Securities and Exchange Commission v. Helms et al

Filing 1

Copy of ORDER appointing receiver Thomas L. Taylor III by United States District Court, Western District of Texas, Judge Lee Yeakel on 12/03/2013. (Filing fee $ 46.00, Receipt Number 059594) (Attachments: # 1 Cover Letter, # 2 Notice of Filing, # 3 Complaint, # 4 Civil Cover Sheet) (sphil, ).

Case 1:13-cv-01036-LY Document 1-1 Filed 12/03/13 Page 1 of 1

(;

JS 44 Reverse (Rev 3/99)

1'T

COVER SHEET

CIVIL

The JS-44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by
law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of
the Clerk of Court for the purpose of initiating the civil docket sheet. (SEE INSTRUCTIONS ON THE REVERSE OF THE FORM.)

1(a) PLAINTIFFS

Defendants-

U.S. SECURITIES AND EXCHANGE
COMMISSION

Robert A. Helms., et al., and
Relief Defendants: Global Capital Ventures, LLC, and
William L. Barlow

(b)

COUNTY OF RESIDENCE OF FIRST LISTED PLAINTIF
(EXCEPT IN US

F___

County of Residence of First Listed Defendant:

6

Travis

(IN U.S. PLAINTIFF CASES ONLY)
OTE: IN LAND CONDEMNATION CASES, USE THE LOCATION OF THE

ATTORNEYS (IF KNOWN)

(c) ATTORNEY (FIRM NAME, ADDRESS, AND TELEPHONE NUMBER)

Timothy S. McCoIe
U.S. Securities & Exchange Commission
801 Cherry Street, Suite 1900, Unit 18
Fort_Worth,_TX_76102__(817)_978-6453
II. BASIS OF JURISDICTION (PLACE AN

(PLACE AN "X"
PLAINTIFF
AND
DEFENDANT)

III. CITIZENSHIP OF PRINCIPAL PARTIES
(For Diversity Cases Only)
PTF PTF

IN ONE BOX ONLY)

"X"

0 3 Federal Question

0
0
02 02
03 0 3

Citizen of This State

ONE
BOX
ONE
BOX

IN

PTF PIE

U.S. Government

(U.S. Government Not a Party)

Plaintiff

0

0 2 U.S. Government

Citizen of Another State
4 Diversity

(Indicate Citizenship of Parties
in Item Ill)

Defendant

IV. NATURE OF SUIT (PLACE AN

'X' IN

0

o

TORTS

110 Insurance
120 Marine
130 Miller Act
140 Negotiable Instrument

PERSONAL INJURY
0 310 Airplane
315 Airplane Product

150 Recovery of Overpayment

0

0

Liability
320 Assault, Libel &

Slander
0 330 Federal
Employers Liability
0 340 Marine

152 Recovery of Defaulted
Student Loans (EacI. Veterans)

0 345

0

0

153 Recovery OF Overpayment

Agriculture
Other Food & Drug
0625 Drug Related Seizure of
Property 21 USC 881
0 630 Liquor Laws

Med. Malpractice
365 Personal ln)ury Product Liability

350 Motor Vehicle

of Veteran's Benefits

380 Other Personal
Property Damage
385 Property Damage

0
0
0

650 Airline Regs.
660 Occupational Safety/Health
690 Other

710 Fair Labor Standards Act
720 Labor/Mgmt. Relations

CIVIL RIGHTS

PRISONER PETITIONS

0730

0

0

0

V.

441 Voting

Original
Proceeding

1

0

0 530
0 535
0 540
0 550

443 Housing)
Accommodations
0444 Welfare
440 Other Civil
Rights

0

Sentence
Habeas Corpus:
General
Death Penalty
Mandamus & Other
Civil Rights

OTHER STATUTES

28 USC 156

Labor(Mgmt. Reporting &
Disclosure Act

740 Railway Labor Act

SOCIAL SECURITY

0

and Corrupt Organizations
810 Selective Service
850 Securities
Commodities/ Exchange
875 Customer Challenge
12 USC 3410
891 Agricultural Acts
892 Economic Stabilization
Act

0
0

0 864 SSID Title XVI
0 865 RSI (405(g))

0 893
0 894
0 895

FEDERAL TAX SUITS

0870

0 791

0

Security Act

0

0 861 HIA (1395FF)
0 862 Black Lung 1923)
0 863 DIWC/DIWW (405(g))

0 790 Other Labor Litigation
Empl. Ret. Inc.

0 400 State Reapportionment
0 410 Antitrust
0430 Banks and Banking
0 450 Commerce/ICC
Rates/etc
0 460 Deportation
0 470 Racketeer Influenced

Taxes (U.S. Plaintiff or
Defendant)
- Third Party
26 USC 7609

0

871 IRS

0

0

Environmental Matters
Energy Allocation Act
Freedom of
Information Act
900 Appeal of Fee
Determination Under
Equal Access to Justice
950 Constitutionality of
State Statutes
890 Other Statutory Actions

(PLACEAIV "X" IN ONE BOX ONL 1')

0

2 Removed from

State Court

VI. CAUSE OF ACTION
DIVERSITY.)

510 Motions to Vacate

0442 Employment

ORU3IN

tLN

06 0 6

PROPERTY RIGHTS

Product Liability

0

230 Rent Lease & Ejectment

5

0 820 Copy rights
0 830 Patient
0 840 Trademark

LABOR

O

0

355 Motor Vehicle
Product Liability
360 Other Personal
Injury

o 240 Torts to Land
o 245 Tort Product Liability
O 290 All Other Real Property

0

BANKRUPTCY

640 R.R. & Truck

REAL PROPERTY

LI

5

28 USC 157

0

0

0220 Foreclosure

0

0 423 Withdrawal

0

368 Asbestos Personal
Injury Product Liability
PERSONAL PROPERTY
370 Other Fraud
371 Truth in Lending

O 160 Stockholders' Suits
o 190 Other Contract
o 195 Contract Product Liability

210 Land Condemnation

4

0422 Appeal

0

0
0
0

Marine Product

Liability

o

0

Incorporated and Principal Place
of Business in Another State

FORFEITURE/PENALTY

0 610
0 620

PERSONAL INJURY
362 Personal lniury-

0

0

& Enforcement of Judgment
151 Medicare Act

4

ONE BOX ONLY)

CONTRACT

o
o
o
o
0

Citizen or Subject of a
Foreign Country

0

Foreign Nation

1

Incorporated or Principal Place
of Business In This State

1

1

0 3 Remanded from

0 4 Reinstated

Appellate Court

Reopened

or

0 5 Transferred from 0 6 Multidiatrict
another district

Litigation

lSoecifvl
(CITE THE U.S. CIVIL STATUTE UNDER WHICH YOU ARE PILING AND WRITE BRIEF STATEMENT OF CAUSE. DO NOT CITE JURISDICTIONAL STATUTES UNLESS

Section 17(a) of the Securities Act [15 U.S.C.

§

77q(a)], 10(b) of the Securities Exchange [15 U.S.C.

§

78j(b)] & Rule

lOb-5 thereunder [17 C.F.R. § 240.lOb-5].

Brief Description of Cause: Fraud
VII. REQUESTED IN

COMPLAINT:

FOR
FOR

CHECK IF THIS IS A CLASS ACTION

o

VIII. RELATED CASE(S) (See Instructions):
IF ANY
DATE

December 3, 2013

DEMAND $

CHECK YES only if demanded in complaint:

UNDER F.R.C.P. 23

JURY DEMAND

JUDGE

DOCKET NUMBER

SIGNATURE OF ATTORNEY OF RECORD

/s/Timothy S. McCole

FOR OFFICE USE ONLY

Receipt #__________ AMOUNT

APPLYING IFP

JUDGE 5

(11

MAG. JUDGE

0

YES

NO