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
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