Professional Documents
Culture Documents
1
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 3 of 127
2
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 4 of 127
3
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 5 of 127
1 outstanding remained validly issued and outstanding, fully paid and non-
2 assessable; and otherwise "free trading" shares in private transactions between and
3 among CMKM stockholders.
4 Glisson's offer and sale of CMKM stock was also exempt from registration
5 under Section 5 of the Securities Act of 1933 by virture of applicable exemptions
6 for persons who are not acting as the issuer, underwriter or dealer for such
7 securities offering (which is the reason Plaintiff seeks to classify the Defendant as
8 a securities "dealer" for purposes of this action).
9 The Plaintiff's contentions try to create the illusion that Glisson acted in a
10 deceptive manner which was not the case (the Complaint makes no such
11 allegations or claims). The Plaintiff's descriptions of the magnitude of Glisson's
12 trading in CMKM are all inflated and deceptive (and need to be understood in
13 context including that there were at least 703 Billion – that’s 703,000,000,000 –
14 shares of CMKM stock issued and outstanding during the relevant time). As an
15 investor (not a dealer), Glisson made a profit as a result his purchases and sales of
16 CMKM stock over a multi-year period, but such activity did not violate any
17 Federal securities laws because Glisson was not in the business of providing
18 services as a securities dealer. He was a private investor trading for his own
19 account, and he made some money.
20 There is no basis for the injunctive or other relief sought by the Plaintiff. In
21 light of the technical nature of the Plaintiff’s broker-dealer non-registration claim,
22 the monetary relief sought by the Plaintiff, including disgorgement of “ill gotten”
23 gains, prejudgment interest and high level fines (based on intentional or reckless
24 wrongdoing), are extreme, excessive and inappropriate.
25 ///
26 ///
4
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 6 of 127
1 II.
2 Statement of jurisdiction: This Court has jurisdiction over this action
3 pursuant to Sections 20(b), 20(d)(1) and 22(a) of the Securities Act, 15 U.S.C. §§
4 77t(b), 77t(d)(1) & 77v(a) and Sections 21(d)(1), 21(d)(3)(A), 21(e) and 27 of the
5 Exchange Act, 15 U.S.C. §§ 78u(d)(1), 78u(d)(3)(A), 78u(e) & 78aa. Defendant
6 Glisson, directly or indirectly, made use of the means or instrumentalities of
7 interstate commerce, of the mails, or of the facilities of a national securities
8 exchange in connection with the transactions, acts, practices, and courses of
9 business alleged in this Complaint. Specifically, Glisson offered to buy and sell
10 shares of CMKM securities in interstate commerce; Glisson communicated with
11 purchasers and sellers of CMKM securities in interstate commerce; and Glisson
12 consummated the purchase and sale of CMKM securities in interstate commerce
13 using the mails and the wire transfer facilities of banking institutions.
14
15 III.
16 The following facts are admitted by the parties and require no proof:
17 1. During 2005 through October 2006, Glisson was a resident of
18 Janesville, Wisconsin. At the time, Glisson was married to Alma Padilla. Glisson
19 was divorced from Alma Padilla on April 12, 2007.
20 2. During 2005 through October 2006, Padilla owned, or co-owned with
21 Glisson, a restaurant located in Janesville, Wisconsin named the “Deli Dog
22 House.” While working as an assembly line worker at General Motors, Glisson
23 worked part-time at the Deli Dog House in 2005 through August 2006. After
24 Glisson’s retirement from General Motors in August 2006, he worked full-time at
25 the Deli Dog House restaurant in Janesville until October 2006.
26 3. Glisson started using “delidoghouse@hotmail.com” as his email
5
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 7 of 127
1 address in 2001, and has continued to use this address into 2011.
2 4. In October 2006, Glisson separated from Alma Padilla and moved to
3 Las Vegas, Nevada. Glisson resided in Nevada from October 2006 through at least
4 January 2007. Glisson lived in at 2200 S. Fort Apache Road, Apt. 2017, Las
5 Vegas, Nevada.
6 5. In October 2006, Glisson was introduced to Thidarat
7 Tungwongsathong (“Tungwongsathong”) at a Starbucks in Las Vegas, Nevada.
8 Tungwongsathong was a Thai national who had lived in the United States during
9 various periods prior to 2006, and was living in Las Vegas when she met Glisson.
10 When Tungwongsathong met Glisson, she was not working.
11 6. Shortly after meeting in October 2006, Glisson and Tungwongsathong
12 began dating. In November 2006, Tungwongsathong moved into Glisson’s
13 apartment located at 2200 S. Fort Apache Road, Apt. 2017, in Las Vegas.
14 7. While residing in Nevada in late 2006, Glisson rented a mailbox
15 located at a UPS store at the address 9030 West Sahara Avenue, Box 141, Las
16 Vegas, Nevada, where he received his mail, including mail relating to transactions
17 in CMKM securities.
18 8. In January 2007, when he was in California, Glisson rented a mailbox
19 located at a UPS store to receive his mail, including mail relating to transactions in
20 CMKM securities, at the address 555 North El Camino Real, San Clemente,
21 California.
22 9. In the period from January 2007 through April 2007, Glisson and
23 Tungwongsathong traveled, vacationed, and then moved to Florida by April 2007.
24 10. In or around April 2007, Glisson moved to Naples, Florida, where he
25 resided with Tungwongsathong at 4893 Pepper Circle, Naples, Florida. On May 7,
26 2007, Glisson married Tungwongsathong in Naples, Florida. Tungwongsathong
6
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 8 of 127
1 has resided at the Pepper Circle address continually since April 2007. Glisson has
2 lived at both the Pepper Circle address and at 27973 Pinecrest Lane, Bonita
3 Springs, Florida.
4 11. Glisson rented a mailbox in Florida to receive his mail, at the address
5 3823 Tamiami Trail East, #567, Naples, Florida 34112-6224.
6 12. Glisson has one sibling named Luther Webster, who resides in
7 Romeoville, Illinois. Luther’s spouse is named Betty Webster. Glisson has two
8 nephews, Charles K. Webster and Glenn A. Webster. Glisson has one son named
9 Allan Ray Glisson (deceased), and one daughter Marcy Lynn Glisson.
10 13. CMKM was at all relevant times a Nevada corporation headquartered
11 in Las Vegas that reported it acquired and developed mining properties in North
12 and South America. From 1999 through October 28, 2005, CMKM’s stock was
13 registered with the Commission pursuant to Section 12(g) of the Exchange Act and
14 was quoted on the “OTC Pink Sheets.” During this period of time, individuals
15 could and did buy and sell shares of CMKM through registered brokers such as
16 Ameritrade and E-Trade.
17 14. During the period 2005 through April 9, 2007, 1st Global Stock
18 Transfer LLC (“1st Global”) was the transfer agent for CMKM stock.
19 15. On March 14, 2005, CKMK filed a report with the SEC on Form 8-K,
20 pursuant to the provisions of the Exchange Act, which among other things, stated
21 that there were 703,518,875,000 shares of CMKM common stock issued and
22 outstanding to approximately 2,032 shareholders of record. (Exhibit 400.)
23 16. Sometime after April 2004, Glisson became aware of CMKM through
24 the Internet.
25 17. Sometime after April 2004, Glisson became a CMKM shareholder by
26 purchasing CMKM securities in his account with Ameritrade.
7
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 9 of 127
1 18. Glisson monitored the performance of his CMKM securities via the
2 Internet and CMKM press releases.
3 19. Since around April 2004, Glisson visited and participated in Internet
4 “chat rooms” that discussed CMKM and its business, and he met people online
5 who owned or were interested in CMKM through his participation in various
6 CMKM chat rooms.
7 20. During 2005 through 2007, Glisson used the screen name “Deli Dog”
8 or “Deli” when visiting and participating in chat rooms relating to CMKM.
9 21. From December 2005 through April 2007, Glisson bought and sold
10 CMKM stock in transactions with individuals in the United States, Canada, and
11 Europe, and Glisson obtained proceeds from the sale of such CMKM stock.
12 22. During the period from December 2005 through May 2006, Glisson
13 sometimes used written agreements to set forth the terms of his purchases of
14 CMKM stock, which were titled “Stock Sell-Purchase Agreement.” Also during
15 this period, Glisson had some sellers execute letters waiving all rights to any
16 dividends or cash settlements associated with the CMKM stock he was purchasing
17 from them.
18 23. Glisson sometimes paid for his purchase of CMKM stock using wire
19 transfer facilities.
20 24. For the period between December 2005 through April 2007, when
21 Glisson was contacted by a prospective purchaser of CMKM stock, Glisson
22 typically provided such prospective purchasers with (1) his contact information, (2)
23 a price schedule for CMKM securities setting prices of between $0.0003 to
24 $0.00025 per share depending on the number of shares being purchased, and (3)
25 payment instructions including wire transfer information and an address for
26 mailing payment.
8
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 10 of 127
9
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 11 of 127
10
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 12 of 127
1 39. Glisson has never registered, or applied to be registered, with the SEC
2 as a securities broker or dealer.
3 40. Glisson has never been employed by a registered broker or dealer.
4 41. During the time period relative to the Commission’s Complaint in this
5 action, Glisson was not an officer or director of CMKM.
6 42. The Commission’s action against Glisson does not allege any
7 violations of the antifraud provisions of the federal securities laws.
8
9 IV.
10 The following facts, though not admitted, will not be contested at trial by
11 evidence to the contrary:
12 A. Plaintiff’s Facts Not Admitted and Not Contested
13 1. On March 3, 2005, the Commission issued an Order of Suspension of
14 Trading pursuant to Section 12(k) of the Securities Exchange Act of 1934, which
15 suspended trading in the securities of CMKM Diamonds, Inc., a/k/a Casavant
16 Mining Kimberlite International, Inc., for a period from March 3, 2005 through
17 March 16, 2005. The Order recited that questions had been raised “about the
18 adequacy of publicly available information concerning, among other things,
19 CMKM Diamonds’ assets and liabilities, mining and other business activities,
20 share structure and stock issuances, and corporate management. Since the fiscal
21 year ending December 31, 2002, CMKM Diamonds has been delinquent in its
22 periodic filing obligations under Section 13(a) of [the Exchange Act]. The
23 Commission is concerned that CMKM Diamonds may have unjustifiably relied on
24 a Form S-8 to issue unrestricted shares. The Commission is also concerned that
25 CMKM Diamonds and/or certain of its shareholders may have unjustifiably relied
26 on Rule 144(k) of the [Securities Act] in conducting an unlawful distribution of its
11
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 13 of 127
1 securities that failed to comply with the resale restrictions of Rules 144 and 145 of
2 the Securities Act.” (See Exhibits 401 & 402.)
3 2. On March 16, 2005, the Commission issued an Order Instituting
4 Administrative Proceeding and Notice of Hearing Pursuant to Section 12(j) of the
5 Securities Exchange Act of 1934 in the Matter of CMKM Diamonds, Inc.,
6 Respondent. (Exhibit 403.)
7 3. On July 12, 2005, an administrative law judge issued an Initial
8 Decision in the Matter of CMKM Diamonds, Inc., which after reciting factual and
9 legal findings, ordered that “pursuant to Section 12(j) of the Securities Exchange
10 Act of 1934, the registration of each class of securities of CMKM Diamonds, Inc.
11 is hereby REVOKED.” (emphasis in original). (Exhibit 404.)
12 4. On October 28, 2005, the Commission issued an Order which made
13 final the initial decision of the administrative law judge. The October 28, 2005
14 Order stated: “Notice is hereby given that the initial decision of the administrative
15 law judge has become a final decision of the Commission with respect to CMKM
16 Diamonds, Inc. The order contained in that decision revoking the registration of
17 the securities of CMKM Diamonds, Inc. is hereby declared effective.” Thus, the
18 registration of each class of CMKM securities was revoked. (Exhibit 5.)
19 5. At all times subsequent to October 28, 2005, CMKM has not had a
20 registration statement filed and declared effective under the Securities Act or the
21 Exchange Act.
22
23 V.
24 The following are the issues of fact to be tried and determined upon trial.
25 (each issue of fact must be stated separately and in specific terms).
26 ///
12
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 14 of 127
13
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 15 of 127
14
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 16 of 127
1 Room,” and other chat rooms, where he exchanged posts about CMKM. Glisson
2 visited another chat room named “Pro Board,” where he also used the alias “Deli
3 Dog.” Glisson also visited a chat room named “Willy Wizard’s Underground,”
4 where he used the alias “Deli Dog” and participated in chats relating to CMKM
5 securities.
6 12. In the Internet chat rooms, Glisson posted that he was buying and
7 selling CMKM stock, and posted his telephone number. Persons who wanted to
8 talk to Glisson about the purchase and sale of CMKM stock usually called Glisson
9 or sent him an email to inquire about his interest in and the terms of any such
10 transaction.
11 13. During the period between December 2005 and at least August 2007,
12 Glisson talked to CMKM shareholders every day. Every day, Glisson met with
13 CMKM shareholders face to face, on the computer, on the telephone. Everywhere
14 Glisson went he met with CMKM shareholders. When Glisson gathered with other
15 CMKM shareholders they talked about CMKM shareholders, meetings, and about
16 the company.
17 14. People who wanted to sell their CMKM shares contacted Glisson
18 through Pal Talk, Internet, e-mail, and telephone. Glisson posted his telephone
19 number on the Internet and made it known that he was willing to purchase CMKM
20 shares. There was a board called the “66 Board” that Glisson called “bashers.”
21 These were people who wanted to sell their CMKM stock. Glisson purchased
22 stock from people on the “66 Board.”
23 15. During the period from December 2005 through April 2007, Glisson
24 typically offered to buy CMKM stock for “trip one,” or $0.0001 per share.
25 However, Glisson also paid “trip two” ($0.0002) up to “trip five” ($0.0005) for
26 deregistered CMKM stock during this period.
15
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 17 of 127
16
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 18 of 127
1 22. Glisson directed deposits and withdrawals into the 8307 Account,
2 3788 Account, and 7650 Account, relating to purchases and sales of CMKM
3 securities.
4 23. Beginning in December 2005 through at least November 2006,
5 Glisson instructed persons who purchased CMKM stock from him to wire funds to,
6 at various times, the 3788 Account, the 8307 Account, and after May 2006, the
7 7650 Account. In accordance with Glisson’s instructions, individuals who
8 purchased CMKM securities from Glisson during this period wired funds into the
9 accounts Glisson specified, or sent checks to Glisson which were then deposited
10 into one of the three accounts.
11 24. Exhibit 16, prepared by Blackhawk, shows wire transfers into and out
12 of the 3788 Account, 8307 Account, and 7650 Account, during the period from
13 December 2, 2005 through January 22, 2007.
14 25. Most of the incoming wire transfers shown on Exhibit 16 are from
15 persons who purchased CMKM shares from Glisson. Exhibit 16 lists
16 approximately 497 wire transfers into the three accounts, which total
17 $1,960,844.60. These incoming wire transfers are proceeds from Glisson’s sale of
18 CMKM shares.
19 26. Glisson used funds from the three accounts included in Exhibit 16 to
20 purchase CMKM shares from third parties. Exhibit 16 lists approximately 56
21 separate wire transfers out of the three accounts, which total $1,522,632.00.
22 27. Tungwongsathong was not employed while she resided in Las Vegas.
23 28. In August 2006, Tungwongsathong opened two bank accounts at
24 Bank of America in Las Vegas: (1) the BofA 3830 Account, and (2) the BofA
25 9145 Account, which were designated as “Individual” accounts.
26 29. In or around November 2006, Tungwongsathong designated Glisson
17
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 19 of 127
18
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 20 of 127
1 during this period sent payments as Glisson specified. These payments were
2 deposited into the BofA 9145 Account, which was POD Glisson.
3 35. Beginning in or about November 2006, Glisson instructed persons to
4 whom he sold CMKM stock to write checks payable to Tungwongsathong for their
5 purchases. Upon receipt of those checks, Glisson caused the checks to be
6 deposited into the BofA 9145 Account, which was POD Glisson.
7 36. Between November 2006 through May 2007, numerous deposits were
8 made into the BofA 9145 Account by Glisson, or at his direction, of checks and
9 money orders that were received through the mail from people who were
10 purchasing CMKM stock from Glisson. (See, e.g., Exhibits 49, 50, 51, 57, 58, 59,
11 60, 61, 62, 63, 64, 65, 66, 68, 69, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79, 82, 85, 86,
12 87, 88, 89, 90, 91, 92, and 93.) In addition, at Glisson’s direction, at least two
13 people who purchased CMKM securities from Glisson were instructed by him to
14 wire funds into the BofA 9145 Account. (See, e.g., Exhibit 68.)
15 37. From November 17, 2006 through June 12, 2007, total deposits into
16 the BofA 9145 Account are $2,437,881.18. (See, e.g., Exhibits 49, 51, 57, 68, 75,
17 79, 82.)
18 38. At least from December 2005 through May 2006, and September
19 2006 through April 2007, Glisson regularly communicated with the transfer agent
20 for CMKM, 1st Global, through the mails and using the telephones, for the purpose
21 of transferring CMKM shares to his purchasers. (See, e.g., Exhibits 4-1 to 4-22;
22 Exhibits 35-1 to 35-44.) During part of this period, Glisson also regularly dropped
23 off and picked up certificates from 1st Global’s offices.
24 39. Glisson’s letters of instruction to 1st Global during the period from
25 December 2005 through May 2006 include transactions where Glisson arranged
26 CMKM stock transactions between individuals, as well as instances where Glisson
19
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 21 of 127
20
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 22 of 127
21
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 23 of 127
1 mailbox Glisson used to receive his mail. (See Exhibits 406-1 to 406-6.)
2 53. For most of his sales of CMKM stock in 2010, Glisson directed
3 purchasers to make payments to Tungwongsathong.
4 54. Glisson deposited, or caused to be deposited, proceeds from 2010
5 sales of CMKM stock into the ST 8651 Account.
6 55. During the period from April 14, 2009 through April 13, 2010, there
7 was very little activity in the ST 8651 Account. Account statements show a
8 beginning balance as of April 14, 2009, in the amount of $1,157.26, and an ending
9 balance as of April 13, 2010 of $129.98. During the year April 14, 2009 through
10 April 13, 2010, total monthly deposits into the account were never more than
11 $350.00.
12 56. Beginning with the statement for period April 14, 2010 through May
13 13, 2010, through at least October 14, 2010, there was substantial activity in the ST
14 8651 Account that was related to Glisson’s dealing in CMKM securities. Between
15 April 14, 2010 and October 14, 2010, total deposits into the ST 8651 Account were
16 approximately $1,626,399.05. A substantial amount of those deposits were from
17 Glisson’s dealing in deregistered CMKM stock.
18 57. On or about September 15, 2010, bank records show that $359,900
19 was withdrawn in “over-the-counter withdrawals” from the 8651 Account.
20 Between September 16 and September 30, 2010, additional withdrawals were
21 made from the 8651 Account, each under $10,000, until the 8651 Account was
22 closed on September 30, 2010.
23 58. In 2010, Glisson regularly used the Internet, telephones, and mail to
24 communicate with purchasers of CMKM securities. (See, e.g., Exhibits 127 and 140.)
25 59. In 2010, Glisson regularly communicated with the new transfer agent
26 for CMKM, Transfer Online, using the mails, Internet, and telephone, to transfer
22
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 24 of 127
23
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 25 of 127
1 Williams, whom Glisson did not know and to whom he never spoke. Glisson
2 purchased the Monte Verde/Rendal Williams shares from Steven Brewer. Glisson
3 knew that Rendal Williams was the officer of a joint venture partner of CMKM.
4 68. On two separate occasions, in connection with the Commission’s
5 requests for the production of documents, Glisson has claimed that he was unable
6 to produce documents because of computer problems. Glisson claimed that his
7 computers malfunctioned which made it difficult or impossible to retrieve
8 responsive documents. Glisson also claimed that his computers were stolen which
9 made it impossible to produce responsive documents. With regard to the stolen
10 computers, Glisson never filed a police report reporting a stolen computer.
11 69. In 2007, Glisson and Tungwongsathong purchased shares in
12 Wordsmith Media, Inc. (“Wordsmith”). On or about August 13, 2010, Wordsmith
13 announced that it had received approval from the Financial Industry Regulatory
14 Authority (“FINRA”) to quote its common stock on the “OTC Pink Sheets” under
15 the ticker symbol WDIS.
16 70. At all times from December 2005 through 2010, there was no
17 registration statement in effect for any of the stock bought and sold by Glisson.
18 71. In 2005 or 2006, Glisson filled out forms to register to buy and sell
19 CMKM securities in various states. Glisson received the forms from someone he
20 met over the Internet, and sent them back to the individual. Glisson does not know
21 if the forms were ever filed. Glisson communicated with this individual by
22 telephone and e-mail.
23 72. On May 2, 2003, CMKM filed a registration statement on Form S-8,
24 pursuant to the provisions of the Securities Act of 1933, registering 1,060,000,000
25 shares of common stock. (Exhibit 399.)
26 ///
24
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 26 of 127
25
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 27 of 127
26
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 28 of 127
1 17. During the period of time when CMKM stock was trading on the OTC
2 “Pink Sheets” (August 2003– April 2005), volume of trading in CMKM stock
3 frequently exceeded one Billion shares - - and sometimes exceeded two Billion
4 shares - - per day.
5 18. During the five year period ended 2007, approximately 40,000 people
6 bought CMKM stock.
7 19. Following 1st Global’s resignation as CMKM’s stock transfer agent in
8 April 2007, CMKM did not appoint a successor transfer agent until it appointed
9 Transfer Online, Incorporated as its new stock transfer agent in April 2010.
10 20. From April 2007 until April 2010 (a three year period), CMKM had
11 no stock transfer agent, and CMKM stockholders including Glisson could not
12 register for transfer or otherwise transfer shares of CMKM stock on CMKM’s
13 stock transfer books and records.
14 21. All of the CMKM stock purchased and owned by Glisson was validly
15 issued and outstanding shares of CMKM stock as indicated on the books and
16 records of CMKM’s independent transfer agents (1st Global and, subsequently,
17 Transfer Online).
18 22. 1st Global served as CMKM’s independent stock transfer agent in
19 2004 and continuing until April 2007 (and Transfer Online served as CMKM’s
20 independent stock transfer agent from April 2010 to the present time).
21 23. Glisson worked with the CMKM Task Force, which was trying to
22 certify the validity of all outstanding shares of CMKM stock, to ensure that all
23 shares represented by certificates he purchased and held were in fact validly issued
24 and outstanding as represented by such certificates.
25 24. Bill Frizzell, a CMKM executive, assured Glisson in an e-mail on
26 April 5, 2007 that, if he held certificates for CMKM stock issued by 1st Global
27
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 29 of 127
28
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 30 of 127
29
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 31 of 127
30
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 32 of 127
31
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 33 of 127
1 63. In 2010, Glisson never purchased any CMKM stock, and he sold
3 64. From and after April 2007 through April 1, 2010 (approximately 3
5 65. At least from December 2005 through May 2006, and September
6 2006 through April 2007, Glisson communicated with the transfer agent for
7 CMKM, 1st Global for the purpose of transferring CMKM shares to his
8 purchasers. (See, e.g., Exhibits 4-1 to 4-22; Exhibits 35-1 to 35-44). These letters
9 to 1st Global directed the total transfer (purchases and sales) of over 22 billion
10 shares of CMKM stock during such twelve month period of time which
12 outstanding shares of stock during such period of time - - and a miniscule amount
13 of the total number of CMKM shares traded (purchases and sales) in the market for
14 CMKM stock during such period of time. See Exhibits 400 and 534-535.
16 May 11, 2006, Glisson sent 45 letters of instruction to 1st Global to issue CMKM
32
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 34 of 127
4 and friends where indicated) during such four month period of time was
6 the total number of shares of CMKM stock issued and outstanding during such
7 period of time - - and a miniscule amount of the total number of CMKM shares
8 traded (purchases and sales) in the market for CMKM stock during such period of
9 time. (See Exhibits 35-1 to 35-44; and Exhibits 400 and 534-535).
10 68. Prior to May 2005, Glisson never bought any CMKM stock as a result
12 69. Prior to December 2005, Glisson never sold any shares of CMKM
13 stock.
14 70. After April 1, 2010, Glisson never purchased any CMKM stock.
15 71. Glisson never both bought and sold any shares of CMKM stock in
16 2010.
17 72. Glisson has never had any signature power over, or any current
18 ownership interest in, any bank account in the name of Thidarat
19 Tungwongsathong.
20 73. When they were married, Glisson did not have signatory power over
21 Alma Padilla’s personal bank accounts at Blackhawk Community Credit Union in
22 Janesville, Wisconsin.
23 74. Glisson always acted on his own, as a private investor, in his
24 purchasing or selling shares of CMKM stock.
25 75. All purchases and sales of CMKM stock by him were for his own
26 account and benefit.
33
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 35 of 127
34
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 36 of 127
35
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 37 of 127
36
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 38 of 127
1 99. Except for his trading CMKM stock through his account at
2 Ameritrade, all of Glisson’s transactions in CMKM stock during the 2005-2007
3 period referenced in the SEC’s Complaint were on a one-on-one (person-to-
4 person) basis with the sellers and buyers of such stock.
5 100. None of such transactions by Glisson in CMKM stock during such
6 period of time were conducted on or using the facilities of any national or other
7 securities exchange.
8 101. None of Glisson's transactions in CMKM stock were conducted by
9 Glisson purporting to act as an issuer, underwriter or dealer in securities.
10 102. During the 2005-2007 period, CMKM never filed a registration
11 statement under Section 5 of the Securities Act of 1933, so none of Glisson’s
12 transactions in CMKM stock during such period took place following the filing of
13 any such registration statement by CMKM.
14 103. Since CMKM never conducted any registered offering of any of its
15 securities in the 2005-2007 period, none of Glisson’s transactions during such
16 period of time, where he bought or sold any CMKM stock, ever took place within
17 45 days following the offer and sale of CMKM stock to the public or any one
18 acting as an underwriter for CMKM stock in any such public offering.
19 104. Glisson’s transactions in CMKM stock never involved, in whole or in
20 part, any unsold allotment of securities in the public distribution of CMKM stock
21 by CMKM or any underwriter of such securities for CMKM.
22 105. As far as Glisson knows, the revocation by the SEC of CMKM’s
23 registration statement under Section 12(g) of the Securities Exchange Act of 1934
24 did not affect the legal validity of outstanding shares of CMKM stock (no such
25 outstanding shares were “deregistered”); and all outstanding shares remained
26 validly issued and outstanding, fully paid and non-assessable.
37
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 39 of 127
38
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 40 of 127
1 capable of buying or selling CMKM stock without violating the Federal securities
2 laws.
3 112. CMKM’s transfer agent(s) never advised Glisson that there was any
4 reason he should refrain from buying or selling CMKM stock for any reason.
5 113. CMKM’s stock transfer agent(s), 1st Global (and Transfer Online)
6 never refused to register the transfer of shares of CMKM stock owned by Glisson
7 or advised him that there was any prohibition or limitation of any kind on his
8 purchase, sale and/or transfer of such shares.
9 114. Glisson looked to 1st Global (and Transfer Online) to advise him as to
10 any legal questions that might pertain to the shares of CMKM stock which he was
11 buying or selling.
12 115. Transfer Online, when they started acting as CMKM’s stock transfer
13 agent in April 2010 and then learned about the SEC’s lawsuit against Glisson, sent
14 a written communication to the SEC inquiring if there was any reason that Transfer
15 Online should cease providing regular stock transfer services to Glisson in respect
16 of CMKM stock registered to him; but, according to Transfer Online, the SEC
17 never responded to Transfer Online’s inquiry or otherwise advised Transfer Online
18 to cease providing regular stock transfer services for Glisson’s CMKM stock.
19 116. The SEC has never initiated any action to prevent CMKM’s stock
20 transfer agents from transferring shares (and registering such transfers) of CMKM
21 stock on the CMKM’s stock transfer books and records.
22 117. During the course of the SEC’s investigation concerning Glisson
23 commencing in 2006 resulting in the filing of this action against Glisson in 2009,
24 Glisson repeatedly asked the SEC Staff to please state in writing to him, if they
25 believed it was the case, that his transactions in CMKM stock actually violated any
26 Federal securities laws, rules or regulations; and the SEC never sent Glisson
39
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 41 of 127
40
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 42 of 127
1 would hold a certificate for shares he had purchased/owned and submit it later
2 when he was requesting the stock transfer for shares he had subsequently sold.
3 124. CMI (Casavant Mining, Inc.) is a company affiliated with CMKM
4 (both companies were under the control of the Casavant brothers).
5 125. CMI has never filed a registration statement with the SEC under either
6 the Securities Exchange Act of 1933 or the Securities Exchange Act of 1934, and
7 the shares of CMI have never been listed on or quoted for trading on any national
8 securities exchange.
9 126. CMI is not, and has never been, a publicly traded company.
10 127. Glisson never engaged in any activity with CMI or any securities
11 broker or dealer for CMI or otherwise for purposes of issuing, trading or inducing
12 or attempting to induce the purchase or sale of any shares of CMI.
13 128. Whenever Glisson purchased or sold CMKM stock, he incurred out-
14 of-pocket expenses associated with such stock transactions including without
15 limitation transportation (air freight) expenses and fees paid to CMKM’s stock
16 transfer agent(s).
17 129. In order to try to compute the “profit” or “gain” that Glisson made
18 buying and selling CMKM stock, like any investor, Glisson would need to
19 compute the gross proceeds from his sales of CMKM stock (including losses
20 incurred in any such transactions), reduce the gross proceeds by the cost of the
21 shares that Glisson had purchased then resold, then reduce the resulting amount
22 further by computing the related costs and expenses incurred and paid to third
23 parties as a result of such trading (such as brokerage commissions if any, transfer
24 agent fees/expenses, shipping costs/expenses, etc.) and further reduce the resulting
25 amount by any Federal and state tax obligation due and owing in respect of each
26 individual transaction.
41
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 43 of 127
1 130. Glisson does not have the financial wherewithal to pay the substantial
2 money damages the Plaintiff is seeking in this case.
3 131. Glisson has no intention of buying or selling any CMKM stock in the
4 future.
5 132. Glisson never has in the past and has no intention of working with any
6 issuer, broker, dealer or promoter in connection with the sale of any “penny stock”
7 in the future.
8 133. Glisson is not the current registered or beneficial owner of any shares
9 of CMKM stock.
10 134. Glisson has no more CMKM stock.
11 135. Glisson does not own any securities of any public company.
12 136. Glisson is retired, and living in Florida.
13 137. Glisson has no intention of entering or otherwise conducting in the
14 future any business which involves providing securities broker or dealer services
15 and/or purchasing, offering and/or selling the securities of any public company in
16 any unregistered or registered offering and/or sale of any such securities.
17
18 VI.
19 The following are the issues of law to be tried and determined upon trial.
20 (Each issue of law must be stated separately and in specific terms)
21
22 A. Plaintiff’s Statement of Issues of Law
23 1. Whether defendant Glisson violated Section 15(a) of the Exchange
24 Act by effecting transactions in the securities of CMKM in interstate commerce
25 while not registered as a broker or a dealer in accordance with the requirements of
26 the federal securities laws, specifically Section 15(b) of the Exchange Act.
42
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 44 of 127
43
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 45 of 127
44
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 46 of 127
45
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 47 of 127
46
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 48 of 127
1 the shares of CMKM stock owned and registered in the name of his then girlfriend
2 now wife, who was not even identified by name in any of the allegations set forth
3 in the Complaint and who is not a party to this action, which shares were
4 subsequently sold and the proceeds deposited into such person’s individual bank
5 account and otherwise retained as her own property, so that the Plaintiff is entitled
6 to any relief in respect of such shares, proceeds from the sale thereof or otherwise;
7 and does any such determination in favor of the Plaintiff in this case implicate such
8 person’s due process rights to such property?
9 18. Is the disgorgement remedy and the amount sought by the SEC
10 appropriate given the facts and circumstances of this case, namely (i) in respect of
11 sales by both Glisson and his former girlfriend, now wife, for their individual
12 accounts as sought by the Plaintiff, (ii) where the amount of disgorgement is based
13 upon gross sales proceeds without taking into account the other economic aspects
14 involved in determining the profit or gain that Glisson actually received from the
15 sale of CMKM stock, (iii) where the lack of broker/dealer registration by Glisson
16 did not cause or otherwise result in any loss or harm to the people who bought
17 CMKM stock from Glisson, (iv) where no person who bought CMKM stock from
18 Glisson requested that Glisson return what they paid to Glisson in consideration of
19 the return of the stock that Glisson purchase, sold or transferred to such persons,
20 (v) where Glisson never received any of the proceeds realized from the sale of
21 CMKM stock his wife bought or otherwise acquired before they were married or
22 afterward, (vi) where Glisson does not retain any of the proceeds from any of his
23 sales of CMKM stock, (vii) where Glisson has no financial capability to pay such
24 requested disgorgement amount or prejudgment interest, and (viii) where no
25 further disincentive is needed to persuade Glisson to comply with the applicable
26 broker/dealer registration requirements once there is a determination of the
47
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 49 of 127
48
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 50 of 127
1 VII.
2 (a) The following joint exhibits are stipulated into evidence in this case and
3 may be so marked by the clerk:
4
5 Joint Exhibit List
(Exhibits Stipulated as Admissible into Evidence)
6
Exhibit Description
7 No.
8 4-1 December 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 70987-71086 (100 certs) representing 999,999,900
9 CMKM shares (MG 1)
10 4-2 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 09430, 09502, 11270, 11343, 11650, 11712 representing
11 10,843,232 CIM shares (MG 2)
12 4-3 April 5, 2007 email from Bill Frizzell re “bonfied certs” [sic] (MG 3)
13 4-4 December 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 86813 representing 25,979,901 CMKM shares (MG 4)
14
4-5 November 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
15 Glisson re certificate no. 11479 representing 6,656,000 Casavant International
Mining Corporation shares (MG 5)
16
17 4-6 October 19, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 16214 representing 500,000,000 CMKM shares (MG 6-
18 11)
19 4-7 October 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 16214, reallocating 90,000,000 shares from Marco
20 Glisson to 17 individals (MG 12-13A)
21 4-8 October 19, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 16215 representing 500,000,000 CMKM shares (MG 14-
22 22)
23 4-9 November 1, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17601 representing 500,000,000 CMKM shares (MG 23-
24 32)
25 4-10 November 1, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17602 representing 500,000,000 CMKM shares (MG 33-
26 38)
49
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 51 of 127
1 4-11 November 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17602 reallocating 258,000,000 shares from Marco
2 Glisson to 29 individuals and 80 million remaining with Glisson and Thidarat
Tungwongsathong (MG 39-43)
3
4-12 January 25, 2007 1st Global Stock Transfer Letter of Instruction from Marco
4 Glisson re certificate nos. 87477 & 87478 representing 100,000,000 CMKM
shares (MG 44-48)
5
4-13 January 17, 2007 1st Global Stock Transfer Letter of Instruction from Marco
6 Glisson re certificate no. 87325 representing 500,000,000 CMKM shares (MG 49-
54)
7
4-14 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco
8 Glisson re certificate nos. 86597, 86698, 87247 & 87244 representing
3,210,000,000 CMKM shares (MG 55-56)
9
4-15 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco
10 Glisson re certificate nos. 86839, 86940, 16720, 56002, 87149, 87147 & 87146
representing 271,500,000 CMKM shares (MG 57-63)
11
4-16 January 2, 2007 1st Global Stock Transfer Letter of Instruction from Marco
12 Glisson re certificate no. 87044 representing 801,000,000 CMKM shares (MG 64-
69)
13
4-17 December 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
14 Glisson re certificate nos. 73311, 86224, 86840 & 86841 representing 209,000,000
CMKM shares (MG 70-73)
15
4-18 December 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco
16 Glisson re certificate nos. 16465, 16492 & 16133 representing 2,300,000,000
CMKM shares (MG 74-100)
17
4-19 November 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco
18 Glisson re certificate nos. 47006, 47003 & 16569 representing 5,000,000,000
CMKM shares (MG 101-132)
19
4-20 November 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
20 Glisson re certificate nos. 77011, 78567, 80699, 85963 representing 1,107,299,000
CMKM shares (MG 133-157)
21
4-21 October 16, 2006 1st Global Stock Transfer Letter of Instruction from Marco
22 Glisson re certificate no. 16216 representing 600,000,000 CMKM shares (MG
158-166)
23
4-22 November 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco
24 Glisson re certificate nos. 79173, 79784 & 79799 representing 500,000,000
CMKM shares (MG 167-177)
25
5 In the Matter of CMKM Diamonds, Inc. -- Order Dismissing Review Proceeding
26 and Notice of Finality (SEC Rel. No. 52694 / October 28, 2005 / AP-3-11858)
50
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 52 of 127
1 12 December 15, 2005 letter from Judith A. Behrens to Marco Glisson re purchase
and sale of Certificate No. 21447 for 185 million shares of CMKX Diamonds,
2 Inc., to be purchased by and reissued to James L. McQueen (190/436)
3 13 December 19-20, 2005 email string between Jim McQueen and Marco
<delidoghouse@hotmail.com> re: “Thanks for your Patience” (161/436 &
4 162/436)
5 14 December 17, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson (189/436) re certificate no. 21447 representing 250 million shares
6 (189/436)
7 18 December 6, 2005 letter from Samuel H. Seymour to Marco Glisson re sale and
purchase of 30 million shares CMKX Diamonds, Inc. for $15,000.00 (256/436)
8
20 December 15, 2005 email from Marie Loch to <delidoghouse@hotmail.com> re:
9 “our conversation” (160/436)
10 21 December 19, 2005 letter from Robert Loch & Marie Loch to Marco Glisson re
sale and purchase of certificate nos. 30144 and 30145 representing 19,999,998
11 shares of CMKM Diamonds, Inc. for $4,000.00 (183/436)
12 22 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 30144 representing 9,999,999 CMKM shares (166/486)
13
23 March 8, 2006 email from Reg D. Barrow to <delidoghouse@hotmail.com> re:
14 “CMKX wire info” (93/436)
15 24 April 25, 2006 email from Reg D. Barrow to <delidoghouse@hotmail.com> re:
“Stock Sell Purchase Agreement” for sale of 303 million shares CMKM for
16 $US36,000.00 (43/436)
17 25 May 4, 2006 email from Still Waters Revival Books (Reg D. Barrow) to
<delidoghouse@hotmail.com> re: “Stock Sell Purchase Agreement (May 3,
18 2006)” for sale of 401,000,004 shares CMKM for $US68,000.00 (133/436)
19 26 March 29, 2006 email from Steven Brewer to <delidoghouse@hotmail.com> re:
“CMKX CERT” (285/436)
20
27 January 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco
21 Glisson (326/436) re certificate no. 29079 representing 9,999,999 CMKM shares
(326/436)
22
28 March 29, 2006 Blackhawk Community Credit Union Wire Transfer Request in
23 the amount of $46,125.00 from Marco Glisson, account number ##8307 for the
benefit of Steven M. Brewer & Kerry L. Brewer (264/436)
24
29 March 4, 2006 email from Edwin Banks to <delidoghouse@hotmail.com> re:
25 “CMKM certificates” (89/436)
26 30 March 24-25, 2006 email string Email from Edwin Banks to
51
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 53 of 127
17 35-4 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 24677 representing 25,000,000 shares CMKM (MG
18 4/90)
19 35-5 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 23157 representing 77,000,000 shares CMKM (MG
20 5/90)
21 35-6 December 17, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21477 representing 250,000,000 shares CMKM (MG
22 6/90)
23 35-7 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 30145 representing 9,999,999 shares CMKM (MG 7/90)
24
35-8 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco
25 Glisson re certificate no. 30144 representing 9,999,999 shares CMKM (MG 8/90)
26 35-9 December 21, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 19897 representing 50,000,000 shares CMKM (MG
52
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 54 of 127
9/90)
1
35-10 December 30, 2005 1st Global Stock Transfer Letter of Instruction from Marco
2 Glisson re certificate no. 26244 representing 206,191,032 shares CMKM (MG
10/90)
3
35-11 December 30, 2005 1st Global Stock Transfer Letter of Instruction from Marco
4 Glisson re certificate no. 14291 representing 9,999,999 shares CMKM (MG
11/90)
5
35-12 January 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco
6 Glisson re certificate no. 31064 representing 37,000,000 shares CMKM (MG
12/90)
7
35-13 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
8 Glisson re certificate nos. 29085 and 29086 representing 19,999,998 shares
CMKM (MG 13/90)
9
35-14 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
10 Glisson re certificate nos. 29082, 29083, and 29084 representing 29,999,997
shares CMKM (MG 14/90)
11
35-15 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
12 Glisson re certificate nos. 29089, 29090, 29091, 29092, 29093, 29094, and 26073
representing 63,500,010 shares CMKM (MG 15/90)
13
14 35-16 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 29087 representing 9,999,999 shares CMKM (MG
15 16/90)
16 35-17 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 16103 representing 150,000,000 shares CMKM (MG
17 34/90)
18 35-18 February 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17783 representing 405,000,000 shares CMKM (MG
19 35/90)
20 35-19 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 43488 representing 81,000,000 shares CMKM (MG
21 36/90)
22 35-20 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 68992 representing 30,000,000 shares CMKM (MG
23 37/90)
24 35-21 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 58659 representing 10,000,000 shares CMKM (MG
25 38/90)
26 35-22 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 68990 representing 100,000,000 shares CMKM (MG
53
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 55 of 127
39/90)
1
35-23 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
2 Glisson re certificate no. 51068 representing 79,999,985 shares CMKM (MG
40/90)
3
35-24 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
4 Glisson re certificate no. 19671 representing 495,000,000 shares CMKM (MG
41/90)
5
35-25 March 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
6 re certificate no. 51046 representing 40,000,000 shares CMKM (MG 42/90)
7 35-26 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 47953 representing 8,000,000 shares CMKM (MG 43/90)
8
35-27 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
9 re certificate no. 59621 representing 31,099,500 shares CMKM (MG 44/90)
10 35-28 March 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 63228, 73313, 73314, 73315 representing 61,992,285 shares
11 CMKM (MG 45/90)
12 35-29 March 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
13 re certificate no. 24784 representing 250,000,000 shares CMKM (MG 46/90)
14 35-30 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 32761 to 32793 = 33 and 74906 =1 for a total of 34
15 certificates representing 305,000,000 shares CMKM (MG 47/90)
16 35-31 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 74076 representing 22,145,450 shares CMKM (MG
17 48/90)
18 35-32 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 74907 representing 25,000,000 shares CMKM (MG
19 49/90)
20 35-33 March 14, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 68991 representing 50,000,000 shares CMKM (MG
21 50/90)
22 35-34 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 73312 representing 100,000,000 shares CMKM (MG 65/90)
23
35-35 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
24 re certificate no. 78921 representing 10,000,000 shares CMKM (MG 66/90)
25 35-36 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 25169 to 25177 and 25208 to 25238 and 78922 representing
26 401,999,899 shares CMKM (MG 67/90)
54
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 56 of 127
1 35-37 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 76959 representing 250,000,000 shares CMKM (MG 68/90)
2
35-38 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
3 re certificate nos. 25178 to 25190 and 25249 to 25276 and 25355 to 25380 and
25400 to 25430 plus 25635 and 79174 representing 990,499,759 shares CMKM
4 (MG 69/90 & 70/90)
5 35-39 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 62465 representing 46,500,000 shares CMKM (MG 71/90)
6
35-40 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
7 re certificate no. 79785 representing 11,499,759 shares CMKM (MG 72/90)
8 35-41 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 78566 representing 200,000,000 shares CMKM (MG 73/90 &
9 74/90)
10 35-42 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 22270 and 27484 to 27489 and 21710 and 21712 to 21719 and
11 21721 to 21729 and 21732 and 21734 to 21741 and 21720 and 22169 to 22174
representing 401,000,004 shares CMKM (MG 75/90)
12
35-43 May 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
13 re certificate no. 57295 representing 15,000,000 shares CMKM (MG 76/90)
14 35-44 May 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 32794 to 32801 and 32823 and 32825 and 32827 to 32842 and
15 32844 and 32846 to 32850 and 32852 and 33571 representing 303,000,000 shares
CMKM (MG 77/90 & 78/90)
16
36 February 9-10, 2006 email string between Susan O’Connor and
17 <delidoghouse@hotmail.com> re: “CMKX Stocks” (15/436)
18 37 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 49164 representing 85,000,0000 shares CMKM
19 (384/436 & MG 33/90)
20 38 January 12-13, 2006 email string between Stephanie Walker and
<delidoghouse@hotmail.com> re: “10,000,000 Shares of CMKX” (10/436
21 through 12/436)
22 39 May 9, 2006 email string between Warren Dufner and
<delidoghouse@hotmail.com> re: “stock certificates” (128/436)
23
40 April 20-21, 2006 email string between Fred Maltase and
24 <delidoghouse@hotmail.com> re: “certs/New Deal” (40/436 & 41/436)
25 41 March 29, 2006 Stock Sell-Purchase Agreement between Rendal Williams and
Marco Glisson (237/436)
26
55
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 57 of 127
56
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 58 of 127
7 182 February 9-10, 2006 email string with <delidoghouse@hotmail.com> re: “info”
(111/436)
8
183 February 9-10, 2006 email string with <delidoghouse@hotmail.com> re: “CMKX
9 Stocks” (15/436 through 20/436)
57
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 59 of 127
(100/436)
1
196 February 28, 2006 email to <delidoghouse@hotmail.com> re: “Next New Guy”
2 (99/436)
3 197 March 1, 2006 email to <delidoghouse@hotmail.com> re: “CMKX cert” (98/436)
4 198 March 6, 2006 email to <delidoghouse@hotmail.com> re: “CMKX” (97/436)
5 199 March 7, 2006 email to <delidoghouse@hotmail.com> re: “CMKX” (96/436)
6 200 March 8, 2006 email to <delidoghouse@hotmail.com> re: “CMKX WIRE INFO”
(93/436)
7
201 March 10, 2006 email to <delidoghouse@hotmail.com> re: “cmkx shares”
8 (92/436)
9 202 March 12, 2006 email to <delidoghouse@hotmail.com> re: “CMKX” (25/436 &
10 26/436)
14 205 March 25, 2006 email to <delidoghouse@hotmail.com> re: “cmkm 2m” (27/436)
26 214 April 7, 2006 email string with <delidoghouse@hotmail.com> re: “Bank Info”
(81/436)
58
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 60 of 127
5 218 April 11, 2006 email to <delidoghouse@hotmail.com> re: “Transfer Made” and
attachment (37/436 & 38/436)
6
219 April 11, 2006 email to <delidoghouse@hotmail.com> re: “CMKX Shares”
7 (76/436)
10 222 April 15, 2006 email to <delidoghouse@hotmail.com> re: “Per our conversation”
(72/436)
11
223 April 17, 2006 email to <delidoghouse@hotmail.com> re: “CMKX Forever 5”
12 (71/436)
13 224 April 17, 2006 email to <delidoghouse@hotmail.com> re: “per our conversation”
(70/436)
14
225 April 19, 2006 email to <delidoghouse@hotmail.com> re: “info” (69/436)
15
226 April 20-21, 2006 email string with <delidoghouse@hotmail.com> re: “certs/ New
16 Deal” (40/436 & 41/436)
17 227 April 21, 2006 email to <delidoghouse@hotmail.com> re: “(no subject)” (67/436)
18 228 April 21, 2006 email to <delidoghouse@hotmail.com> re: “CMKX Shares for
Mom” (66/436)
19
229 April 21, 2006 email to <delidoghouse@hotmail.com> re: “Wire done on 5 mil”
20 (157/436)
21 230 April 23, 2006 email to <delidoghouse@hotmail.com> re: “CMKX stock”
(156/436)
22
231 April 23, 2006 email to <delidoghouse@hotmail.com> re: “CMKX” (155/436)
23
232 April 25, 2006 email to <delidoghouse@hotmail.com> re: “Wiring Funds”
24 (154/436)
25 233 April 25, 2006 email string with <delidoghouse@hotmail.com> re: “Wiring Funds
/ Bank Info” (44/436 & 45/436)
26
59
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 61 of 127
5 237 April 27, 2006 email to <delidoghouse@hotmail.com> re: “Joe” (48/436 &
49/436)
6
238 April 27, 2006 email to <delidoghouse@hotmail.com> re: “List” (148/436)
7
239 April 28, 2006 email to <delidoghouse@hotmail.com> re: “Deli….It’s
8 Buffet/Personal Info” (147/436)
60
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 62 of 127
4 254 May 3, 2006 email to <delidoghouse@hotmail.com> re: “Last person to sign up!”
(135/436)
5
255 May 3, 2006 email to <delidoghouse@hotmail.com> re: “charsyph deal # 2”
6 (134/436)
61
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 63 of 127
1 270 Marco Glisson profit and loss calculation for transactions involving 37,000,000
shares CMKX from certificate no. 31064 (356/436 through 358/436)
2
271 Marco Glisson profit and loss calculation for transactions involving 29,999,998
3 shares CMKX from certificate nos. 29082, 29083 (359/436 through 362/436)
4 272 Marco Glisson profit and loss calculation for transactions involving 29,999,998
shares CMKX from certificate no. 29080 (322/436 through 324/436)
5
273 Marco Glisson profit and loss calculation for transactions involving 63,500,001
6 shares CMKX from certificate nos. 29089, 29090, 29091, 29092, 29093, 29094,
26073 (371/436 through 374/436)
7
274 Marco Glisson profit and loss calculation for transactions involving 19,999,999
8 shares CMKX from certificate no. 29085, 29086 (367/436 through 370/436)
9 275 Marco Glisson profit and loss calculation for transactions involving 9,999,999
shares CMKX from certificate no. 29087 (349/436 through 352/436)
10
276 Marco Glisson memorandum re cost for 100,000,000 shares CMKX from
11 certificate no. 18128 (363/436 through 366/436)
12 277 Marco Glisson profit and loss calculation for transactions involving 9,999,999
shares CMKX from certificate no. 29088 (332/436)
13
278 Marco Glisson profit and loss calculation for transactions involving 9,000,000
14 shares CMKX from certificate no. 27006 (328/436 through 331/436)
15 279 Marco Glisson profit and loss calculation for transactions involving 9,999,999
shares CMKX from certificate no. 29079 (325/436 through 327/436)
16
280 Marco Glisson profit and loss calculation for transactions involving 3,000,000
17 shares CMKX from certificate no. 42458 (315/436 through 318/436)
18 281 Marco Glisson memorandum regarding transfer of 250,000,000 CMKM shares
from Alma Padilla to Marco Glisson at no charge (175/436 through 179/436)
19
282 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
20 Glisson re certificate no. 51105 representing 55,000,000 CMKM shares (435/436)
21 283 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 46959 representing 11,500,000 CMKM shares (411/436)
22
284 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
23 Glisson re certificate no. 19671 representing 495,000,000 CMKM shares
(398/436)
24
285 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
25 re certificate no. 47953 representing 8,000,000 CMKM shares (428/436)
26 286 March 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
62
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 64 of 127
18 296 April 14, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 78568 representing 5,000,000 CMKM shares (424/436)
19
297 April 21, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
20 re certificate no. 47049 representing 50,000,000 CMKM shares (432/436)
21 298 April 21, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 77833 representing 50,000,000 CMKM shares (431/436)
22
299 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
23 re changes to allocations from certificate no. 78566 (423/436)
24 300 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 59621 representing 31,099,500 CMKM shares (408/436)
25
307 December 27, 2006 letter from Leor Zolman re CMKM stock certificates # 31064
26 and 14291 (251/436)
63
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 65 of 127
1 308 December 30, 2005 letter from Steven M. Brewer re CKMK stock certificates #
26973, 29082 through 29094 (309/436)
2
309 January 24, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Eiji
3 Toda and Sakae Toda re CMKM certificate nos. 21183, 31759, and 42453
representing 15,000,000 shares CMKM, and also 75,000 shares Casavant
4 International Mining (“CIM”) (252/436)
5 310 January 29, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Donald Gardner re 85,000,000 shares CMKM and 928,520 shares CIM (217/436)
6
311 February 2, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
7 Donald Gardner re 85,000,000 shares CMKM represented by certificates no.
49164 and 928,250 shares CIM (243/436)
8
312 February 7, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Eric
9 Bever re 55,000,000 shares CMKM represented by certificate no. 51105 and
828,160 shares CIM, and attached Bank and Account Wiring Instructions
10 Information (281/436 & 282/436)
11 313 February 9, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Shamsunder Gatupa and Ravitha Lingampally re 150,000,000 shares CMKM
12 represented by certificate no. 16103 and 3,800,000 shares CIM, attached Bank and
Account Wiring Instructions Information, and CKMK certificate no. 16103
13 (275/436 through 278/436)
14 314 February 15, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Thomas More Spencer and Laurae Valentine re 200,000,000 shares CMKM from
15 certificate no. 17783 (representing 405,000,000 shares) and right for Glisson to
sell the additional 205,000,000 shares and/or CIM and/or Entourage shares
16 (230/436)
17 315 February 21, 2006 letter from George Delo re CMKM certificate no. 58659
(253/436)
18
316 February 24, 2006 letter from Perry Hampton re CMKM certificate no. 51046
19 (271/436)
20 317 February 24, 2006 letter from Jeff Finerman re CMKM certificate no. 43488
(267/436)
21
318 February 27, 2006 letter from Dwayne L. Wells re CMKM certificate no. 59621
22 (272/436)
23 319 February 27, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Thomas More Spencer and Laurae Valentine re 495,500,000 shares CMKM
24 represented by certificate no. 19671 and attached Bank and Account Wiring
Instructions Information (283/436 & 284/436)
25
320 March 1, 2006 letter from Christopher Cook re CMKM certificate no. 47953
26 (273/436)
64
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 66 of 127
1 321 March 3, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Charles Rose re 12,500,000 shares CMKM represented by certificate nos. 48968
2 and 48969 (255/436)
3 322 March 8, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Reginald D. Barrow re 297,000,000 shares CMKM represented by certificates nos.
4 32761 to 32973 (33 certificates) and duplicate letter with handwritten number
“780 468-1096” (242/436 & 274/436)
5
323 March 23, 2006 letter from Jeff Finerman re CMKM certificate no. 23069 and
6 CIM certificate no. 7358 (241/436)
7 324 March 26, 2006 letter from Scott Kinelski re CMKM certificate no. 53297
(240/436)
8
325 March 29, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
9 Rendal Williams re CMKM stock certificate nos. 24954 to 24983 and 2500, 25002
to 25010 (237/436)
10
326 April 5, 2006 letter from Jeff Finerman re CMKM certificate no. 23061 and CIM
11 certificate no. 7357 (238/436)
12 327 April 5, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Rendal
Williams re CMKM stock certificate nos. 25011 to 25030 and 25159 to 25168
13 (220/436)
14 328 April 13, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Rendal Williams re CMKM stock certificate nos. 25292 to 25321 and 25169 to
15 25177 and 25208 to 25238 (228/436)
16 329 April 25, 2006 Stock Sell-Purchase Agreement between Marco Glisson and
Reginald D. Barrow re 303,000,000 shares CMKM represented by 34 certificates
17 (225/436)
18 330 May 1, 2006 letter from Leor Zolman re CMKM stock certificate no. 62465
(234/436)
19
343 Account Card and related documents for Marco Glisson at Blackhawk Community
20 Credit Union, Account No. ##7650 (“7650 Account”) (4782-4786
21 344 Monthly Account Statements, 7650 Account, Blackhawk Community Credit
Union for the period from May 11, 2006 through March 31, 2007 (1149-1179)
22
345 Wire transfer detail for 7650 Account (1349-1693)
23
346 Money orders purchased from 7650 Account payable to 1st Global Stock Transfer
24 (1283-1284, 1288-1297, 1300-1304, 1306, 1309-1311, 1320, 1330-1334)
25 350 Certificate of Irrevocable Trust for “The Marco Glisson 2006 Irrevocable Trust”
(4821-4835)
26
65
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 67 of 127
1 352 Checks drawn on 7650 Account at Blackhawk Community Credit Union (1281-
1311)
2
386 Form SS-4, Application for Employer Identification Number for The Marco
3 Glisson 2006 Irrevocable Trust, signed by Marco Glisson, dated May 11, 2006
(4836)
4
389 May 30, 2006 check from Baird payable to Marco Glisson, 3823 Tamiami Trl E #
5 567, Naples FL 34112 (4850xlvi)
6 390 March 4, 2006 CMKM Certificate No. 74906 issued to Marco Glisson, for
8,000,000 shares CMKM common stock (4844)
7
391 March 4, 2006 CMKM Certificate No. 74976 issued to Marco Glisson for
8 22,145,450 shares CMKM common stock (4845)
9 392 January 1, 2006 CMKM Certificate No. 42458 issued to Marco Glisson for
3,000,000 shares CMKM common stock (4846)
10
393 January 12, 2006 CMKM Certificate No. 47018 issued to Marco Glisson for
11 80,000 shares CMKM common stock (4847)
12 394 January 12, 2006 CMKM Certificate No. 47019 issued to Marco Glisson for
8,000,000 shares CMKM common stock (4848)
13
395 January 19, 2006 CMKM Certificate No. 49892 issued to Marco Glisson for 7
14 shares CMKM common stock (4849)
15 400 Certified Copy of Current Report on Form 8-K dated February 5, 2004, received
by the Commission on March 14, 2005 under the name CMKM Diamonds, Inc.,
16 File No. 333-53808, pursuant to the provisions of the Securities Exchange Act of
1934 (numbered 1-28)
17
401 March 3, 2005 Order of Suspension of Trading issued by the Securities and
18 Exchange Commission In the Matter of CMKM Diamonds, Inc. a/k/a Casavant
Mining Kimberlite International, Inc. (1 page)
19
403 March 16, 2005 Order Instituting Administrative Proceeding and Notice of
20 Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, issued
by the Securities and Exchange Commission In the Matter of CMKM Diamonds,
21 Inc., Respondent (3 pages)
22 404 July 12, 2005 Initial Decision in the administrative proceeding captioned In the
Matter of CMKM Diamonds, Inc. (14 pages)
23
405 October 28, 2005 Order in the administrative proceeding captioned In the Matter
24 of CMKM Diamonds, Inc. (1 page)
25 407 December 9, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21477 representing 30,000,000 CMKM shares
26 (08cv437-CMKM-0064552)
66
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 68 of 127
1 408 December 30, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21477 representing 9,999,999 CMKM shares
2 (08cv437-CMKM-0068379)
3 409 December 30, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 26244 representing 206,191,032 CMKM shares
4 (08cv437-CMKM-0068380)
5 410 December 21, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 19897 representing 50,000,000 CMKM shares
6 (08cv437-CMKM-0070719)
7 411 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 27391 representing 27,000,000 CMKM shares
8 (08cv437-CMKM-0072777)
9 412 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 18128 representing 100,000,000 CMKM shares
10 (08cv437-CMKM-0072778)
11 413 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 27006 representing 9,000,000 CMKM shares
12 (08cv437-CMKM-0072779)
13 414 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 29087 representing 9,999,999 CMKM shares
14 (08cv437-CMKM-0074884)
15 415 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 29089, 29090, 29091, 29092, 29093, 29094 and 26073
16 representing 9,999,999 CMKM shares (08cv437-CMKM-0074913)
17 416 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 29085 and 29086 representing 9,999,999 CMKM shares
18 (08cv437-CMKM-0074914)
19 417 January 17, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 27627 representing 96,067,000 CMKM shares
20 (08cv437-CMKM-0074915)
21 418 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 29082, 29083 and 29084 representing 9,999,999
22 CMKM shares (08cv437-CMKM-0074916)
23 419 January 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 31064 representing 37,000,000 CMKM shares
24 (08cv437-CMKM-0077352)
25 420 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 24677 representing 25,000,000 CMKM shares
26 (08cv437-CMKM-0077358)
67
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 69 of 127
1 421 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 22564 representing 5,880,000 CMKM shares
2 (08cv437-CMKM-0077359)
3 422 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 27582 representing 14,254,314 CMKM shares
4 (08cv437-CMKM-0077360)
5 423 December 17, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21477 representing 250,000,000 CMKM shares
6 (08cv437-CMKM-0077361)
7 424 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 23157 representing 77,000,000 CMKM shares
8 425(08cv437-CMKM-0077362)
9 425 December 21, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 31158 representing 5,000,000 CMKM shares
10 (08cv437-CMKM-0077375)
11 426 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 14755 representing 100,000,000 CMKM shares
12 (08cv437-CMKM-0077376)
13 427 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 22351 representing 50,000,000 CMKM shares
14 (08cv437-CMKM-0077377)
15 428 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17189 representing 50,000,000 CMKM shares
16 (08cv437-CMKM-0077378)
17 429 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 30145 representing 9,999,999 CMKM shares
18 (08cv437-CMKM-0077379)
19 430 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 30144 representing 9,999,999 CMKM shares
20 (08cv437-CMKM-0077380)
21 431 December 21, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 19244 representing 50,000,000 CMKM shares
22 (08cv437-CMKM-0077381)
23 432 December 17, 2005 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21477 representing 250,000,000 CMKM shares
24 (08cv437-CMKM-0077630)
25 433 January 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 42458 representing 3,000,000 CMKM shares
26 (08cv437-CMKM-0080562)
68
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 70 of 127
1 434 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 29088 representing 9,999,999 CMKM shares
2 (08cv437-CMKM-0080563)
3 435 January 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 47019 representing 9,999,999 CMKM shares
4 (08cv437-CMKM-0080564)
5 436 January 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 29079 representing 9,999,999 CMKM shares
6 (08cv437-CMKM-0080565)
7 437 January 30, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 47018, 49890, 49891 and 49892 representing
8 159,647,008 CMKM shares (08cv437-CMKM-0080660)
9 438 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 29080 representing 9,999,999 CMKM shares (08cv437-
10 CMKM-0080661)
11 439 February 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 47020 representing 40,000 CMKM shares (08cv437-
12 CMKM-0084937)
13 440 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 49164 representing 85,000,000 CMKM shares
14 (08cv437-CMKM-0084938-9)
15 441 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 16103 representing 150,000,000 CMKM shares
16 (08cv437-CMKM-0084940)
17 442 February 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 51413 representing 7,000,000 CMKM shares
18 (08cv437-CMKM-0087474)
19 443 February 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17783 representing 405,000,000 CMKM shares
20 (08cv437-CMKM-0088815)
21 444 February 22, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 17783 representing 20,000,000 CMKM shares
22 (08cv437-CMKM-0088816)
23 445 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 51105 representing 55,000,000 CMKM shares
24 (08cv437-CMKM-0091894-5)
25 446 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 46959 representing 11,500,000 CMKM shares
26 (08cv437-CMKM-0091896)
69
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 71 of 127
1 447 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 47953 representing 8,000,000 CMKM shares (08cv437-CMKM-
2 0093379)
3 448 March 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 51046 representing 40,000,000 CMKM shares (08cv437-
4 CMKM-0093380)
5 449 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 59621 representing 31,099,500 CMKM shares (08cv437-
6 CMKM-0093381)
7 450 March 1, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 19671 representing 495,000,000 CMKM shares
8 (08cv437-CMKM-0095182)
9 451 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 19671 representing 495,000,000 CMKM shares
10 (08cv437-CMKM-0095183)
11 452 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 51068 representing 79,999,985 CMKM shares
12 (08cv437-CMKM-0095184)
13 453 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 51068 representing 79,999,985 CMKM shares
14 (08cv437-CMKM-0095185)
15 454 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 68992 representing 30,000,000 CMKM shares
16 (08cv437-CMKM-0095187)
17 455 February 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 58659 representing 10,000,000 CMKM shares
18 (08cv437-CMKM-0095188)
19 456 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 68990 representing 100,000,000 CMKM shares
20 (08cv437-CMKM-0095189-90)
21 457 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 43488 representing 81,000,000 CMKM shares
22 (08cv437-CMKM-0095191)
23 458 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate representing 500,000 CMKM shares (08cv437-CMKM-0095192)
24
459 April 6, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
25 re certificate nos. 25011 to 25030, 25159 to 25168, 77834 and 77815 representing
316,999,929 CMKM shares (08cv437-CMKM-0099340)
26
70
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 72 of 127
1 460 April 6, 2006 email from delidoghouse@hotmail.com to leslie at 1st Global Stock
Transfer Letter re: Second Change for Cert. No. 23061 Just Came Late Night
2 (08cv437-CMKM-0099341)
3 461 April 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 23061 representing 275,000,000 CMKM shares (08cv437-
4 CMKM-0099342)
5 462 March 31, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 24954 to 24983 and 25000 to 25010 representing
6 409,999,959 CMKM shares (08cv437-CMKM-0099906)
7 463 March 31, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 53297 representing 100,000,000 CMKM shares
8 (08cv437-CMKM-0099921)
9 464 March 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 42453 representing 5,000,000 CMKM shares
10 (08cv437-CMKM-0099922)
11 465 March 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 21183 representing 5,000,000 CMKM shares
12 (08cv437-CMKM-0099923)
13 466 March 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 31759 representing 5,000,000 CMKM shares
14 (08cv437-CMKM-0099924)
15 467 March 29, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 23069 representing 250,000,000 CMKM shares
16 (08cv437-CMKM-0099925)
17 468 April 4, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 23069 representing 250,000,000 CMKM shares
18 (08cv437-CMKM-0099926)
19 469 March 13, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 068991 representing 15,000,000 CMKM shares
20 (08cv437-CMKM-0100814)
21 470 March 14, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 068991 representing 50,000,000 CMKM shares
22 (08cv437-CMKM-0101120)
23 471 March 30, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 74907 representing 25,000,000 CMKM shares
24 (08cv437-CMKM-0101161)
25 472 March 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 63228, 73313, 73314 and 73315 representing 61,992,285
26 CMKM shares (08cv437-CMKM-0101382)
71
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 73 of 127
1 473 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate nos. 32761, 32762, 32763, 32764, 32765, 32766, 32767,
2 32768, 32769, 32770, 32771, 32772, 32773, 32774, 32775, 32776, 32777, 32778,
32779, 32780, 32781, 32783, 32784, 32785, 32786, 32787, 32788, 32789, 32790,
3 32791, 32792, 32793 and 74906 representing 305,000,000 CMKM shares
(08cv437-CMKM-0101565)
4
474 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco
5 Glisson re certificate no. 74076 representing 22,145,450 CMKM shares
(08cv437-CMKM-0101566)
6
475 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
7 re certificate nos. 25292 to 25321 and 78569 representing 301,999,899 CMKM
shares (08cv437-CMKM-0102882)
8
476 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
9 re certificate nos. 25292 to 25321 representing 316,999,929 CMKM shares
(08cv437-CMKM-0102883)
10
477 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
11 re certificate no. 78570 representing 25,000,000 CMKM shares
(08cv437-CMKM-0102927)
12
478 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
13 re certificate nos. 25169 to 25177, 25208 to 25238 and 78922 representing
401,999,899 CMKM shares (08cv437-CMKM-0103324)
14
479 April 21, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
15 re certificate no. 47049 representing 50,000,000 CMKM shares (08cv437-
CMKM-0103340)
16
480 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
17 re certificate no. 73312 representing 100,000,000 CMKM shares (08cv437-
CMKM-0103341)
18
481 April 21, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
19 re certificate no. 77833 representing 50,000,000 CMKM shares (08cv437-
CMKM-0103342)
20
482 April 14, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
21 re certificate no. 78568 representing 5,000,000 CMKM shares (08cv437-CMKM-
0103343)
22
483 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
23 re certificate nos. 25178 to 25190, 25249 to 25276, 25355 to 25380, 25400 to
25430, 25635 and 79174 representing 990,499,759 CMKM shares (08cv437-
24 CMKM-0104486-7)
25 484 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 76959 representing 250,000,000 CMKM shares (08cv437-
26 CMKM-0104493)
72
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 74 of 127
1 485 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 78566 representing 200,000,000 CMKM shares (08cv437-
2 CMKM-0105731-2)
3 486 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 78566 representing 200,000,000 CMKM shares (08cv437-
4 CMKM-0105733)
5 487 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 062465 representing 46,500,000 CMKM shares (08cv437-
6 CMKM-0105734)
7 488 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate nos. 22270, 27484 to 27489, 21710, 21712 to 21719, 21721 to
8 21729, 21732, 21734 to 21741, 21720 and 22169 to 22174 representing
401,000,004 CMKM shares (08cv437-CMKM-0105867)
9
489 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
10 re certificate no. 79785 representing 11,499,759 CMKM shares (08cv437-
CMKM-0105888)
11
490 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
12 re certificate nos. 25178 to 25190, 25249 to 25276, 25355 to 25380, 25400 to
25430, 25635 and 79174 representing 990,499,759 CMKM shares (08cv437-
13 CMKM-0105894)
14 491 May 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 57295 representing 15,000,000 CMKM shares (08cv437-
15 CMKM-0107035)
16 492 May 13, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 57295 representing 15,000,000 CMKM shares (08cv437-
17 CMKM-0107862)
18 493 May 22, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 81309 representing 303,000,000 CMKM shares (08cv437-
19 CMKM-0109236)
20 494 May 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson
re certificate no. 81308 representing 58,000,000 CMKM shares (08cv437-
21 CMKM-0109237)
22 495 October 10, 2006 note from Marco Glisson to 1st Global Stock Transfer re:
Patricia D. Kalous certificate representing 58,000,000 CMKM shares (08cv437-
23 CMKM-0109238)
24 496 September 12, 2007 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 64550 representing 150,000,000 CMKM shares
25 (08cv437-CMKM-0109907)
26 497 September 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco
Glisson re certificate no. 89596 representing 58,000,000 CMKM shares
73
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 75 of 127
(08cv437-CMKM-0109912)
1
498 September 14,2 006 letter from Marco Glisson to 1st Global Stock Transfer
2 (08cv437-CMKM-0109902)
3 499 May 16, 2006 email from delidoghouse to Leslie at 1st Global Stock Transfer re:
2 return certs wed 5/17/06 (08cv437-CMKM-0107861)
4
503 January 19, 2007 1st Global Stock Transfer Letter of Instruction from Marco
5 Glisson re certificate no. 87523 representing 7,677,750,000 CMKM shares (no
bates number, one page)
6
515 Letter from SEC (Leslie A. Hakala) to Marco Glisson dated June 12, 2006 Re: In
7 the Matter of CMKM Diamonds, Inc. LA-3028, enclosing among other things,
SEC Form 1662 (5-04)-
8
518 Letter from the SEC (Leslie A. Hakala) to Marco Glisson dated March 15, 2007
9 Re: In the Matter of CMKM Diamonds, Inc. LA-3028, enclosing among other
things, SEC Form 1662 (5-04)
10 523 CMKM (Casavant Mining Kimberlite International, Inc.) Registration Statement
on Form 15 filed with the SEC pursuant to Section 12(g) of the Securities
11 Exchange Act of 1934 (Commission File No. 000-30551)
12 527 CMKM stock certificate No. 7527 dated January 19, 2007 for 7,000,000,000
shares registered to Thidarat Tungwongsathong
13
533 SEC Complaint in this Action SEC v. Marco Glisson, Case No. 2:09-cv-00104-
14 LDG-GWF
15
16 (b) As to the following additional exhibits the parties have reached
17 stipulations stated:
18
19 Exhibit Description Stipulation
No.
20 141 Declaration of Marco Glisson in Support of Stipulate to authenticity but not
His Opposition to SEC’s Motion for admissibility
21 Summary Judgment, dated November 13,
2009 (no bates number, 28 pages)
22
510 SEC General Release (guidance) on the Plaintiff stipulates to authenticity
23 Dealer-Trader Distinction, SEC Securities but not admissibility; object that
Exchange Act Release No. 46,745, 78 SEC lack of foundation and relevance
24 Docket, 2143 (2002)
516 SEC Enforcement Manual Plaintiff has not seen the particular
25 document being offered by
defendant, but will likely stipulate
26 to the authenticity of its manual;
however, plaintiff reserves
74
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 76 of 127
75
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 77 of 127
76
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 78 of 127
77
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 79 of 127
78
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 80 of 127
CMKM0065086, 088-90)
1
70 March 1, 2007 Bank of America deposit Authenticity, no foundation,
2 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
3 $80,300.00 (SEC-LA-3028- the complaint
CMKM0065136-47)
4
71 March 5, 2007 Bank of America deposit Authenticity, no foundation,
5 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
6 $40,085.00 (SEC-LA-3028- the complaint
CMKM0065148-73)
7
72 March 12, 2007 Bank of America deposit Authenticity, no foundation,
8 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
9 $9,550.00 (SEC-LA-3028- the complaint
CMKM0065174-78)
10
73 March 12, 2007 Bank of America deposit Authenticity, no foundation,
11 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
12 $15,122.93 (SEC-LA-3028- the complaint
CMKM0065179-81)
13
74 March 12, 2007 Bank of America deposit Authenticity, no foundation,
14 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
15 $21,930.50 (SEC-LA-3028- the complaint
CMKM0065182-200)
16
75 Bank statement for BofA 3830 Account Authenticity, no foundation,
17 and BofA 9145 Account for the period 03- hearsay, relevancy, vague and
14-07 through 04-11-07 (SEC-LA-3028- ambiguous and beyond scope of
18 CMKM0064882-86) the complaint
19 76 March 15, 2007 Bank of America deposit Authenticity, no foundation,
20 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
21 $81,798.50 (SEC-LA-3028- the complaint
CMKM0065201-13)
22 77 March 29, 2007 Bank of America deposit Authenticity, no foundation,
23 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
24 $18,215.00 (SEC-LA-3028- the complaint
CMKM0065216-26)
25
78 April 6, 2007 Bank of America deposit Authenticity, no foundation,
26 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
79
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 81 of 127
80
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 82 of 127
into BofA 9145 Account in the amount of ambiguous and beyond scope of
1 $3,150.00 (SEC-LA-3028- the complaint
CMKM0065268-70)
2
88 April 26, 2007 Bank of America deposit Authenticity, no foundation,
3 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
4 $7,750.00 (SEC-LA-3028- the complaint
CMKM0065271-75, 77-81, 83-84)
5
89 May 11, 2007 Bank of America deposit Authenticity, no foundation,
6 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
7 $7,500.00 (SEC-LA-3028- the complaint
CMKM0065285-86)
8
90 June 26, 2007 Bank of America deposit Authenticity, no foundation,
9 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
10 $1,100.00 (SEC-LA-3028- the complaint
CMKM0065303-06)
11
91 June 15, 2007 Bank of America deposit Authenticity, no foundation,
12 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
13 $4,050.00 (SEC-LA-3028- the complaint
CMKM0065296-98)
14
92 June 27, 2007 Bank of America deposit Authenticity, no foundation,
15 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
16 $7,100.00 (SEC-LA-3028- the complaint
CMKM0065307-09)
17
93 July 2, 2007 Bank of America deposit Authenticity, no foundation,
18 ticket and related documents for deposit hearsay, relevancy, vague and
into BofA 9145 Account in the amount of ambiguous and beyond scope of
19 $2,445.00 (SEC-LA-3028- the complaint
CMKM0065310-15)
20
21 95 April 30, 2010 email string between Aaron Authenticity, foundation,
at Transfer Online and Kevin West at relevancy, hearsay, vague and
22 CMKM Diamonds re: “Transfer request ambiguous, beyond the scope of
over 500 million” (OST 00228-9) the Complaint (admissibility if any
23 should be limited solely to
reasonable likelihood of future
24 violations)
96 May 11, 2010 email string between Aaron Authenticity, foundation,
25 at Transfer Online and Kevin West at relevancy, hearsay, vague and
CMKM Diamonds re: “cert #87527 for 7 ambiguous, beyond the scope of
26 billion shares” (OST 00274) the Complaint (admissibility if any
should be limited solely to
81
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 83 of 127
82
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 84 of 127
83
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 85 of 127
84
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 86 of 127
1 137 July 26 through July 30, 2010 email Foundation, relevancy, hearsay,
exchange among Aaron White and others beyond the scope of the Complaint
2 at Transfer Online, “Desperado,” and Deli (admissibility if any should be
Dog (OST 00157-00163) limited solely to reasonable
3 likelihood of future violations)
138 July 29, 2010 email from Wanda Isenhour Foundation, relevancy, hearsay,
4 to Aaron White at Transfer Online, cc’d to beyond the scope of the Complaint
<delidoghouse@hotmail.com> re: (admissibility if any should be
5 “Conversation Between Haley & Sheila limited solely to reasonable
Regarding CMKM Shares” (OST 00124- likelihood of future violations)
6 00135)
7 140 Production by Marco Glisson on January Foundation, relevancy, hearsay,
11, 2011 of emails to beyond the scope of the Complaint
8 <delidoghouse@hotmail.com> regarding (admissibility if any should be
CMKM shares transactions in 2010 limited solely to reasonable
9 (numbered A341-A499) likelihood of future violations)
10 142 April 20, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
transaction invoice billed to Marco Glisson beyond the scope of the Complaint
11 relating to reissuance of 303,000,000 (admissibility if any should be
CMKM shares (OST 00903-04) limited solely to reasonable
12 likelihood of future violations)
13 143 April 21, 2010 Transfer Online Letter of Foundation, relevancy, hearsay,
Instruction re certificate no. T 1054 beyond the scope of the Complaint
14 representing 303,000,000 shares CMKM (admissibility if any should be
(OST 00905-08) limited solely to reasonable
15 likelihood of future violations)
144 April 23, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
16 transaction invoice billed to Marco Glisson beyond the scope of the Complaint
relating to reissuance of 100,000,000 (admissibility if any should be
17 CMKM shares (OST 00926) limited solely to reasonable
likelihood of future violations)
18
145 April 23, 2010 Transfer Online Letter of Foundation, relevancy, hearsay,
19 Instruction re certificate no. T 1078 beyond the scope of the Complaint
representing 100,000,000 shares CMKM (admissibility if any should be
20 (OST 00927-929) limited solely to reasonable
likelihood of future violations)
21 146 April 23, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
22 transaction invoice billed to Marco Glisson beyond the scope of the Complaint
relating to reissuance of 100,000,000 (admissibility if any should be
23 CMKM shares (OST 00921) limited solely to reasonable
likelihood of future violations)
24 147 April 23, 2010 Transfer Online Letter of Foundation, relevancy, hearsay,
Instruction re certificate no. T 1132 beyond the scope of the Complaint
25 representing 100,000,000 shares CMKM (admissibility if any should be
(OST 00922-23) limited solely to reasonable
26 likelihood of future violations)
85
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 87 of 127
4 149 September 16, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
transaction invoice billed to Thidarat beyond the scope of the Complaint
5 Tungwongsathong relating to reissuance of (admissibility if any should be
1,000,000,000 CMKM shares (OST limited solely to reasonable
6 01721-23) likelihood of future violations)
7 150 September 24, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
transaction invoice billed to Thidarat beyond the scope of the Complaint
8 Tungwongsathong relating to reissuance of (admissibility if any should be
1,000,000,000 CMKM shares and related limited solely to reasonable
9 documents (OST 01565-01578) likelihood of future violations)
10 151 September 14, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
transaction invoice billed to Thidarat beyond the scope of the Complaint
11 Tungwongsathong relating to reissuance of (admissibility if any should be
2,007,000,000 CMKM shares and related limited solely to reasonable
12 documents (OST 01705-01720) likelihood of future violations)
13 152 August 30, 2010 Transfer Online, Inc. Foundation, relevancy, hearsay,
transaction invoice billed to Thidarat beyond the scope of the Complaint
14 Tungwongsathong relating to reissuance of (admissibility if any should be
744,000,000 CMKM shares (OST 01613- limited solely to reasonable
15 01615) likelihood of future violations)
86
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 88 of 127
87
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 89 of 127
88
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 90 of 127
89
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 91 of 127
90
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 92 of 127
91
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 93 of 127
92
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 94 of 127
93
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 95 of 127
94
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 96 of 127
12 501 April 30, 2007 letter from Bob Carmichael, Authenticity, no foundation,
Director, Internal Audit, Blackhawk hearsay, no notice and/or
13 Community Credit Union to Finola opportunity to cross examine for
Manvelian, SEC, with attachments (3 purposes of trial
14 pages)
95
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 97 of 127
96
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 98 of 127
current date
1
514 “Thank You” letters from recipients of Authenticity, foundation, hearsay,
2 shares of CMKM stock donated or relevance; failure to identify or
otherwise gifted by Glisson Trust to such produce during discovery
3 persons
517 E-Mail communications from Bill Frizzell Authenticity; foundation;
4 dated April 5, 2007 re: bonfied certs relevance
5 520 Sept. 2006 CMKM Stock Sales (Chart) By Authenticity; foundation; hearsay;
Marco Glisson completeness
6 522 List of persons who received free shares of Authenticity; foundation; hearsay;
CMKM stock from Marco Glisson (starting relevance
7 with Patricia D. Kalous who received
47,000,000 shares for free).
8
528-532 Glisson summary exhibits/charts (to be All objections reserved
9 developed after Glisson receives Plaintiff’s
summary exhibits)
10 534 Trading Information for CMKM Stock Authenticity; foundation; hearsay;
OTC Pink Sheets During 2002-2007 Period relevance; document not produced
11 by defendant
12 535 Stock Transfer Information Re CMKM Authenticity; foundation; hearsay;
from 1st Global Stock Transfer for 2005- relevance; document not produced
13 2007 Period by defendant
14 536 Published article on “Day Trading” Document not produced by
defendant, all objections reserved
15
16 (d) Depositions:
17 (1) Plaintiff will offer the following depositions, if the witnesses
18 are not otherwise available for live testimony: (Indicate the name of deponent and
19 identify portions to be offered by pages and lines and the party or parties against
20 whom offered)
21 Thidarat Tungwongsathong (offered against defendant Glisson)
22 4:22-5:21
23 6:10-21
24 7:12-8:14
25 10:12-14
26 12:23-13:4
97
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 99 of 127
1 16:17-22:6
2 25:10-14
3 26:6-21
4 27:11-28:1
5 34:8-19
6 38:19-23
7 39:19-40:2
8 40:8-19
9 42:15-17; 42:22-43:4
10 45:5-13
11 46:1-11
12 49:5-13
13 50:5-11
14 54:10-55:9
15 57:16-24
16 58:1-20
17 60:2-61:6
18 66:5-6; 66:9-11; 66:24-67:4
19 70:16-71:4
20 78:13-16
21 83:9-10; 83:13-19
22 88:9-13
23 93:10-19
24 95:4-21; 95:24-96:9
25 98:3-7
26 109:13-21
98
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 100 of 127
1 110:22-111:6
2 112:9-19; 112:21-113:18
3 115:2-7; 115:10-15; 115:18-116:22
4 118:15-21
5 119:14-20
6 121:5-123:9
7 123:21-125:3; 125:7-8
8 130:12-132:23
9 137:17-139:24
10 141:21-22
11 142:5-17
12 144:11-20
13 148:10-14
14 149:4-13; 149:15-150:1
15 150:17-151:11
16 154:13-155:11; 155:12-156:12
17 159:2-8
18 160:22-161:13
19 162:13-22
20 163:4-7; 163:14-25
21 164:2-3; 164:14-165:4
22 166:10-167:4
23 168:12-19
24 179:22-180:8
25 181:8-21
26 202:11-203:10
99
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 101 of 127
1 213:2-23
2 216:25-217:15
3 224:22-225:21
4 233:13-234:7
5 237:7-20
6
7 Jason Perry (offered against defendant Glisson)
8 3:20-4:21
9 10:1-15
10 11:12-25
11 12:11-13:18
12 17:4-18
13 18:6-21
14 21:25-23:7
15 24:4-10; 24:19-25:13
16 26:3-8
17 27:6-28:9
18 30:16-24
19 31:23-32:11
20 33:8-19; 33:25-35:6
21 35:13-36:19
22 36:23-37:4
23 38:8-23
24 39:1-24
25 40:1-2; 40:6-11; 40:15-22; 40:25
26 41:4-42:15
100
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 102 of 127
1 42:24-43:12
2 43:16-22
3 44:2-7; 44:12-45:11
4 46:5-9
5 47:7-10
6 48:6-11
7 49:22-50:3
8 51:2-5; 51:15-20
9 53:4-5; 53:8-10; 53:12-14
10 54:9-13
11 55:1-3
12 57:7-58:3
13 58:6-9
14 59:25-60:14
15 60:20-23
16 61:1-22
17 63:19-23
18 64:1-14
19 65:3-66:5
20 66:10-15
21 78:15-24
22 84:2-20
23 113:3-24
24 115:12-116:14; 116:20-117:9
25 122:24-123:7; 123:20-124:11
26 126:13-20; 126:23-25
101
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 103 of 127
1 127:8-20
2 128:3-6
3 129:2-8
4 130:9-14
5 154:14-19
6 166:14-16
7 174:3-5; 174:7-20
8 181:8-15
9 188:3-190:9
10 197:22-198:7
11 199:15-200:2
12 203:16-204:1
13 205:9-13
14 209:3-19
15
16 Aaron White (offered against defendant Glisson)
17 6:1-18
18 8:21-9:21
19 11:24-12:21
20 13:4-9
21 14:3-9
22 15:2-21
23 16:6-18:6
24 19:17-20:24
25 21:1-22:7
26 24:11-25:25
102
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 104 of 127
1 27:15-28:23
2 29:7-30:15
3 32:11-33:22
4 34:19-25
5 35:9-25
6 36:9-37:14
7 40:24-41:20
8 41:24-42:21
9 46:15-24
10 47:2-3; 47:5-7; 47:11-20; 47:22-48:14
11 48:17-20; 48:22; 48:25-49:8
12 49:10-13; 49:16-17; 49:19; 49:22-24
13 50:1-4; 50:6-12; 50:15-52:11
14 52:13-24
15 53:2-5; 53:7-17; 53:19
16 54:1-55:15
17 59:10-24
18 60:2-7; 60:10-16; 60:19-22
19 61:13-16; 61:19
20 62:2-63:16
21 65:11-24
22 78:22-79:13
23 79:20-80:11
24 80:22-81:8
25 81:10-14
26 82:1-9; 82:11-14; 82:17-20; 82:23-83:6
103
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 105 of 127
1 83:6; 83:8
2 85:1-8
3 86:18-87:7
4 88:7-89:18
5 89:21
6 104:15-18; 104:20-105:8
7 112:21-113:20
8
9 (2) Defendant will offer the following depositions: (Indicate the
10 name of deponent and identify portions to be offered by pages and lines and the
11 party or parties against whom offered)
12 Thidarat Tungwongsathong (1-10-11)
13 5: 12-13
14 16: 23-24 (Exhibit 47)
15 19: 23-25 (Exhibit 49)
16 20: 6-20
17 20: 24-25; 21:1-13
18 26: 6-23
19 27: 11-25; 28:1 Exhibit 55)
20 35: 5-5-25; 36: 1-20; 37:1-16
21 37: 17-25; 38: 1-25; 39: 11-25; 40: 1-25: 41: 1-9
22 42: 1-25; 43:1-4
23 47: 8-10 and 22-23; 48:1-25
24 49: 5-13; 50: 5-11; 51: 10-24; 52: 3-9
25 53: 14-23
26 54: 1-23; 55:1-6
104
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 106 of 127
105
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 107 of 127
1 155: 12-25; 156: 1-21; 157: 3-5 and 15-23; 158: 7-25
2 159: 1-25; 160: 1-25; 160: 19-25; 161: 1-13 and 22-25; 162: 1-12
3 165: 5-25; 166: 1
4 166: 2-25; 167:4
5 168: 12-25; 169: 1-4
6 171: 17-21
7 181: 13-21
8 191: 21-23; 192:5-7
9 197: 23-25; 198: 1-16
10 199: 5-18
11 202: 1-10 (Exhibit 133)
12 202: 14-25 (Exhibit 134); 203: 1-12
13 205: 19-25; 206: 1-3 and 23-25; 207: 1-2 and 1-17
14 208: 5-10
15 219: 18-16
16 By Witnesses Attorney:
17 249: 5-15
18 249: 16-25; 250: 1-7
19
20 Jason M. Perry (1-25-11)
21 3: 22-25; 4:1
22 4: 8-21
23 7: 6-25; 8: 1-25; 9: 1-25; 10: 1-25; 11: 1-25; 12: 1-11; 13: 9-22
24 12: 11-25; 13:1-6 and 9-15
25 24: 4-10
26 27: 6-21
106
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 108 of 127
107
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 109 of 127
108
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 110 of 127
1 208: 4-13
2
3 Aaron White (1-6-2011)
4 6: 1-3
5 12: 7-16
6 14: 3-9; 15: 15-21
7 16: 6-15
8 22: 8-22
9 26: 9-25; 27: 1-8
10 36: 15-25; 37:1-7 (Exhibit 97)
11 40: 24-25; 41: 1-2
12 41: 3-20
13 43: 18-25; 44: 1-25; 45: 1-3
14 55: 13-15 (Exhibit 99)
15 57: 4-13
16 57: 16-20
17 78: 2-20
18 82: 2-14
19 96: 15-25; 97: 1-20
20 97: 21-25; 98: 1-2
21 98: 5-25; 99: 1-7
22 102: 4-9
23 105: 6-18; 106: 1-13
24 107: 1-12 and 13 -22
25 107: 24-25; 1-16
26 110: 5-13
109
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 111 of 127
110
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 112 of 127
1 counsel for review and possible use in cross-examining such witness at the time of
2 the deposition.
3 Plaintiff took the deposition of Jason Perry following the end of regular
4 discovery in this case, and Defendant was not aware of Mr. Perry as a potential
5 witness in the case and did not have the opportunity to subpoena him or his
6 employer for the subject File during the course of discovery in this case.
7
8 (2) Plaintiff objects to defendant’s depositions as follows:
9 Response to defendant’s general objections: Defendant’s general
10 objection to the use of Tungwongsathong’s deposition is irrelevant and lacks
11 merit. Plaintiff did not designate portions of Tungwongsathong’s deposition
12 about which defendant objects, and therefore his general objections are
13 meaningless and should be overruled. However, the Commission contends that its
14 questions put to Tungwongsathong concerning bank accounts and stock
15 transactions were relevant to Glisson’s 2010 transactions in CMKM stock, and the
16 instructions by defense counsel not to answer were improper and impeded the
17 legitimate discovery efforts by plaintiff.
18 Defendant Glisson’s general objection to the use of Mr. Perry’s deposition
19 testimony on the basis that Perry supposedly failed to turn over his notes to
20 defense counsel during Perry’s January 25, 2011 deposition is factually and
21 legally baseless. Mr. Perry neither reviewed nor referred to any notes at any time
22 during his January 25, 2011 deposition, and stated as such under oath. Mr. Perry
23 did not have any notes with him during his January 25, 2011 deposition. At no
24 time during discovery did defense counsel make any attempt to subpoena any
25 documents from Mr. Perry, or from his employer Edward Jones. Defendant’s
26 general objections to the admissibility of the Perry deposition should be overruled.
111
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 113 of 127
112
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 114 of 127
1 Page 98, lines 11-16: Objection that this evidence is cumulative of the
2 testimony previously designated by defendant at page 40, lines 16-19, and
3 therefore is irrelevant and inadmissible.
4 Page 112, lines 21-13: Objection that no such lines exist and the
5 designation is irrelevant.
6 Page 115, lines 2-25: Object only to the extent the designation includes
7 objections by defense counsel within the designation, and note that otherwise this
8 passage was designated by plaintiff. By designating the questions and answers,
9 counsel is waiving the objections. The objections are inadmissible and irrelevant
10 and should be excluded, specifically page 115, lines 8-9 and 16-17.
11 Page 117 lines 15-24, Page 118, lines 1-5: Object to the designation of
12 defense counsel’s objection and the statement by the witness asking for
13 clarification of the question following the objection, all of which is not relevant or
14 admissible evidence. Object to page 118, lines 1-5 on the grounds that the
15 question is vague and the answer is non-responsive. Defense counsel moved to
16 strike the answer as non-responsive at the deposition. See page 118 lines 7-9.
17 Page 167, line 4: Object that the designation is incomplete in that it
18 contains an answer and no question. Plaintiff has designated the entire question
19 and answer.
20 Page 199, lines 5-18: Object that designation is incomplete in that the
21 question is not included, and defense counsel interposed an objection to the
22 question. The resulting testimony is incomplete and therefore more confusing
23 than probative, and irrelevant, and should be excluded.
24 Page 208, lines 5-10: Object that the designation includes an objection that
25 is irrelevant and inadmissible. Object that the question calls for a legal conclusion
26 which the witness is not qualified to provide and therefore is inadmissible.
113
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 115 of 127
1 Page 219, lines 18-16: Object that the designation is irrelevant colloquy by
2 the Court reporter that is inadmissible.
3 Page 249, line 5 through 250, line 7: Object to the question by defense
4 counsel, also representing the witness, asking for “further clarification of prior
5 testimony” as being leading, vague, and ambiguous, and the answer is
6 unintelligible and confusing, and therefore inadmissible. Object to the questions
7 concerning the date of a particular sale of stock as they are not evidence, but
8 speculation by the witness which is inadmissible.
9 Plaintiff’s Specific Objections to Defendant’s Designations of the Jason
10 Perry Deposition:
11 Page(s) 77:25-78:2: Objection. Calls for legal conclusion regarding effect
12 of stock deregistration, incomplete hypothetical, lacks foundation.
13 Page 81:18-2: Objection. Compound, vague and ambiguous as to
14 “suitability form.”
15 Page 87:15-16: Objection. Argumentative, Compound.
16 Page 89:14-15: Objection. Calls for legal conclusion regarding facts
17 constituting the offense of money laundering.
18 Page 110:18: Objection. Incomplete designation, designation should extent
19 to 111:1.
20 Page 114:8-10: Objection. Calls for legal conclusion regarding propriety of
21 sales of unregistered stock, incomplete hypothetical.
22 Page 114:16-17: Objection. Calls for legal conclusion regarding propriety
23 of sales of unregistered stock, incomplete hypothetical.
24 Page 114:22-23: Objection. Calls for legal conclusion regarding propriety
25 of sales of unregistered stock, incomplete hypothetical.
26
114
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 116 of 127
115
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 117 of 127
116
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 118 of 127
117
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 119 of 127
118
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 120 of 127
1 issuer. Even assuming the witness understood the question was directed only at
2 CMKM, the question lacks foundation because it presupposes that the SEC had
3 some obligation to advise Transfer Online concerning the transfer of “any
4 particular shares or certificates for shares.” There is no foundation that the SEC
5 has any such obligation or the question is relevant to these proceedings.
6 Page 115, lines 12-25, page 116, lines 1-10: Object that the designation is
7 incomplete as it omits both part of the first question and the witness’s answer to
8 the last question in the designation. Further object that the question calls for
9 speculation, inadmissible lay opinion testimony, and lacks foundation. The
10 questions requests that the witness “infer” from receipt of a subpoena to appear as
11 a third party witness, which calls for speculation. The witness responds to the
12 question from defense counsel that “You’re asking me to go way beyond my
13 scope.” The witness’s answer establishes that the question is overbroad and lacks
14 foundation. The second question is similarly overbroad and vague, and defendant
15 fails to designate the answer, at page 116, lines 14-16, in which the witness states
16 that he has no experience one way or the other. The question and answer elicit no
17 relevant or admissible evidence and should be excluded.
18
19 VIII.
20 The following witnesses may be called by the parties upon trial:
21 (a) State names and addresses of plaintiff’s witnesses.
22 1. Marco Glisson
27973 Pinecrest Lane
23 Bonita Springs, FL 34135
24 2. Thidarat Tungwongsathong
4973 Pepper Circle
25 Naples, FL 34113
26
119
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 121 of 127
3. Jason Perry
1 c/o Christopher Haines, Associate Regulatory Counsel
Edward Jones
2 1245 JJ Kelley Memorial Drive
St. Louis, MO 63131
3
4. Aaron White
4 Account Executive, Transfer Online, Inc.
512 SE Salmoon Street
5 Portland, OR 97214
6 5. Roger Boudreau (summary witness)
Securities and Exchange Commission
7 5670 Wilshire Boulevard, Suite 1100
Los Angeles, CA 90036
8
6. Robert Carmichael
9 Janesville, WI
10 7. Alma Padilla
382 Rockport Rd.
11 Janesville, WI 53548
12 8. Custodian of Records
Ameritrade
13 4211 South 102nd Street
Omaha, NE 68127
14
9 Custodian of Records
15 E-Trade
P.O. Box 484
16 Jersey City, NJ 07303
17 10. Custodian of Records
Bank of America
18 P.O. Box 3609
Los Angeles, CA 90051
19
20 11. Custodian of Records
Sun Trust Bank
21 7455 Chancellor Drive
Orlando, FL 32809
22
12. Custodian of Records
23 Blackhawk Community Credit Union
P.O. Box 1366
24 Janesville, WI 53547
25 13. Terry D. Nelson, Esq.
Foley & Lardner
26 150 East Gilman Street
Madison, WI 53703-1481
120
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 122 of 127
121
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 123 of 127
9. Connie Miyler
1 401 E. Main
Galesburg, Illinois 61401
2
3 10. SEC Personnel (including Paris Wynn, Esq.)
5670 Wilshire Blvd., 11th Floor
4 Los Angeles, CA 90036
5 11. Summary Witnesses
(to be determined/named after Glisson has the
6 opportunity to obtain and review Plaintiff's
summary witness' exhibits)
7
12. Custodian of Records
8 U.S. Securities and Exchange Commission
Washington, D.C. and Los Angeles, California
9
13. Custodian of Records
10 1st Global Stock Transfer
Las Vegas, Nevada
11
14. Custodian of Records
12 CMKM Diamonds, Inc.
Las Vegas, Nevada
13
15. Custodian of Records
14 Bank of America
Las Vegas, Nevada
15
16. Custodian of Records
16 Transfer Online, Incorporated
Portland, Oregon
17
17. Custodian of Records
18 National Association of Securities Dealers
Washington, D.C.
19
18. Witnesses designated by Plaintiff
20
21 IX.
22 Counsel have met and herewith submit a list of three (3) agreed-upon trial
23 dates:
24 October 3, 2011
25 October 17, 2011
26 November 14, 2011
122
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 124 of 127
1 Defendant’s attorney is unavailable for trial (i) the first three weeks of July
2 2011, (ii) the first 2 weeks in September 2011, and (iii) the first 3 weeks in
3 December 2011. Defendant’s attorney’s schedule is open starting in 2012.
4 It is expressly understood by the undersigned that the court will set the trial
5 of this matter on one (1) of the agreed-upon dates if possible; if not, the trial will
6 be set at the convenience of the court’s calendar.
7
8 X.
9 It is estimated that the trial herein will take a total of five to six (5-6) days.
10
11 APPROVED AS TO FORM AND CONTENT
12
13 /s/ John B. Bulgozdy
John B. Bulgozdy
14 Paris A. Wynn
Attorneys for Plaintiff Securities and Exchange Commission
15
16
/s/ Robert H. Bretz
17 Robert H. Bretz
Attorney for Defendant Marco Glisson
18
19 XI.
20 ACTION BY THE COURT
21 (a) This case is set down for court/jury trial on the fixed/stacked calendar
22 on _________________________. Calendar call shall be held on
23 ________________.
24 (b) An original and two (2) copies of each trial brief shall be submitted to
25 the clerk on or before _____________________________.
26 (c) Jury trials:
123
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 125 of 127
124
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 126 of 127
PROOF OF SERVICE
1
I am over the age of 18 years and not a party to this action. My business address is:
2
[X] U.S. SECURITIES AND EXCHANGE COMMISSION, 5670 Wilshire
3 Boulevard, 11th Floor, Los Angeles, California 90036-3648
Telephone No. (323) 965-3998; Facsimile No. (323) 965-3908.
4
On April 15, 2011, I caused to be served the document entitled JOINT
5 PRETRIAL ORDER on all the parties to this action addressed as stated on the
attached service list:
6
[ ] OFFICE MAIL: By placing in sealed envelope(s), which I placed for
7 collection and mailing today following ordinary business practices. I am
readily familiar with this agency’s practice for collection and processing of
8 correspondence for mailing; such correspondence would be deposited with
the U.S. Postal Service on the same day in the ordinary course of business.
9
[ ] PERSONAL DEPOSIT IN MAIL: By placing in sealed
10 envelope(s), which I personally deposited with the U.S. Postal Service.
Each such envelope was deposited with the U.S. Postal Service at Los
11 Angeles, California, with first class postage thereon fully prepaid.
12 [ ] EXPRESS U.S. MAIL: Each such envelope was deposited in a
facility regularly maintained at the U.S. Postal Service for receipt of
13 Express Mail at Los Angeles, California, with Express Mail postage
paid.
14
[ ] HAND DELIVERY: I caused to be hand delivered each such envelope to
15 the office of the addressee as stated on the attached service list.
16 [ ] UNITED PARCEL SERVICE: By placing in sealed envelope(s)
designated by United Parcel Service (“UPS”) with delivery fees paid or
17 provided for, which I deposited in a facility regularly maintained by UPS or
delivered to a UPS courier, at Los Angeles, California.
18
[ ] ELECTRONIC MAIL: By transmitting the document by electronic mail
19 to the electronic mail address as stated on the attached service list.
20 [X] E-FILING: By causing the document to be electronically filed via the
Court’s CM/ECF system, which effects electronic service on counsel who
21 are registered with the CM/ECF system.
22 [ ] FAX: By transmitting the document by facsimile transmission. The
transmission was reported as complete and without error.
23
I declare under penalty of perjury that the foregoing is true and correct.
24
25 Date: April 15, 2011 /s/ John B. Bulgozdy
26 John B. Bulgozdy
125
Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 127 of 127
126