum by SEC in support of [193-1] motion for contempt
against dft Patrick Brody (alt) [Entry date 11/12/03]

11/12/03 195 Certificate of service by David K. Broadbent re: first set
of req/for prod docs to Dr. Richard B. Gerber (ce)
[Entry date 11/14/03]

11/13/03 -- Transcript of Proceedings for date(s) of 10/29/03 re: evid
hrg on mot/contempt held before TC. Court Reporter: Raymond
P. Fenlon (alt) [Entry date 11/20/03]

11/19/03 196 Motion by David K. Broadbent, Merrill Scott & Asso, Phoenix
Overseas, Gibraltar Permanente for expedited Hearing to
confirm private sale of receivership property and to
appoint appraisers (ce) [Entry date 11/20/03]

11/19/03 197 Memorandum by David K. Broadbent, Merrill Scott & Asso,
Phoenix Overseas, Gibraltar Permanente in support of
[196-1] motion for expedited Hearing to confirm private
sale of receivership property and to appoint appraisers (ce)
[Entry date 11/20/03]

11/19/03 198 Certificate of service re: 2nd set of Reqs for Prod/Docs to
Dr. Richard B. Gerber by David K. Broadbent (alt)
[Entry date 11/20/03]

11/21/03 199 Notice of Hearing filed: miscellaneous hearing [196-1] re:
approval of sale of receivership property and to appoint
appraisers set for 4:30 12/8/03 To be held before Judge TC
cc:atty (Ntc generated by: Chmbrs, TB) (alt)
[Entry date 11/21/03]

11/24/03 200 Order granting [196-1] motion for expedited Hearing
(12/8/03 at 4:30) to confirm private sale of receivership
property and to appoint Robert D. Hepworth, Thomas E.
Mulcock & Richard W. Koplin as appraisers signed by Judge
Tena Campbell, 11/21/03 cc:atty (alt) [Entry date 11/25/03]

11/25/03 201 Stipulation filed by SEC, Patrick M. Brody RE: dft's having
until 12/1503 to resp to mot/contempt (alt)
[Entry date 12/02/03]

11/25/03 202 Proposed Findings of Fact and Conclusions of Law by SEC re:
mot/contempt (alt) [Entry date 12/03/03]

11/25/03 203 Notice of filing of Rebuttal to Evid Submitted by Pla by
David E. Ross II (alt) [Entry date 12/03/03]

11/25/03 204 Affidavit of David E. Ross II Re: [203-1] file notice (alt)
[Entry date 12/03/03]

11/25/03 205 Proposed Findings of Fact and Conclusions of Law by David
E. Ross II (alt) [Entry date 12/03/03]

12/3/03 206 Order granting [201-1] stipulation for Brody to resp to
mot/contempt by 12/15/03; signed by Judge Tena Campbell,
12/2/03 cc:atty (alt) [Entry date 12/07/03]

12/7/03 207 Notice of Hearing filed: evidentiary hearing re: consol of
frozen assets set for 1:00 4/1/04 To be held before Judge
TC cc:atty (Ntc generated by: Chmbrs, TB) (alt)
[Entry date 12/07/03]

12/8/03 209 Minute entry: The court meets with Mr. Broadbent in
chambers. There being no objections to the proposed sale,
the court approves and executes order approving sale. Mr.
Broadbent gives a status report of this case to the court. ;
Judge: Tena Campbell Court Reporter: Dawn Brunner-Hahn
Court Deputy: Theresa Brown (tb) [Entry date 12/10/03]

12/9/03 208 Order confirming private sale of receivership's Canyon
Cove property signed by Judge Tena Campbell, 12/8/03
cc:atty (alt) [Entry date 12/10/03]

12/11/03 210 Declaration & 12th Report of Receiver, David K. Broadbent
(alt) [Entry date 12/11/03]

12/12/03 212 Motion by SEC for entry of default as to Patrick M. Brody
(alt) [Entry date 12/15/03]

12/12/03 213 Memorandum by SEC in support of [212-1] motion for entry of
default as to Patrick M. Brody (alt) [Entry date 12/15/03]

12/15/03 211 Order approving/affirming [210-1] declaration, for payment
of Rcv's invoice dated 12/9/03 in amt of $16,600.00 and
Holland & Hart's invoice dated 12/9/03 in amt of
$177,373.55 signed by Judge Tena Campbell, 12/12/03
cc:atty (alt) [Entry date 12/15/03]

12/15/03 214 Joint motion by SEC, Patrick M. Brody to extend time to
12/29/03 for dft Brody to resp to mot/civil contempt (alt)
[Entry date 12/17/03]

12/16/03 216 Objections by David E. Ross II to Certain of the SEC's
Proposed Findings of Facts (blk) [Entry date 12/17/03]

12/17/03 215 Order granting [214-1] joint motion to extend time to
12/29/03 for dft Brody to resp to mot/civil contempt signed
by Judge Tena Campbell, 12/16/03 cc:atty (alt)
[Entry date 12/17/03]

12/29/03 217 SEC's Withdrawal of [212-1] motion for entry of default as
to Patrick M. Brody (alt) [Entry date 12/30/03]

12/29/03 218 Memorandum by Patrick M. Brody in opposition to [193-1]
motion for contempt against dft Patrick Brody (alt)
[Entry date 01/05/04]

12/30/03 219 Certificate of service re: resp to rc's 1st set of reqs for
prod/docs by Richard Gerber (alt) [Entry date 01/05/04]

12/30/03 224 Certificate of service by Richard Gerber re: resp to
receiver's second set req/prod of docs (ce)
[Entry date 01/20/04]

12/31/03 220 Answer to Complaint by Patrick M. Brody (alt)
[Entry date 01/05/04]

1/9/04 221 Reply by SEC to response to [193-1] motion for contempt
against dft Patrick Brody (alt) [Entry date 01/12/04]

1/9/04 222 Response by SEC to Ross' [216-1] objection (alt)
[Entry date 01/12/04]

1/9/04 223 Declaration of Barbara Zamora-Tueller (alt)
[Entry date 01/12/04]

1/19/04 225 Motion by Patrick M. Brody to strike [221-1] response reply
of SEC in supp of mot/for civil contempt against dft Patrick
M. Brody (ce) [Entry date 01/20/04] [Edit date 01/20/04]

1/19/04 225 Request for Argument filed by Patrick M. Brody on [225-1]
motion to strike [221-1] response reply of SEC in supp of
mot/for civil contempt against dft Patrick M. Brody (ce)
[Entry date 01/20/04]

1/19/04 226 Memorandum by Patrick M. Brody in support of [225-1]
motion to strike [221-1] response reply of SEC in supp of
mot/for civil contempt against dft Patrick M. Brody (ce)
[Entry date 01/20/04]

1/29/04 227 Stipulation by Richard Gerber, SEC, David K. Broadbent
stip for protective order re: Dr. Gerber's confidential
info (alt) [Entry date 02/02/04]

2/3/04 228 Protective Order granting [227-1] stipulated motion for
protective order re: Dr. Gerber's confidential info Signed
by Judge Tena Campbell 2/2/04 cc: atty (alt)
[Entry date 02/03/04]

2/4/04 229 Notice of Hearing filed: Final Argument/Motion hearing set
for 9:00 3/12/04 for [121-1] motion for contempt against
David E. Ross II To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 02/04/04]

2/4/04 230 Notice of Hearing filed: Evidentiary/Motion hearing set
for 10:30 3/12/04 for [193-1] motion for contempt against
dft Patrick Brody To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 02/04/04]

2/18/04 231 Certificate of service re: 1st req for prod/docs to rcv by
Richard Gerber (alt) [Entry date 02/18/04]

2/18/04 232 Declaration & 13th Report of Receiver, David K. Broadbent
(alt) [Entry date 02/18/04]

2/20/04 233 Order affirming [232-1] declaration & 13th Rpt of Rcv, for
payment of rcv's invoice dated 2/17/04 in amt of
$15,950.00, and of Holland&Hart's invoice dated 2/17/04 in
amt of $157,923.23 signed by Judge Tena Campbell, 2/19/04
cc:atty (alt) [Entry date 02/23/04]

2/25/04 234 Certificate of service re: discovery by David K. Broadbent
(alt) [Entry date 02/26/04]

2/25/04 235 Certificate of service reL subp served upon Janet Ackerson
by David K. Broadbent (alt) [Entry date 02/26/04]

3/3/04 236 Joint motion by David K. Broadbent, Merrill Scott & Asso,
Phoenix Overseas, Gibraltar Permanente, Certain
Underwriters to stay proceedings (alt) [Entry date 03/04/04]

3/5/04 237 Certificate of service re: Expert Rpt & Dcl of Gil A.
Miller by SEC (alt) [Entry date 03/08/04]

3/9/04 238 Order granting [236-1] joint motion to stay proceedings
signed by Judge Tena Campbell, 3/9/04 cc:atty (alt)
[Entry date 03/10/04]

3/9/04 239 Motion by Scott K Canepa Chari, Scott K. Canepa to lift
stay re: NV St Ct proceedings (alt) [Entry date 03/10/04]

3/9/04 240 Motion by Scott K Canepa Chari, Scott K. Canepa for leave
to file overlength mem/supp to mot no. 239 (alt)
[Entry date 03/10/04]

3/9/04 241 Memorandum by Scott K Canepa Chari, Scott K. Canepa in
support of [239-1] motion to lift stay re: NV St Ct
proceedings (alt) [Entry date 03/10/04]

3/12/04 242 Order granting [240-1] motion for leave to file overlength
mem/supp to mot no. 239 signed by Judge Tena Campbell,
3/11/04 cc:atty (alt) [Entry date 03/12/04]

3/12/04 243 Minute entry: After hearing from counsel, the court takes
this matter under advisement. Mr. Price has three weeks to
file supplemental memo. The SEC will have ten days to
reply.[193-1] motion for contempt against dft Patrick Brody
taken under advisement ; Judge: Tena Campbell Court
Reporter: Ray Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 03/15/04]

3/12/04 244 Minute entry: After hearing from counsel, the court takes
this matter under advisement. Counsel are to provide their
5 best cases re: civil contempt to the court. [121-1]
motion for contempt against David E. Ross II taken under
advisement ; Judge: Tena Campbell Court Reporter: Ray
Fenlon Court Deputy: Theresa Brown (tb)
[Entry date 03/15/04]

3/19/04 245 SUPPLEMENTAL Brief filed as ordered per [244-1] minute
entry concering civil contempt filed by SEC (alt)
[Entry date 03/22/04]

3/22/04 246 Certificate of service re: objs & responses to Gerber's 1st
set of reqs for prod/docs by David K. Broadbent (alt)
[Entry date 03/23/04]

3/26/04 247 Notice of filing re: USDC Action in Florida by David K.
Broadbent (alt) [Entry date 03/29/04]

3/29/04 248 Joint motion by David K. Broadbent, Richard Gerber to set
scheduling for pending motion for consolidation of frozen
assets (alt) [Entry date 03/30/04]

3/29/04 249 Joint motion by David K. Broadbent, Scott K. Canepa, Scott
K Canepa Chari to extend time to 4/5/04 for Receiver to
resp to Canepa's mot/lift stay (alt) [Entry date 03/30/04]

3/31/04 250 Stipulation filed by SEC, Patrick M. Brody RE: extending
time to 4/9/04 for dft Brody to file resp to SEC's
mot/civil contempt (alt) [Entry date 03/31/04]

3/31/04 251 Order granting [248-1] joint motion to set scheduling for
pending motion for consolidation of frozen assets,
terminated 4/1/04 hearing deadline signed by Judge Tena
Campbell, 3/31/04 cc:atty (alt) [Entry date 04/01/04]

3/31/04 252 Order granting [249-1] joint motion to extend time to
4/5/04 for Receiver to resp to Canepa's mot/lift stay by
Judge Tena Campbell, 3/31/04 cc:atty (alt)
[Entry date 04/01/04]

4/1/04 253 Order granting [250-1] stipulated motion for dft Brody to
have until 4/9/04 to file resp to mot/civil contempt;
signed by Judge Tena Campbell, 4/1/04 cc:atty (alt)
[Entry date 04/02/04]

4/5/04 254 Joint motion by David K. Broadbent, Scott K. Canepa, Scott
K Canepa Chari to extend time to 4/12/04 for Receiver to
resp to mot/lift stay (alt) [Entry date 04/05/04]

4/9/04 255 Order granting [254-1] joint motion to extend time to
4/12/04 for Receiver to resp to mot/lift stay; signed by
Judge Tena Campbell, 4/9/04 cc:atty (alt)
[Entry date 04/09/04]

4/9/04 256 SUPPLEMENTAL Memorandum by Patrick M. Brody in opposition
to [193-1] motion for contempt against dft Patrick Brody
(alt) [Entry date 04/12/04]

4/9/04 256 Request for Oral Argument filed by Patrick M. Brody on
[256-1] opposition memorandum (alt) [Entry date 04/12/04]

4/9/04 257 Appendix in opposition to [193-1] motion for contempt
against dft Patrick Brody filed by Patrick M. Brody (alt)
[Entry date 04/12/04]

4/9/04 258 Affidavit of Gifford W. Price Re: [256-1] opposition
memorandum, [256-1] requested (blk) [Entry date 04/13/04]

4/12/04 259 Memorandum by David K. Broadbent in opposition to [239-1]
motion to lift stay re: NV St Ct proceedings (alt)
[Entry date 04/13/04]

4/12/04 260 Declaration of David K. Broadbent, Receiver Re: [259-1]
opposition memorandum (alt) [Entry date 04/13/04]

4/15/04 261 Notice of Hearing filed: Motion hearing set for 10:00
5/28/04 for [239-1] motion to lift stay re: NV St Ct
proceedings To be held before Judge TC cc:atty (Ntc
generated by: Chmbrs, TB) (alt) [Entry date 04/15/04]

4/21/04 262 Joint motion by Scott K Canepa Chari, Scott K. Canepa,
David K. Broadbent to extend time to 4/29/04 for Scott K
Canepa Chari, Scott K. Canepa to file reply memo/supp of
mot/lift stay (alt) [Entry date 04/22/04]

4/23/04 263 Order granting [262-1] joint motion to extend time to
4/29/04 for Scott K Canepa Chari, Scott K. Canepa to file
reply memo/supp of mot/lift stay signed by Judge Tena
Campbell, 4/22/04 cc:atty (alt) [Entry date 04/23/04]

4/26/04 -- Transcript of Proceedings for date(s) of 3/12/04 re: motion
hrg held before TC. Court Reporter: Raymond P. Fenlon (alt)
[Entry date 04/27/04]

4/26/04 -- Transcript of Proceedings for date(s) of 3/12/04 re: motion
hrg held before TC. Court Reporter: Raymond P. Fenlon (alt)
[Entry date 04/27/04]

4/27/04 264 Reply by Scott K Canepa Chari, Scott K. Canepa to response
to [239-1] motion to lift stay re: NV St Ct proceedings (alt)
[Entry date 04/28/04]

4/28/04 265 Notice of attorney appearance for Curt Woods, Kathy Woods
by Richard G. Cook (alt) [Entry date 04/29/04]

4/28/04 266 WITHDRAWN BY MOVANTS PER NTC NO. 292 - Motion/Request for
clarification re: [8-1] restraining order by movant Curt
Woods, movant Kathy Woods (alt) [Entry date 04/29/04]
[Edit date 06/23/04]

4/28/04 266 Request for Oral Argument filed by Curt Woods, Kathy Woods
on [266-1] clarification requested (alt)
[Entry date 04/29/04]

4/28/04 267 Memorandum by Curt Woods, Kathy Woods in support of [266-1]
clarification requested (alt) [Entry date 04/29/04]

5/7/04 268 Second Suppl Brief RE: civil contempt against David E. Ross
II filed by SEC (ce) [Entry date 05/10/04]

5/7/04 269 Suppl Brief RE: SEC's motion for contempt and Mr. Ross'
lack of notice of applicable court orders filed by David E.
Ross II (ce) [Entry date 05/10/04]

5/11/04 270 Declaration and Fourteenth Report of Receiver, David K.
Broadbent (tsh) [Entry date 05/12/04]

5/14/04 271 Order approving/affirming [270-1] declaration & 14th
Report, for payment of Rcv's invoice in amt of $22,715.00
and Holland & Hart's invoice in amt of $187,875.78 signed
by Judge Tena Campbell, 5/14/04 cc:atty (alt)
[Entry date 05/17/04]

5/17/04 272 Memorandum by SEC in opposition to [267-1] support
memorandum to req for clarification of restraining order
(alt) [Entry date 05/18/04]

5/17/04 273 Memorandum by David K. Broadbent in opposition to [266-1]
clarification requested re: restraining order (alt)
[Entry date 05/18/04]

5/17/04 274 Declaration of David K. Broadbent in support of [273-1]
opposition memorandum (alt) [Entry date 05/18/04]

5/24/04 275 Order granting in part, denying in part [121-1] motion for
contempt against David E. Ross II, for payment by David E.
Ross II of $389,884.01 to the SEC (or to Rcvr) once ct has
resolved issue of interest & atty fees, if SEC believes
interest and/or attys' fees shld be granted, they are to
file memo & supp materials within 10 days from date of this
order signed by Judge Tena Campbell , 5/21/04 cc:atty (alt)
[Entry date 05/24/04]

5/25/04 276 Motion to intervene as of right by Charles Cozean (alt)
[Entry date 05/26/04]

5/25/04 277 Memorandum by Charles Cozean in support of [276-1] motion
to intervene as of right by Charles Cozean (alt)
[Entry date 05/26/04]

5/25/04 -- Proposed documents from Charles Cozean entitled: Motion for
SumJgm, and memo in support of same - LODGED in file
pending ruling on mot/intervene (alt) [Entry date 05/26/04]

5/27/04 280 Joint Stipulation and Motion by Scott K. Canepa, David K.
Broadbent Joint Stip and Motion to approve settlement
agreement and to lift stay of the NV State Court Action (jmr)
[Entry date 06/01/04]

5/27/04 281 Stipulated Order; granting [280-1] Joint Stip and Motion to
approve settlement agreement, granting [280-2] stipulation
motion to lift stay of the NV State Court Action. See order
for details. Signed by Judge Tena Campbell, 5/27/04
cc:atty. (jmr) [Entry date 06/01/04]

5/28/04 278 Motion by SEC for an expedited distribution to Merrill
Scott customers Val and Jana Eylands (jmr)
[Entry date 06/01/04]

5/28/04 279 Memorandum by SEC in support of [278-1] motion for an
expedited distribution to Merrill Scott customers Val and
Jana Eylands (jmr) [Entry date 06/01/04]

6/1/04 282 Memorandum in reply to [272-1]SEC's opposition memorandum
to req for clarification filed by Curt Woods, Kathy Woods
(alt) [Entry date 06/02/04]

6/4/04 283 Certificate of service re: [273-1] opposition memorandum by
David K. Broadbent (alt) [Entry date 06/07/04]

6/7/04 284 Joint motion by David K. Broadbent, Curt Woods, Kathy Woods
to extend time to 6/14/04 for movants to file rply memo in
supp of req for clarification (alt) [Entry date 06/08/04]

6/7/04 285 Motion by SEC for pre-jgm interest and expenses, including
reasonable attorney fees, against dft David E. Ross, in amt
of $76,126.13 (alt) [Entry date 06/08/04]

6/7/04 286 Memorandum by SEC in support of [285-1] motion for pre-jgm
interest and expenses, including reasonable attorney fees,
against dft David E. Ross, in amt of $76,126.13 (alt)
[Entry date 06/08/04]

6/9/04 287 Order granting [284-1] joint motion to extend time to
6/14/04 for movants to file rply memo in supp of req for
clarification; signed by Judge Tena Campbell, 6/8/04
cc:atty (alt) [Entry date 06/09/04]

6/17/04 288 Order granting [278-1] motion for an expedited distribution
to Merrill Scott customers Val and Jana Eylands signed by
Judge Tena Campbell, 6/17/04 cc:atty (alt)
[Entry date 06/17/04]

6/21/04 289 Proposed Findings of Fact and Conclusions of Law by SEC (alt)
[Entry date 06/22/04]

6/21/04 289 Memorandum RE: [193-1] motion for contempt against dft
Patrick Brody filed by SEC (alt) [Entry date 06/22/04]

6/21/04 290 Memorandum by SEC in opposition to [276-1] motion to
intervene as of right by Charles Cozean (alt)
[Entry date 06/22/04]

6/21/04 291 Declaration of David K. Broadbent (alt)
[Entry date 06/22/04]

6/22/04 292 Notice of withdrawal of req for clarification by Curt
Woods, Kathy Woods (alt) [Entry date 06/23/04]

6/23/04 293 Addendum/Supplement to proposed order submitted by dft
Patrick M. Brody on 6/21/04 filed by Patrick M. Brody . (tsh)
[Entry date 06/24/04]

6/25/04 294 Motion by David K. Broadbent to stay briefing of Cozean's
mot/sumjgm (alt) [Entry date 06/28/04]

6/25/04 295 Objections by David E. Ross II to [275-1] order for payment
by David E. Ross II of $389,884.01 to the SEC (or to Rcvr)
once ct has resolved issue of interest & atty fees (alt)
[Entry date 06/28/04]

6/25/04 295 Memorandum by David E. Ross II in opposition to [285-1]
motion for pre-jgm interest and expenses, including
reasonable attorney fees, against dft David E. Ross, in amt
of $76,126.13 (alt) [Entry date 06/28/04]

6/25/04 295 Request for Oral Argument filed by David E. Ross II on
[295-1] opposition memorandum, [295-1] objection (alt)
[Entry date 06/28/04]

7/1/04 296 Declaration & 15th Report of David K. Broadbent, Receiver
(alt) [Entry date 07/02/04]

7/15/04 297 Order approving/affirming [296-1] declaration & 15th Rpt of
the Rcvr, for payment of Rcvr's invoice dated 6/9/04 in
amt of $12,155.00 and Holland&Hart's invoice dated 6/10/04
in amt of $144.816.27 signed by Judge Tena Campbell,
7/15/04 cc:atty (alt) [Entry date 07/16/04]

7/15/04 298 Reply by Charles Cozean to response to [276-1] motion to
intervene as of right by Charles Cozean (alt)
[Entry date 07/16/04]