Biancur, et al v. Hickey, et al

Filing 514

Order by Magistrate Judge Jacqueline Scott Corley granting 511 Ex Parte Application. (jsclc1S, COURT STAFF) (Filed on 9/4/2014)

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IN THE UNITED STATES DISTRICT COURT

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FOR THE NORTHERN DISTRICT OF CALIFORNIA

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SAN FRANCISCO DIVISION

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A. LEE and LINDA BIANCUR; LA RUE W.
BEAN; ALLEN J. MURPHY; and ROBERT
and GAIL SCHLENZIG; on Behalf of
Themselves and all Others Similarly Situated,
Plaintiffs,

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v.
JOHN A. HICKEY; MAMIE TANG;
PILLSBURY MADISON & SUTRO;
HICKEY, DUNN & SWAN; and D.E. FREY,
A Broker-dealership and Member of the
National Association of Securities Dealers, on
Behalf of Itself and as a Representative of a
Class of Broker Dealers,

No. 95-CV-02145-WHA (JSC)
CLASS ACTION
[PROPOSED] ORDER RESETTING
DATES FOR DEFENDANT JOHN A.
HICKEY TO COMPLETE AND SUBMIT
JUDGMENT DEBTOR
QUESTIONNAIRE AND TO APPEAR
FOR A JUDGMENT DEBTOR’S
EXAMINATION

Defendants.

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[No. 95-CV-02145-WHA] [PROP] ORDER COMMANDING DEF. JOHN A. HICKEY TO COMPLETE J.
DEBTOR QUESTIONNAIRE & TO APPEAR FOR A J. DEBTOR’S EXAMINATION

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Having considered the ex parte papers filed by Plaintiffs and judgment creditors for an

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Order resetting the dates for defendant John A. Hickey (“Hickey”) to appear for a judgment

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debtor’s examination and to complete and submit a Judgment Debtor Questionnaire, filed on

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September 4, 2014, and having considered all papers filed and proceedings conducted herein

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and for good cause shown,

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IT IS HEREBY ORDERED THAT:

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Plaintiffs and judgment creditors’ Ex Parte Application to Reset Dates for Defendant

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John A. Hickey to Complete and Submit a Judgment Debtor Questionnaire and to Appear for a

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Judgment Debtor’s Examination (“Application”) is GRANTED.

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The Judgment Debtor Examination previously scheduled for September 5, 2014 is
VACATED.

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DEFENDANT HICKEY IS HEREBY ORDERED to appear personally on

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November 4, 2014 at 10:00 a.m. to furnish information to aid in enforcement of the money

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judgment against Hickey in the above-captioned case (the “Examination”), at the following

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address:

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United States District Court for the Northern District of California
450 Golden Gate Avenue, Courtroom F, 15th Floor,
San Francisco, CA 94102

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Subject to the supervision of the Court, Plaintiffs’ counsel shall conduct the

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Examination. Plaintiffs’ counsel shall arrange for and bear the cost of a court reporter to attend

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and stenographically record the examination.

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The following notice is also hereby given, in accordance with California’s Enforcement
of Judgments Law (Cal. Civ. Proc. Code § 708.110(e)):

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NOTICE TO JUDGMENT DEBTOR. If you fail to appear at the time

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and place specified in this Order, you may be subject to arrest and

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punishment for contempt of court and the Court may make an order

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requiring you to pay the reasonable attorney’s fees incurred by the judgment

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creditor in this proceeding.

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[No. 95-CV-02145-WHA] [PROP] ORDER COMMANDING DEF. JOHN A. HICKEY TO COMPLETE J.
DEBTOR QUESTIONNAIRE & TO APPEAR FOR A J. DEBTOR’S EXAMINATION

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IT IS FURTHER ORDERED that, no later than October 21, 2014, defendant Hickey

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will complete, execute under penalty of perjury, and deliver to Plaintiffs’ counsel at the address

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listed below, the form of Judgment Debtor Questionnaire attached hereto as Exhibit A (the

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“Questionnaire”). Defendant Hickey will complete the Questionnaire fully and accurately and

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under penalty of perjury.

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The address to which Hickey must submit the completed and executed Questionnaire is:

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Berman DeValerio
One California Street, Suite 900
San Francisco CA 94111.

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IT IS SO ORDERED.
DATED: Sept. 4, 2014

HONORABLE JACQUELINE SCOTT CORLEY
UNITED STATES MAGISTRATE JUDGE

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[No. 95-CV-02145-WHA] [PROP] ORDER COMMANDING DEF. JOHN A. HICKEY TO COMPLETE J.
DEBTOR QUESTIONNAIRE & TO APPEAR FOR A J. DEBTOR’S EXAMINATION

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EXHIBIT A

JUDGMENT DEBTOR QUESTIONNAIRE
This statement is to be completed by the judgment debtor. If in business as a sole proprietor, partner,
family farmer, or self-employed professional, the judgment debtor should provide the information requested on
this statement concerning all such activities, as well as personal affairs. 1
If the answer to a question is “None,” or the question is not applicable, state “None.” If additional space
is needed for the answer to any question, attach a separate sheet properly identified with the case name, case
number, and the number of the question. All responses submitted in answer to this questionnaire, whether on
the form provided or on a separate sheet of paper or any other supplemental form are made under penalty of
perjury under the laws of the United States and the State of California.
I.

JUDGMENT DEBTOR INFORMATION

1.

Name of judgment debtor:

2.

Address of judgment debtor:

3.

Judgment debtor’s date of birth;

4.

Judgment debtor’s Social Security number:

5.

Judgment debtor’s Driver’s License number:

6.

Judgment debtor’s occupation:

7.

Is the judgment debtor employed by someone else?
If so, give name, address and
phone number of employer and judgment debtor’s salary or income:

8.

Is the judgment debtor self-employed?
number of business and judgment debtor’s salary or income:

9.

Is the judgment debtor married?
maiden name, if applicable):

10.

Was the judgment debtor married before his or her current marriage?
If so, give the name
and address of each former spouse, the date of marriage and the date of divorce or death:

If so, give name, address and phone

If so, give spouse’s full name (including any

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“In business” means the judgment debtor is or has been, within the two years preceding August 27, 2014, any
of the following: an officer, director, managing executive, or person in control of a corporation; a partner, other
than a limited partner, of a partnership; a sole proprietor or self-employed.
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11.

Is the judgment debtor a partner in a domestic partnership or civil union registered or formed in
California, another state or another country?
If so, give the partner’s full name
(including any alias), the date the domestic partnership was registered or formed and the state or country
of registration or formation:

12.

Was the judgment debtor a partner in a previous domestic partnership or civil union?
If so,
give the name and address of each former partner, the date of registration or formation of the domestic
partnership or civil union and the date of divorce, termination or death:

13.

Does the judgment debtor have any children?

If so, give the name, age and address of each:

14.

Does the judgment debtor live in a home?

If so, who owns it?

15.

Does the judgment debtor have any boarders or tenants?
If so, give the name and address of
each and the amount of rent or other consideration paid each month:

16.

Has the judgment debtor filed a federal or state income tax return for each of the last five years?
If so, provide copies of each tax return with your response.

II.

FINANCIAL STATEMENT

1.

Income from employment or operation of business
State the gross amount of income the judgment debtor has received from employment, trade, or
profession, or from operation of the debtor’s business from the beginning of this calendar year to
August 27, 2014. State also the gross amounts received during the two years immediately preceding this
calendar year.
AMOUNT

SOURCE (if more than one)

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2.

Income other than from employment of operation of business
State the amount of income received by the judgment debtor other than from employment, trade,
profession, or operation of the debtor’s business during the two years immediately preceding
August 27, 2014.
AMOUNT

3.

SOURCE (if more than one)

Suits and administrative proceedings, executions, garnishment and attachments
List all suits and administrative proceedings to which the judgment debtor is or was a party within one
year preceding August 27, 2014.
CAPITON OF SUIT
OR CASE NUMBER

4.

NATURE OF
PROCEEDING

COURT OR AGENCY
AND LOCATION

STATUS OR
DISPOSITION

Gifts
List all gifts or charitable contributions made by the judgment debtor within one year preceding to
August 27, 2014, except ordinary and usual gifts to family members aggregating less than $200 in value
per individual and charitable contributions aggregating less than $100 per recipient.
NAME AND
ADDRESS OF
PERSON OR
ORGANIZATION

5.

RELATIONSHIP TO
DEBTOR, IF ANY

DATE OF GIFT

DESCRIPTION
AND VALUE
OF GIFT

Losses
List all losses from fire, theft, other casualty or gambling within one year preceding August 27, 2014.
DESCRIPTIONS OF
CIRCUMSTANCES AND, IF LOSS
WAS COVERED IN WHOLE OR IN
DESCRIPTION AND
PART BY INSURANCE, GIVE
VALUE OF PROPERTY PARTICULARS

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DATE OF LOSS

6.

Other transfers
List all other property, other than property transferred in the ordinary course of business or financial
affairs of the debtor, transferred either absolutely or as security within one year preceding
August 27, 2014.
NAME AND ADDRESS OF
TRANSFEREE,
RELATIONSHIP TO
DEBTOR

7.

DESCRIBE PROPERTY
TRANSFERRED AND VALUE
RECEIVED

DATE

Closed financial accounts
List all financial accounts and instruments held in the name of the judgment debtor or for the benefit of
the debtor which were closed, sold, or otherwise transferred within one year preceding to August 27,
2014. Include checking, savings, or other financial accounts, certificates of deposit, or other
instruments; shares and share accounts held in banks, credit unions, pension funds, cooperatives,
associations, brokerage houses and other financial institutions.

NAME AND ADDRESS OF
INSTITUTION

TYPE AND NUMBER
OF ACCOUNT AND
AMOUNT OF FINAL
BALANCE

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AMOUNT AND DATE OF SALE
OR CLOSING

8.

Safe deposit boxes
List each safe deposit box or other box or depository in which the judgment debtor has or had securities,
cash, or other valuables or has had access to within one year preceding August 27, 2014.

NAME AND
ADDRESS OF BANK
OR OTHER
DEPOSITORY

9.

NAMES AND
ADDRESSES OF
THOSE WITH
ACCESS TO THE
BOX OR
DEPOSITORY

DESCRIPTION OF
CONTENTS

DATE OF
TRANSFER
OR
SURRENDER,
IF ANY

Property held by another person
List all property held by another person that the judgment debtor owns or controls.

NAME AND ADDRESS OF
OWNER

10.

DESCRIPTION AND
VALUE OF
PROPERTY

LOCATION OF PROPERTY

Prior address(es) of judgment debtor
If the debtor has moved within the two years immediately preceding August 27, 2014, list all premises
which the debtor occupied during that period and vacated prior to the commencement of this case.
ADDRESS

NAME USED

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DATES OF OCCUPANCY

11.

Name, location and nature of business
Please list the names and addresses of all businesses in which the judgment debtor is, or has been, an
officer, director, partner or managing executive of a corporation, partnership, sole proprietorship, or was
a self-employed professional, within two years immediately preceding August 27, 2014, or in which the
judgment debtor owned five percent (5%) or more of the voting or equity securities within the two years
preceding August 27, 2014.

NAME

12.

ADDRESS

NATURE OF BUSINESS

BEGINNING
AND ENDING
DATES OF
OPERATION

Books, records and financial statements
a.
List all bookkeepers and accountants who within the six years preceding August 27, 2014, kept
or supervised the keeping of the judgment debtor’s books of account and records.
NAME AND ADDRESS

DATES SERVICES RENDERED

b.
List all firms or individuals who within the two years preceding August 27, 2014, have audited
the books of account and records, or prepared a financial statement for the judgment debtor.

NAME

DATES AND SERVICES
RENDERED

ADDRESS

c.
List all firms or individuals who as of August 27, 2014, were in possession of the judgment
debtor’s books of account and records and where such books of accounts and records are located. If any
of the books of account and records are not available, explain.
NAME

ADDRESS

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d.
List all financial institutions, creditors and other parties, including mercantile and trade agencies,
to whom a financial statement was issued within the two years preceding August 27, 2014.
NAME AND ADDRESS

13.

DATE ISSUED

Inventories
a.
List the dates of the last two inventories taken of the judgment debtor’s property, the name of the
person who supervised the taking of each inventory, and the dollar amount and basis of each inventory.

DATE OF INVENTORY

INVENTORY SUPERVISOR

DOLLAR AMOUNT OF
INVENTORY
(Specify cost, market or
other basis)

b.
List the name and address of the person having possession of the records of each of the two
inventories reported in (a.), above.
NAME AND ADDRESS OF CUSTODIAN OF
INVENTORY RECORDS

DATE OF INVENTORY

14.

Current partners, officers, directors and shareholders
a.
If the judgment debtor is a partner, list the nature and percentage of partnership interest of each
member of the partnership.

NAME AND ADDRESS

NATURE OF INTEREST

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PERCENTAGE OF
INTEREST

b.
If the judgment debtor is a shareholder in a statutory close corporation, list all officers and
directors of the corporation, and each stockholder who directly or indirectly owns, controls, or holds five
percent (5%) or more of the voting securities of the corporation.

NAME AND ADDRESS

15.

NATURE AND
PERCENTAGE OF
STOCK OWNERSHIP

TITLE

Debts owed to Judgment Debtor
Does anyone owe the judgment debtor money?

16.

If so, furnish complete details:

Bankruptcy
Has the judgment debtor ever filed for bankruptcy?

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If so, furnish complete details:

III.

INTERESTS IN PROPERTY

A.
Real Property. List all real property in which the judgment debtor has any legal, equitable, or
future interest, including all properly owned by a co-tenant, community property, or in which the judgment
debtor has a life estate. Include any property in which the judgment debtor holds rights or property exercisable
for the judgment debtor’s own benefit. If the judgment debtor is married, state whether the husband, wife, or
both of them own the property by placing an “H,” “W,” or “C” in the column labeled “Husband, Wife, Joint, or
Community.” If the judgment debtor holds no interest in real property, write “None” under “Description and
Location of Property.” If any entity claims to have a lien or hold a secured interest in any property, state the
amount of the secured claim. If no entity claims to hold a secured interest in the property, write “None” in the
column labeled “Amount of Secured Claim.”
DESCRIPTION AND
LOCATION OF REAL
PROPERTY

NATURE OF
DEBTOR’S
INTEREST IN
REAL
PROPERTY

HUSBAND,
WIFE, JOINT,
OR COMMUNITY

CURRENT MARKET
VALUE OF
JUDGMENT
DEBTOR’S INTEREST
IN PROPERTY
(WITHOUT
DEDUCTING ANY
SECURED CLAIM OR
EXEMPTION)

AMOUNT
OF
SECURED
CLAIM

B.
Personal Property. List all of the judgment debtor’s personal property of whatever kind,
itemize and give particulars for each category. If the judgment debtor has no property in one or more of the
categories, state “None.”

1.

Cash on hand.

2.
Checking, savings or other financial accounts, certificates of deposit, or shares in banks, savings
and loan, thrift, building and loan, and homestead associations, or credit unions, brokerage houses, or
cooperatives

3.

Security deposits with public utilities, telephone companies, landlords, and others.

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4.

Household goods and furnishings, including audio, video, and computer equipment.

5.
Books, pictures and other art objects, antiques, stamp, coin, record, tape, compact disc, and other
collections or collectibles.

6.

Furs and jewelry.

7.

Annuities. Itemize and name each insurer.

8.

Interests in IRA, ERISA, Keogh, or other pension or profit sharing plan.

9.

Firearms, sports, photographic, and/ other hobby equipment.

10.
Interests in insurance policies. Name insurance company of each policy and itemize surrender or
refund value of each.

11.

Stock and interests in incorporated and unincorporated businesses.

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12.

Interests in partnerships or joint ventures.

13.

Government and corporate bonds and other negotiable and non-negotiable instruments.

14.

Accounts receivable.

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be entitled.

16.

Alimony, maintenance, support, and property settlements to which the judgment debtor is or may

Other liquidated debts owing debtor including tax refunds.

17.
Equitable or future interest, life estates, and rights or powers exercisable for the benefit of the
debtor other than those listed in Schedule of Real Property.

18.
Contingent and non-contingent interests in estate of a decedent, death benefit plan, life insurance
policy, or trust.

19.
Other contingent and unliquidated claims of every nature, including tax refunds, counterclaims
of the debtor, and rights to setoff claims. Give estimated value of each.

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20.

Patents, copyrights, and other intellectual property.

21.

Licenses, franchises, and other general intangibles.

22.

Automobiles, trucks, trailers, and other vehicles and accessories.

23.

Boats, motors and accessories.

24.

Aircraft and accessories.

25.

Office equipment, furnishings, and supplies.

26.

Machinery, fixtures, equipment and supplies used in business.

27.

Inventory.

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28.

Animals.

29.

Crops - growing or harvested.

30.

Farming equipment and implements.

31.

Farm supplies, chemicals, and feed.

32.

Other personal property of any kind not already listed.

I declare under penalty of perjury pursuant to the laws of the United States of America and the State of
California that the foregoing responses, and any supplement statements submitted concurrently herewith, are
true and correct.
Executed at __________________________________ on ____________.
________________________________
Judgment Debtor
________________________________
(PRINT NAME)

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