Amended Order of Contempt

- I*, - -- . G'oRIG~~~.~~ - . - " . ,A : " -- STEPHEN L. COHEN, pro hac.viqe Securities and Exchange Comrmssion 100 F Street, N.E. Washington DC 20549-463 1 OCT - 6rm6 P- send Plaintiff U.S. Securities Commission UNITED STATESDISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA SANDEXCFIANGE . Case No. ED CV 05-351 AGpMOx) haintiff, TRI ENERGY, INC., et al. STIPULATION AND ORDER OF CONTEMPT FOR FAILURE TO OBEY TEMPORARY RESTRAINING ORDER AND PRELIMINARY INJUNCTION .. Defendants. 1) 23 24 This Stipulation and Order is entered into between plaintiff Securities and Exchange Commission and defendant Henry Jones ("Jones") in connection with 1 WHEREAS, on May 2,2005, the Court entered a Temporary Restraining 2 Order ('TRO) against Jones, which, among other things, enjoined Jones from 3 committing violations of Section 17(a) of the Securities Act of 1933, Section lo@) 4 l 61 7 8 of the Securities Exchange Act of 1934, and SEC Rule lob-5; WHEREAS, on May 23,2005, the Court entered a stipulated F'reliminary Injunction ("PI") against Jones, which, among other things, enjoined Jones fiom lo of the Securities Exchange Act of 1934, and SEC Rule lob-5; 11 WHEREAS, simultaneous wt this Stipulation, the SEC filed the ih 12 Declaration of Tracy L. hice In Support of Contempt Against Defendant Henry l3 14 loner (the "Rice Declaration") providing the evidentiary basis for why the Cowt 111 1 1 committing violations of Section 17(a) of the Securities Act of 1933, Section 10(b) 15 ih should hold Jones in civil contempt for failure to comply w t the TRO and PI; and 16 WHEREAS, to avoid the litigation attendant to any contempt proceeding, l7 l8 the parties seek and desire, by means of entering into this Stipulation and Order, to 19 hereby consensually resolve this civil contempt proceeding upon the terms set forth 20 2 1 in t e paragraphs below; h 1 (1 1 22 23 1 1 NOW,THEREFORE,THE PARTES HEReM AGREE AND IT IS HEREBY ORDERED AS FOLLOWS: 24 25 1. The Court hereby entis a hding that Jones' conduct, as described in the 26 Price Declaration, violated the TRO and PI entered against Jones by the Hon. 27 / . -- .. . . , & Virginia Phillips respectively on May 2,2005 and May 23,2005, and thus has - - 4 .. - d \ -.--< - ; placed Jones in civil contempt of the Court. Without admitting or denying the allegations of civil contempt made by the SEC,Jones hereby consents to the entry of this finding of civil contempt against him. 2. In order to purge his contempt, Jones has agreed to an amended ih preliminary injunction w t a broader prohibition of conduct, which is attached as Exhibit A. Upon Court approval of the amended injunction and entry by the Court, Jones will be subject to the Amended Preliminary Injunction, and his civil contempt will be deemed purged. 3. This Stipulation and Order shall'notpreclude the SEC, the Department of Justice, or any State authority from commencing any future civil or criminal investigations or proceedings against Jones or any other party. 4. Upon execution of this Stipulation and Order and approval by the Court, the terms and obligations of this Stipulation and Order shall become effective immediately and shall be binding upon the SEC, Jones, and their successors and assigns. 5. The District Court shall retain jurisdiction to address and take any action necessary to compel compliance &th the terms and conditions of this Stipulation and Order. OCT-03-'!2006 12:25 COTTON & GUNDZIX LLP 1 resped to the subject matter hereof and the signatories henta hereby confirm and 2 acknowledge t?iatthey have full authority to exeixtc this Stipulatim and Order on 3 4 behalf of the respective parties and bind them to d ofthc terms hmof. l 5 7 I/ 7. This Stipulation and Ordm m y be signed in countapart originals. a SOAGREEDAND STIPULATED: DATED; September ,... 2006 Stephen L.Cohen John Bulgozdy , Attorneys for Plaintiff Securities and Exchange Commjssion Ddmdant && Jones DATED; september -006 17 APPROVED AS TO FORM AND CONTENT: 18 D A T E D :3.2006 ~ ~ 19 - 20 21 S 22 IT I SO ORDERED: 23 DATED: September 24 25 26 27 28 - .. 2006 Hmor~ble ndrew J. Guilford A UNITED STATES DISTRICT JUDGE ' 4 . .,.,< - 1 respect to the subject matter hereof and the signatories hereto hereby confirm and 2 acknowledge that they have WI authority to execute this Stipulation and Order on I1 L -. ; -u., c.:< : - .. ....... .. -.. . - - -- Ilbehalf of the respective parties and bind them to all of the t m hereof. 4 5 7 7. This Stipulation and Order may be signed in counterpart originals. DATED: October 9 10 11 12 4 ,2006 h e p h e y ~Cohen . John Bulgozdy Attorneys for Plaintiff Securities and Exchange Commission DATED: September 2006 13 14 Defendant H n y Jones er 18 DATED: September. 19 2006 20 21 John Cotton '1 Attorney for Defendant Henry Jones 22 IT IS SO ORDERED: 23. 24 25 DATED: October 2006 Honorable Andrew J. Guilford UNITED STAES DISTRICT JUDGE STEPHEN L. COHEN, pro hac vice Securities and Exchange Commission LOCAL COUNSEL: =$?%? 20 1 9 Y Attome s for Plaintiff U.S. Securities and ~ x c L Commission ~ e UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA I SECURTTIES AND EXCHANGE COMMISSION, Plaintiff, VS. Case No. ED CV 05-351 AG(FM0x) TRI ENERGY, INC., et al. Defendants. . STIPULATION Plaintiff Securities and Exchange Commission and Defendant Henry Jones ("Jones") stipulate and agree as follows: A. This Court has jurisdiction over the parties to, and the subject matter of, this 1 2 B. 3 4 5 6 j11 11 . . -- -- , .. ; - ... . . . - . -+>. . .-.- - -. action. B Commission filed an EXParte Application For A Temporary Restraining Order And Orders: (1) Freezing Assets; (2) Requiring Accountings; (3) Prohibiting The Destruction Of Documents; (4) Expediting Discovery; (5) Appointing A Receiver; and (6) To Show Cause Re Preliminary Injunction (the "Application"). 7 C. On May 2,2005, the Court granted the Commission's Application in its entirety (the "TRO), including an order that Defendants Jones and Marina show cause, if there be any, why this Court should not grant a preliminary injunction and other preliminary relief and why this Court should not appoint a permanent receiver pmuant to Rule 65 of the Federal Rules of Civil Procedure, until a final adjudication on the merits may be had; 8 9 10 11 12 13 14 D. On May 23,2005, the Court entered a Stipulated Preliminary Injunction and 15 E. 11 Orders granting other relief. Defendant Jones does not oppose the Commission's request for an amended preliminary injunction and appointment of a permanent receiver over Marina. Without admitling or denying the al1egations i the Commission7s n Complaint, Defendant consents to the following order: ' 16 17 18 IIF. 19 20 (1 ORDER The Court has considered the Commission's Complaint, the Application, the 21 22 supporting Memorandum of Points and Authofities, Declarations and Exhibits, the I 23 Motion for Contempt, and all other evidence and argument presented regarding the 24 Application, and finds that: 25 A. This Court has jurisdiction over the parties to, and the subject matter of, this action. 26 27 28 1 I (1s. There is good cause to believe that Defendant Jones has engaged in, is engaging in, and is about to engage in transactions, acts, practices and 2 .. . -- - , -. .. . . . ;---..--c;;-- .-., p-. . -- courses of business which constitute violations of Sections 5(a), 5(c), and . 17(a) of the Securities Act of 1933 ("Securities Act"), 15 U.S.C. 4 77q(a). 1 C. There is good cause to believe that Defendant Jones engaged in, is engaging in, and is about to engage in transactions, acts, practices and courses of business which constitute direct violations or aiding and abetting violations, of Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. $78j(b), and Rule lob-5 thereunder, 17 C.F.R. 8 240.10b-5. I( D. Good cause exists to believe that the Defendant Jones will continue to 11 E. F. 1, engage in such violations unless they are restrained and enjoined. The Commission has demonstrated a probability of success on the merits in this action and a probability that Jones will dissipate assets if not enjoined. Good cause exists to believe that Defendant Jones has, in fact, violated the TRO and Preliminary Injunction entered in May 2005. WHEREFORE,IT IS HEREBY ORDERED,for good cause shown, as follows: I. I injunction and orders: (I) fieezing Assets; (2) appointing a permanent receiver; (3) prohibiting destruction of documents; and (4) requiring accountings is hereby IT IS ORDERED that the Commission's request for a preliminary GRANTED. 11. 1 servants, employees, attorneys, sybsidiaries and affiliates, and those persons in IIactive concert or participation any of them, who receive actual notice of this I Order, by personal service or otherwise, and each ofthem, be and hereby are 1 temporarily restrained and enjoined fiom, directly or indirectly, through the use of vj-ith IT IS FURTHER ORDERED that Defendant Jones and his agents, 1 (1 the means or instruments of transportation or communication in interstate commerce or the mails, offering to sell or selling securities, or directly or 1 indirectly, carrying or causing securities a be carried through the mails or in 2 interstate commerce, for the purpose of sale or delivery after sale, in violation of 3 Sections 5(a) and 5(c) of the Securities Act, 15 U.S.C. 9 77(e)(a) and 77(e)(c). 4 11 11 11 m. IT IS FURTHER ORDERED that Defendant Jones and his agents, 6 servants, employees, attorneys, subsidiaries and affiliates, and those persons in 7 active concert or participation with any of them, who receive actual notice of this 8 Order, by personal service or otherwise, and each of them, be and hereby are 9 temporarily restrained and enjoined from, directly or indirectly, in the offer or sale 10 of any securities, by the use of any means or instruments of transportation or 12 A. employing any device, scheme or artifice to defraud; obtaining money or propertyby means of any untme statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or C. engaging in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser; I communication in interstate commerce or by the use of the mails: 11 11 B. 1 l5 II 16 l4 13 17 18 20 21 19 in violation of Section 17(a) of the Securities Act, 15 U.S.C. 5 77q(a). IV. 22 servants, employees and attorneys, and those persons in active concert or 23 participation with them who recei~e actual notice of this Order by personal service 24 or otherwise, are temporarily restrained and enjoined fiom, directly or indirectly, in 25 connection with the purchase or sale of any security, by the use of any means or 26 instrumentality of interstate commerce, or of the mails, or of any facility of any 27 national securities exchange: 28 11 IT IS FURTHER ORDERED that Defendant Jones and his agents, 1 1 A. emp1oying any device, scheme, or artifice to defraue 1 I( II B. malung any untrue statement of a material fact or omitting to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or 5 C. engaging in any act, practice, or course of business which operates or would operate as a h u d or deceit upon any person; in violation of Section .lO(b) of the Exchange Act, 15 U.S.C. $78j@), and Rule lob-5 thereunder, 17 C.F.R violations. 8 240.10b and from aiding and abetting such v. IT IS FURTHER ORDERED that Defendant Jones and his agents, 12 servants, employees, attorneys, and those persons in active concert or 13 participation with them who receive actual notice of this Judgment, by I 14 l(personalservice or otherwise, and each of them, are permanently enjoined 15 and restrained bom, directly or indirectly, any involvement in, or conduct I6 facilitating or relating in any m y to, investing or soliciting investment in any i ~ 1 1 program purporting to involve coal or a coal mine operation, an international gold transaction, or an international banking transaction, with or from any participant, officer, director, or investor in Tri Energy Inc., H&J Energy Inc., La Vie D7Argent,Global Village ~ecords, Marina Investors Group, Inc. or This paragraph does not preclude cooperation with the Commission or the receiver in the operation of, or attempts to recover monies related to, any of the entities listed above. M. Asset Freeze IT IS FURTHER ORDERED that;except as otherwise ordered by this Court, Defendant Jones and his agents, servants, employees, attorneys, subsidiaries and affiliates, and those persons in active concert or participation with any of them, -- - -.. ; ---. ' -< .. - - -. . . .. . .. . - -: : -- vho receive actual notice of this Order, by personal service or otherwise, and each )f them, be and hereby are temporarily restrained and enjoined from, directly or ndirectly withdrawing, transferring, assigning, selling, pledging, hypothecating, :hanging, wasting, dissipating, converting, concealing, encumbering, or otherwise lisposing of, in any manner, any funds, assets, securities, claims, or other real or wsonal property, wherever located, of Defendant Jones, whether owned by, :ontrolledby, managed by or in the possession or custody of any of them, which vas f i o m pursuant to the Court's May 2,2005, TRO,except as otherwise ordered )y the Court. M. I IS FURTHER ORDERED,pending further Order of this Court or T :xcept as otherwise provided by this Order, that the pending freeze shall remain in ,lace over all monies and assets (with an allowance for necessary and reasonable iving expenses to be granted only upon good cause shown by application to the :ourt with notice to and an opportunity for the Commission and the permanent eceiver to be heard) including real and personal property and accounts at any bank, financial institution or brokerage firm, all certificates of deposit, safe deposit Ioxes, and other funds or assets, held in the name of, for the benefit of, or over vhich account authority is held by Defendants Jones and M 6 a Investors Group, ,r any trust, partnership, joint venture, A. or entity affiliated with them including subsidiaries), including but not limited to: real property (to the extent not already sold) located at (1) 830 Harbor Crossing, Marina del Ray, CA; and (2) 7423 Nannan Avenue, Culver City, CA. -- - . -- \ - ; - - -. - - ; . r-& . . . - - . - - -- B. the following accounts: Bank of America C. the following automobiles (to the extent not already sold): (1) 2004 Mercedes CLK 500; (2) 2005 F d Spider; (3) 1987 Daimler Jaguar; (4) 1989 ~ o l l'Royce Corniche; (5) Mercedes Benz ML 350; (6) 2000 s GMAC Cadillac; (7)Porsche Cayenne; and (8) other vans, limousines II D. and other vehicles owned or controlled by Jones or Marina. All assets identified by the receiver in his report. Upon request by the Commission or the Receiver, h c i a l institutions shall promptly provide copies of all records or other documentation pertaining to such account or asset, including, but not limited to, originals or copies of account 1 applications, account statements, signature cards, checks, dm&, deposit tickets, Il,kinsfersto and fTom the accounts, all other debit and credit instruments or slips, currency transaction reports, 1099 forms, and safe deposit box logs. : - m. Appointment of a Receiver I IS FURTHER ORDERED that, pending Mr order of this Court, T e 11~ r o uhc.,, and its subsidiaries and ~ Richard Weissman remains permanent receiver of Defendant Marina Investors affiliates, including but not limited to Marina Investors Group and MIG Records, with full powers of an equity receiver, including, but not limited to, full power over all Eunds, assets, collateral, premises (whether owned, leased, occupied, or otherwise controlled), choses in action, books, records, papers and other real or personal property, including notes, deeds of trust and other interests in real property, belonging to, being managed by or in the possession of or control of Marina, any subsidiaries, affiliates,joint ventures or other entities for which Marina is the managing general partners or in control, and that such receiver is immediately authorized, empowered and directed: A. to have access to and to collect and take and retain custody, control, possession, and charge of all fimds, assets, collateral, premises (whether owned, leased, occupied, or otherwise controlled), choses in action, books, records, papers and other real or personal property, wherever located, of or managed by Marina, and their subsidiaries and affiliates, with full power to sue, foreclose, marshal, collect, receive, and take into possession all such property; B. with respect to real property administered by the receiver titled in the name of Marina or Jones, to list for sale, engage a broker for sale, cause the sale of such properties, and take a l necessary and l reasonable actions to cause the sale of such real properties, subject to court approval of such sale; C. to h;ive control of, and be made the sole authorized signatory for, all accounts of Marina, and its subsidiaries and affiliates, including all accounts over whichMarina or Jones, and any of their employees or agents, have signatory authority, at any bank, title company, escrow agent, financial institution or brokerage fr which has possession, im custody or control of any assets or funds of Marina or Jones, or which maintains accounts over which M r n or Jones, andlor any of their aia employees or agents have signatory authority; . - ..--,; d -%....--;r.-.. ;&.." -- D. to conduct such investigation and discovery as may be necessary to locate, account for and recover all of the assets of (and to account for and pursue recovery of the losses of) Marina or Jones, and their subsidiaries and affiliates and to engage and employ attorneys, accountants and other persons to assist in such investigation and discovery; E to take such action as is necessary and appropriate to preserve and . take control of and to prevent the dissipation, concealment, or disposition of any assets of or managed by Marina or Jones, and their subsidiaries and affiliates; however, as deemed necessary and appropriate by the receiver, to sell, liquidate or otherwise dispose of any assets owned or possessed by Marina or Jones and their subsidiaries and affiliates, including but not limited to MIG Records, even if such actions result in the termination of such company's business activities; F. to make an accounting, as soon as practicable, to this Court and the Commission of the assets and financial condition of Marina and Jones, and the assets under their management, and to file the ih accounting wt the Court and deliver copies thereof to all parties; G. to make such payments andisbursements £ram the funds and assets taken into custody, control, and possession or thereafter received by him, and to incur, or authorize the making of, such agreements as may be necessary and advisable in discharging his duties as receiver; H. to employ a1tomeyi;accountants and others to investigate and, where appropriate, to institute, pursue, and prosecute all claims and causes of action of whatever kind and nature which may now or hereafter exist as a result of the activities of Marina or past employees or agents of Marina; 1 11 4 5 1 /I I. to have access to, monitor and redirect all mail (icluding email and facsimile) of Marina in order to review such mail which he or she deems relates to the business of Marina and the discharging of his duties as receiver; and J. take such further action as the Court shall deem equitable, just and appropriate under the circumstances upon proper application of the 1 permanent receiver. Ix. 11 11 1 receiver, representatives of the Commission are authorized to have equal access to 12 inspect or copy any such books, records, and other documents of Defendants I1IMarina or Jones, and their agents inclu&g but not limited to, paper documents, 13 10 of ~efendants' property or records pursuant to this Order by the permanent IT IS FURTHER ORDERED that, upon access to and control of any 14 electronically stored data, tape recordings, and computer discs, wherever they may 15 be situated and regardless of whether they are in the possession of the Defendants, 11 16 or others, so long as they are in the possession, custody or control of the permanent 17 receiver, and to copy said documents, data and records, either on or off the a 18 premises where they m y be situated, and that.Defendants shall not interfere with 19 )( the access of representatives of the Commission to all such documents, books and II 20 records. 21 22 X IT IS FURTHER ORDERED that no officer, agent, servant, 23 employee, or attorney of Marina, or its subsidiaries or affiliates, shall take any 24 action or purport to take any action, in the name of or on behalf of Marina, or any 25 of their subsidiaries or affiliates, without the written consent of the permanent 26 receiver or order of this Court. 27 28 XI. 11 IT IS FURTHER ORDERED that, except by leave of this Court, - -- -- -- -.: - .. ... . . .*\.-... - , .. " . * < I -* : -- during the pendency of this receivership, all clients, investors, trust beneficiaries, note holders, creditors, claimants, lessors, and all other persons or entities seeking Relief of any kind, in law or in equity, from Marina or its subsidiaries, and all persons acting on behalf of any such investor, trust beneficiary, note holder, creditor, claimant, lessor, or 0 t h person, including sheriffs, marshals, servants, agents, employees, and attorneys, are hereby restrained and enjoined from, directly or indirectly, with respect to Marina and its subsidiaries: A. commencing, prosecuting, continuing or enforcing any suit or proceedings (other than the present action by the Commission) against Marina or its subsidiaries or affiliates; B. using self-help or executing or issuing or causing the execution or issuance of any court attachment, subpoena, replevin, execution or other process for the purpose'of impounding or taking possession of or interfering with or creating or enforcing a lien upon any property or property interests owned by or in the possession of Marina, or any of its subsidiaries or affiliates, wherever situated; and C. doing any act or thing whatsoever to interfere with taking control, possession or management by the permanent receiver appointed hereunder of the property and assets owned, controlled or managed by or in the possession of Marina, or any of its subsidiaries or affiliates, or in any way to interfere with or harass the permanent receiver or his attorneys, accountants, employees or agents or to interfere in any manner with the discharge of the permanent receiver's duties and responsibilities hereunder. W. IT IS FURTHER ORDERED that Defendants Marina and Jones, and their subsidiaries, affiliates, officers, agents, servants, employees and attorneys, shall cooperate with and assist the permanent receiver and shall take no action, 11 directly or indirectly, to hinder, obstruct, or otherwise interfere with the receiver or his attorneys, accountants, employees or agents, in the conduct of the permanent receiver's duties or to interfere in any manner, directly or indirectly, with the custody, possession, management, or control by the permanent receiver of the funds, assets, collateral, premises, and choses in action described above. m. IT IS FURTHER ORDERED that Defendants Marina and Jones shall pay the costs, fees and expenses of the permanent receiver incurred in connection with the performance of his duties described in this Order, including the costs and expenses of those persons who may be engaged or employed by the permanent i receiver to assist h m in canying out his duties and obligations. All applications for costs, fees and expenses for services rendered in connection with the receivership, such as salaries, rent and any and all other reasonable operating expenses, shall be made by application setting forth in reasonable detail the nature of the services and shall be heard by the Court. XIV. IT IS FURTHER ORDERED that no bond shall be required in connection with the appointment of the permanent receiver. Except for an act of gross negligence, the permanent receiver shall not be liable for any loss or damage ~efendants, officers, agents, their incurred by any of the Defendants, ~elie'f servants, employees and attomeys or any other person, by reason of any act performed or omitted to be performed by the permanent receiver in connection with the discharge of his duties and responsibilities. xv. Order Preventing Document Destruction IT IS FURTHER ORDERED that, except as otherwise ordered by this Court, Defendant Jones and his officers, agents, servants, employees, attorneys, subsidiaries and affiliates, and those persons in active concert or participation with -- . ;; - -. - - ..:---. - .- .-- ... . . .b.-= -- - -. ny of them, who receive actual notice of this Order, by personal service or ithenvise, and each of them, be and hereby are temporarily restrained and enjoined rom, directly or indirectly: destroying, mutilating, concealing, transfening, ltering, or otherwise disposing of, in any manner, any documents, which includes 1 books, records, computer programs, computer files, computer printouts, audio 1 a video tapes, contracts, correspondence, memoranda, brochures, or any other locuments of any kind in their possession, custody or control, however, create, ~roduced, r stored (manually, mechanically, electronically, or otherwise), o lertaining in any manner to Defendants or Relief Defendants in this action. m. Accounting IT IS FURTHER ORDERED that, within twenty (20) days of the date d issuance of this Order, Defendant ones shall: A. Provide the Commission with a verified, written accounting, signed by Defendant Jones under penalty of perjury, of all funds, assets and liabilities including: all real and personal property exceeding $5,000 in value, located both within and outside of the United States, which are held by such Defendant,'on their behalf, or under their direct or indirect control, whether jointly or singly, or in which they have an interest; all funds and assets that each Defendant received from investors or Tri Energy and the ultimate use or current location of those funds or assets. The accountings shall include a description of the source(s) of all such assets; and all bank, securities, futures and other accounts controlled by Defendant, directly or indirectly, identified by institution, branch address and account number, B. Provide the Commission with full access to and permit copying of all documents both within and outside of the United States which are held by them, on their behalf, or under their direct or indirect control, 13 1 - -- -- . - . : - ? : - .. . : -- or relate to a corporate or partnership entity in which they have an interest, specifically including all tax records fiom 2002 to present; C. Transfer to the territory of the United States all funds, documents, and 7 I assets located in foreign countries which are held by them, for their benefit, or under their direct or indirect control, whether jointly or singly; D. Provide the Commission access to all records held by financial institutions located both within and outside the territorial United States by signing a Consent to Release of Financial Records; and E. Provide the Commission with a complete investor list, including, without limitation, the names, addresses and telephone numbers of all persons who transferred funds to the Defendant from July 1,2002 to II the present, and the amounts received, whether or not those investors have received funds fiom Defendants. The accountings and investor list shall be filed with the Court and copies shall be delivered to the attention of Stephen L. Cohen, Assistant Chief Litigation Counsel, 100F Street, NE,Washington, D.C. 20549-4030. After submission of the accountings and investor list, Defendant Jones shall produce to the Commission, at a time and place agreeable to the Commission, all books, records and other documents for their accountings. 11documents called for in f l B, C and D above or that are supporting or underlying m. Service on the Commission IT IS FURTHER ORDERED that the Defendants Marina and Jones shall serve all pleadings, correspondence, and notices required by h s Order and Ilother materials on the Commission by delivering a copy to Stephen L. Cohen, Assistant Chief Litigation ~ounsel, Division of Enforcement, United States Securities and Exchange Commission, 100 F Street, N.E., Washington DC, 20549- : 1 i , ' OCT-03-2006 12: 25 COTTON & GDNDZIK LLP I IS FURT ORDERED that this Court shall retain jurisdiction 3 4 over this action for the purpose of implementing and carrying out the tams of all 5 orders and decrees w i h may be entered herein and to entertain any suitable hc application or motion for additional rdiefwithin thejurisdiction of this Colut. SO AGREED AND STIPULATED: 11 11 1 DATED: September. 2006 Stephen L.Cohen John Bulgozdy Attorneys for Plaintiff Securities and Exchange Commission DATED: ~eptcmber%&& 2006 APPROVED AS TO FORM AND C O ~ T : DATED: hp€ e dm - 3 2006 -: Attorney Defendants Marina Investors &up and Henry Jones I T IS SO ORDERED: Qc;t* 6 DATED: w , 2006 UNITED STATES DISTRICT JUDGE IT retain 11over this action IS FURTHER ORDERED that this Court shallout the jurisdiction 4 fox the of implementing and carrying terms Illorders and decrees whicpurposebe entered herein and to entertain any suitableof all I 5 h may 6 1 application or motion for additional relief w t i the jurisdiction of this Court. ihn SO AGREED AND STIPULATED: 71 DATED: October 4 ,2006 /@hen L. Cohen John Bulgozdy Attorneys for Plaintiff Securities and Exchange Commission DATED: September 2006 Defendant Henry Jones APPROVED AS TO FORM AND CONTENT: 19 20 DATED: September 21 22 I I 2006 John Cotton Attorney for Defendants Marina Investors er Group and H n y Jones IT IS SO ORDERED: DATED: October 2006 Honorable Andrew J. Guilford UNITED STATES DISTRICT JLJJlGE