United States Securities and Exchange Commission v. Holzhueter, Loren et al

Filing 350

Transmission of Notice of Appeal, Docketing Statement, Order and Docket Sheet to Seventh Circuit Court of Appeals re: 348 Notice of Appeal, (Attachments: # 1 Docketing Statement, # 2 Order, # 3 Docket Sheet) (lak)

3015, APPEAL, EJT, UA,

U.S. District Court
Western District of Wisconsin (Madison)
CIVIL DOCKET FOR CASE #: 3:15-cv-00045-jdp

United States Securities and Exchange Commission v. Holzhueter, Loren
et al
Assigned to: District Judge James D. Peterson
Referred to: Magistrate Judge Stephen L. Crocker
Case in other court: 7th Circuit, 16-03951
7th Circuit, 16-03952
7th Circuit, 16-03953
Cause: 15:78m(a) Securities Exchange Act

Date Filed: 01/21/2015
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
United States Securities and Exchange
Commission

represented by Ariella O. Guardi
U.S. Securities and Exchange
175 West Jackson Blvd.
Suite 900
Chicago, IL 60604
312-353-7410
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Jennifer Peltz
U.S. Securities and Exchange Commission
175 West Jackson Blvd., Suite 900
Chicago, IL 60604
312-353-7390
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Robert MacDonald Moye
U.S. Securities & Exchange Commission
175 W. Jackson Blvd.
Suite 900
Chicago, IL 60604
312-353-1051
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Timothy Stewart Leiman
United States Securities and Exchange
Commission
175 W. Jackson Blvd.

Suite 900
Chicago, IL 60604
312-353-5213
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
V.
Defendant
Loren W. Holzhueter
TERMINATED: 06/17/2015

represented by Benjamin Joseph Glicksman
Kravit, Hovel & Krawczyk, S.C.
825 North Jefferson Street
Suite 500
Milwaukee, WI 53202
414-271-7100x273
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Stephen E. Kravit
Kravit, Hovel & Krawczyk, S.C.
825 North Jefferson Street
Suite 500
Milwaukee, WI 53202
414-271-7100x105
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Defendant
Honefi, LLC
Relief Defendant

represented by Benjamin Joseph Glicksman
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Stephen E. Kravit
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Defendant
Arlene Holzhueter
Relief Defendant
Defendant

represented by Stephen E. Kravit
(See above for address)
ATTORNEY TO BE NOTICED

Aaron Holzhueter
Relief Defendant

represented by Peyton Barkley Engel
Hurley, Burish and Stanton S.C.
P.O. Box 1528
33 East Main Street
Madison, WI 53701-1528
608-257-0945
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Defendant
ISC, Inc.
doing business as
Insurance Service Center

represented by Benjamin Joseph Glicksman
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Stephen E. Kravit
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Defendant
The Estate of Loren W. Holzhueter

represented by Stephen E. Kravit
(See above for address)
ATTORNEY TO BE NOTICED

V.
Creditor
Krizan Insurance Services, Inc.

represented by James Burnett
Burnett, McDermott, Jahn, King & DesRochers,
LLP
50 East Main Street
P.O. Box 146
Chilton, WI 53014
920-849-9323
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Mark S. DesRochers
DesRochers Law Offices, LLC
2800 East Enterprise Avenue
Appleton, WI 54913
920-560-4532
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Creditor

Double Bubble, Ltd.

represented by James Burnett
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Derek McDermott
Burnett, McDermott, Jahn, King & DesRochers,
LLP
50 East Main Street
P.O. Box 146
Chilton, WI 53014
920-849-9323
Email: [e-mail]
ATTORNEY TO BE NOTICED
Mark S. DesRochers
(See above for address)
ATTORNEY TO BE NOTICED

Creditor
Larry Schneider

represented by Mark S. DesRochers
(See above for address)
ATTORNEY TO BE NOTICED

Creditor
Partnership Community Bank

represented by Timothy F. Nixon
Godfrey & Kahn, S.C.
333 Main Street
PO BOX 13067
Green Bay, WI 54307-3067
920-436-7693x7693
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Claimant
Stanley Kuehl

represented by Timothy J. Peyton
Kepler & Peyton
634 West Main Street, Suite 202
Madison, WI 53703
608-257-5424
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Claimant
Louann Kuehl

Claimant

represented by Timothy J. Peyton
(See above for address)
ATTORNEY TO BE NOTICED

T & J Liquidation, Inc.
C/O Sager & Colwin Law Offices, S.C.
201 S. Marr Street
Fond du Lac, WI 54935

represented by Christopher James Smith
Sager & Colwin Law Offices, S.C.
201 S. Marr St.
Fond du Lac, WI 54935
920-948-2123
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Claimant
Martin J. Cowie

represented by Paul Gregory Swanson
Steinhilber Swanson LLP
107 Church Avenue
PO Box 617
Oshkosh, WI 54901
920-235-6690
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Interested Party
State Court Plaintiffs
TERMINATED: 10/20/2016

represented by Francis D. Schmitz
Law Offices of Francis D. Schmitz, LLC
1288 Summit Avenue
Suite 107-103
Oconomowoc, WI 53066
262-549-0579
Email: [e-mail]
ATTORNEY TO BE NOTICED
Patrick J. Schott
Schott, Bublitz & Engel S.C.
16655 West Bluemound Road
Suite #270
Brookfield, WI 53005
262-827-1700
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Interested Party
Michael S Polsky
Nominated Receiver

represented by Joseph M. Peltz
Beck, Chaet, Bamberger & Polsky, S.C.
Two Plaza East, Suite 1085
330 East Kilbourn Avenue
Milwaukee, WI 53202
[phone]
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Lauren Catherine Stanley

Beck, Chaet, Bamberger & Polsky, S.C.
Two Plaza East, Suite 1085
330 East Kilbourn Avenue
Milwaukee, WI 53202
414-273-4200
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Michael S. Polsky
Beck, Chaet, Bamberger & Polsky, S.C.
Two Plaza East, Suite 1085
330 East Kilbourn Avenue
Milwaukee, WI 53202
414-273-4200
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Interested Party
AVID Acquisitions LLC

Date Filed

#

represented by Mary Carolyn Turke
Turke & Strauss LLP
613 Williamson Street, Suite 210
Madison, WI 53703
608.237.1776
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Docket Text

01/21/2015

1 COMPLAINT against All Defendants. Service to be completed by Waiver of Service of
Summons. Filed by United States Securities and Exchange Commission. (Attachments:
# 1 JS-44 Civil Cover Sheet,
# 2 Exhibit - counsel information,
# 3 Summons - Loren Holzhueter,
# 4 Summons - ISC, Inc.,
# 5 Summons - Honefi, LLC) (Moye, Robert) (Entered: 01/21/2015)

01/21/2015

2 Notice of Appearance for Plaintiff filed by Robert MacDonald Moye for Plaintiff United States
Securities and Exchange Commission. (Moye, Robert) (Entered: 01/21/2015)

01/21/2015

Case randomly assigned to District Judge James D. Peterson and Magistrate Judge Stephen L.
Crocker. (jat) (Entered: 01/21/2015)

01/21/2015

Standard attachments for Judge James D. Peterson required to be served on all parties with
summons or waiver of service: NORTC, Corporate Disclosure Statement. (jat) (Entered:
01/21/2015)

01/21/2015

3 Summons Issued as to Loren W. Holzhueter, Honefi, LLC, ICS, Inc.. (Attachments:
# 1 Summons ISC,
# 2 Summons Honefi) (jat) Modified on 1/21/2015 (jat). (Entered: 01/21/2015)

01/21/2015

4 Emergency Motion for Temporary Restraining Order and Appointment of an Independent
Monitor for ISC, Inc. by Plaintiff United States Securities and Exchange Commission.
(Attachments:
# 1 Text of Proposed Order - Proposed TRO,
# 2 Text of Proposed Order - Proposed Order for Independent Monitor) (Moye, Robert)
(Entered: 01/21/2015)

01/21/2015

5 Notice of Appearance filed by Jennifer Peltz for Plaintiff United States Securities and Exchange
Commission. (Peltz, Jennifer) (Entered: 01/21/2015)

01/21/2015

6 Notice of Appearance filed by Timothy Stewart Leiman for Plaintiff United States Securities
and Exchange Commission. (Leiman, Timothy) (Entered: 01/21/2015)

01/21/2015

7 Notice of Appearance filed by Ariella O. Guardi for Plaintiff United States Securities and
Exchange Commission. (Guardi, Ariella) (Entered: 01/21/2015)

01/21/2015

8 Declaration of Randall Dorn filed by Plaintiff United States Securities and Exchange
Commission re: 4 Motion for TRO, (Attachments:
# 1 Exhibit 1 - Promissory Note,
# 2 Exhibit 2 - Modification to the Terms of the Loan) (Leiman, Timothy) Modified on
1/22/2015 to add exhibit descriptions. (lak) (Entered: 01/21/2015)

01/21/2015

9 Supplemental Declaration of Randall Dorn filed by Plaintiff United States Securities and
Exchange Commission re: 4 Motion for TRO, (Attachments:
# 1 Exhibit 1 - Letter Dated 1/9/2015) (Leiman, Timothy) Modified on 1/22/2015 to add exhibit
description.(lak) (Entered: 01/21/2015)

01/21/2015

10 Declaration of Michelle Duddeck filed by Plaintiff United States Securities and Exchange
Commission re: 4 Motion for TRO. (Leiman, Timothy) Modified on 1/22/2015. (lak) (Entered:
01/21/2015)

01/21/2015

11 Declaration of Louise Kenevan filed by Plaintiff United States Securities and Exchange
Commission re: 4 Motion for TRO, (Attachments:
# 1 Exhibit 1 - Balloon Payment Promissory Note) (Leiman, Timothy) Modified on 1/22/2015
to add exhibit description. (lak) (Entered: 01/21/2015)

01/21/2015

12 Declaration of Carl Nicholson filed by Plaintiff United States Securities and Exchange
Commission re: 4 Motion for TRO, (Attachments:
# 1 Exhibit 1 - American Funds Year-End Statement,
# 2 Exhibit 2 - Promissory Notes,
# 3 Exhibit 3 - Insurance Service Center Letter Dated 12/18/2013) (Leiman, Timothy) Modified
on 1/22/2015 to add exhibit descriptions. (lak) (Entered: 01/21/2015)

01/21/2015

13 Brief in Support of 4 Motion for TRO, and Other Relief by Plaintiff United States Securities
and Exchange Commission, (Attachments:
# 1 Exhibit A, DFI records,
# 2 Exhibit B, Journal Sentinel article,
# 3 Exhibit C, Investor receipt,
# 4 Exhibit D, Summary sheets,
# 5 Exhibit E, Summary sheet,
# 6 Exhibit F, Transaction details,
# 7 Exhibit G, IRS affidavit,
# 8 Exhibit H, SEC subpoena,
# 9 Exhibit I, Testimony transcript,
# 10 Exhibit J, Loan application,
# 11 Exhibit K, Default Notice) (Moye, Robert) (Entered: 01/21/2015)

01/21/2015

14 Declaration of Luz Aguilar filed by Plaintiff United States Securities and Exchange
Commission re: 4 Motion for TRO, (Attachments:
# 1 Exhibit List,
# 2 Exhibit 1, Accounts Summary,
# 3 Exhibit 2, Investors,
# 4 Exhibit 3, Monthly Summary,
# 5 Exhibit 4, Periods,
# 6 Exhibit 5. Since Nov. 2013,
# 7 Exhibit 6, Investor payments,
# 8 Exhibit 7, Since May 2014,
# 9 Exhibit 8, Sources and Uses,
# 10 Exhibit 9, Investor No. 116,
# 11 Exhibit 10, Investor No. 116 Uses,
# 12 Exhibit 11, Balance sheet,
# 13 Exhibit 12, Balance sheet,
# 14 Exhibit 13, Summary of bank balances,
# 15 Exhibit 14, Balance sheet,
# 16 Exhibit 15, Investor No. 39,
# 17 Exhibit 16, Investor No. 39 Uses,
# 18 Exhibit 17, Investor No. 39 repayment,
# 19 Exhibit 18, Settlement transfers,
# 20 Exhibit 19, Settlement payments,
# 21 Exhibit 20, Loan repayments,
# 22 Exhibit 21, Honefi transfers,
# 23 Exhibit 22, Family transfers) (Moye, Robert) Modified on 1/22/2015 to note that page 8 of
the declaration is included twice. (lak) (Entered: 01/21/2015)

01/22/2015

Set Deadlines and Hearings re: 4 Emergency Motion for Temporary Restraining Order and
Appointment of an Independent Monitor for ISC, Inc. Hearing set for 1/22/2015 at 10:00 AM in
Courtroom 260 before District Judge James D. Peterson. (arw) (Entered: 01/22/2015)

01/22/2015

15 Minute Entry for proceedings held before District Judge James D. Peterson: Motion Hearing
held on 1/22/2015 re 4 Emergency Motion for Temporary Restraining Order and Appointment
of an Independent Monitor for ISC, Inc. filed by United States Securities and Exchange
Commission [:43] (Court Reporter LS.) (nln) (Entered: 01/22/2015)

01/22/2015

16 Notice of Appearance filed by Stephen E. Kravit for Defendants Loren W. Holzhueter, Honefi,
LLC, ISC, Inc. (Kravit, Stephen) (Entered: 01/22/2015)

01/23/2015

17 Status Report Related to Motion for Temporary Restraining Order by Plaintiff United States
Securities and Exchange Commission. (Leiman, Timothy) (Entered: 01/23/2015)

01/26/2015

18 Motion for Entry of Proposed Temporary Restraining Order by Plaintiff United States Securities
and Exchange Commission. Response due 2/2/2015. (Attachments:
# 1 Exhibit A - Proposed TRO) (Leiman, Timothy) (Entered: 01/26/2015)

01/26/2015

19 Motion for Temporary Restraining Order by Defendants Loren W. Holzhueter, Honefi, LLC,
ISC, Inc. (Attachments:
# 1 Text of Proposed Order) (Kravit, Stephen) (Entered: 01/26/2015)

01/28/2015

20 TEMPORARY RESTRAINING ORDER. Signed by District Judge James D. Peterson on
1/28/15. (jat) (Entered: 01/28/2015)

02/03/2015

21 Waiver of Service Returned Executed by Defendant Loren W. Holzhueter. Loren W. Holzhueter
waiver sent on 1/29/2015, answer due 3/30/2015. (Moye, Robert) (Entered: 02/03/2015)

02/03/2015

22 Waiver of Service Returned Executed by Defendant ISC, Inc. ISC, Inc. waiver sent on
1/29/2015, answer due 3/30/2015. (Moye, Robert) (Entered: 02/03/2015)

02/03/2015

23 Waiver of Service Returned Executed by Defendant Honefi, LLC. Honefi, LLC waiver sent on
1/29/2015, answer due 3/30/2015. (Moye, Robert) (Entered: 02/03/2015)

02/11/2015

24 Joint Motion for Entry of Agreed Orders Appointing Independent Monitor and Ordering an
Accounting by Defendants Loren W. Holzhueter, Honefi, LLC, ISC, Inc., Plaintiff United States
Securities and Exchange Commission. Response due 2/18/2015. (Attachments:
# 1 Exhibit A - Proposed Agreed Order re Appointment of Monitor,
# 2 Exhibit B - Proposed Agreed Order re Accounting) (Leiman, Timothy) (Entered:
02/11/2015)

02/12/2015

25 ORDER Appointing Independent Monitor Signed by District Judge James D. Peterson on
2/12/15. (jat) (Entered: 02/12/2015)

02/12/2015

26 ORDER for Accounting. Signed by District Judge James D. Peterson on 2/12/15. (jat) (Entered:
02/12/2015)

02/20/2015

27 Joint Motion to Amend/Correct 20 Temporary Restraining Order to Allow Certain Payments by
Honefi, LLC by Plaintiff United States Securities and Exchange Commission., (Attachments:
# 1 Text of Proposed Order) (Moye, Robert) Modified on 2/22/2015. (lak) (Entered:
02/20/2015)

02/20/2015

28 ORDER granting 27 Joint Motion to Amend Temporary Restraining Order. Signed by District
Judge James D. Peterson on 2/20/15. (jat) (Entered: 02/20/2015)

02/20/2015

29 Joint Motion for Appointment of David L. Omachimski as Independent Monitor over ISC, Inc.
re 25 Order on Motion for Miscellaneous Relief by Plaintiff United States Securities and
Exchange Commission. (Attachments:
# 1 Exhibit A - Nomination Letter from ISC's counsel) (Moye, Robert) Modified on 2/22/2015.
(lak) (Entered: 02/20/2015)

02/23/2015

30 ** TEXT ONLY ORDER **
The parties' joint motion, Dkt. 29 , is GRANTED. Signed by District Judge James D. Peterson
on 2/23/15. (jat) (Entered: 02/23/2015)

03/16/2015

31 Joint Motion to Authorize Payment of Independent Monitor by Plaintiff United States Securities
and Exchange Commission. (Attachments:
# 1 Exhibit A, Omachinski Invoice) (Moye, Robert) (Entered: 03/16/2015)

03/17/2015

32 Notice by Plaintiff United States Securities and Exchange Commission of Objection to Payment
to Defendants' Counsel Authorized by Independent Monitor. (Moye, Robert) Modified on
3/18/2015 (jat). (Entered: 03/17/2015)

03/18/2015

Set Deadlines as to 32 Notice by Plaintiff United States Securities and Exchange Commission
of Objection to Payment to Defendants' Counsel Authorized by Independent Monitor. Response
due 3/25/2015. No reply. (jat) (Entered: 03/18/2015)

03/18/2015

33 ** TEXT ONLY ORDER **
The joint motion to authorize payment to the independent monitor 31 is GRANTED. Signed by
District Judge James D. Peterson on 3/17/15. (jat) (Entered: 03/18/2015)

03/20/2015

34 Brief in Opposition by Defendants Loren W. Holzhueter, ISC, Inc. re: 32 Notice by Plaintiff
United States Securities and Exchange Commission of Objection to Payment to Defendants'
Counsel Authorized by Independent Monitor. (Kravit, Stephen) Modified on 3/23/2015. (lak)
(Entered: 03/20/2015)

03/20/2015

35 Declaration of Stephen E. Kravit filed by Defendants Loren W. Holzhueter, ISC, Inc. In
Response re: 32 Notice by Plaintiff United States Securities and Exchange Commission of
Objection to Payment to Defendants' Counsel Authorized by Independent Monitor. (Kravit,
Stephen) Modified on 3/23/2015. (lak) (Entered: 03/20/2015)

03/27/2015

36 ORDER ON PAYMENT: The SEC's objection, Dkt. 32 , is OVERRULED, and partial payment
of $13,500 to Kravit, Hovel & Krawczyk, S.C., is approved. Signed by District Judge James D.
Peterson on 3/27/15. (jat) (Entered: 03/27/2015)

03/30/2015

37 ANSWER by Defendants Loren W. Holzhueter, ISC, Inc., Relief Defendant Honefi, LLC.
(Kravit, Stephen) Modified on 3/31/2015. (lak) (Entered: 03/30/2015)

04/02/2015

Set Telephone Conference: Telephone Pretrial Conference set for 4/29/2015 at 01:30 PM before
Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff responsible for setting up the call to
chambers at [phone]. [Standing Order Governing Preliminary Pretrial Conference
attached] (jat) (Entered: 04/02/2015)

04/02/2015

38 Transcript of Temporary Injunction Hearing, held 1/22/15 before Judge James D. Peterson.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic Transcript
Instructions and Notice of Intent to Request Redaction. (jat) (Entered: 04/02/2015)

04/08/2015

39 Notice by Plaintiff United States Securities and Exchange Commission of Independent
Monitor's Report. (Moye, Robert) (Entered: 04/08/2015)

04/08/2015

40 Joint Motion to Authorize Payment to Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission. Response due 4/15/2015. (Attachments:
# 1 Exhibit A, March Invoice) (Moye, Robert) (Entered: 04/08/2015)

04/09/2015

41 ** TEXT ONLY ORDER **
The joint motion to authorize payment to the independent monitor, dkt. # 40 , is GRANTED.
Signed by District Judge James D. Peterson on 4/9/15. (jat) (Entered: 04/09/2015)

04/21/2015

42 Joint Motion to Reschedule Telephone Pretrial Conference by Plaintiff United States Securities
and Exchange Commission. (Peltz, Jennifer) (Entered: 04/21/2015)

04/21/2015

44 ** TEXT ONLY ORDER **
ORDER granting 42 Motion to Reschedule Hearing. Telephone Pretrial Conference reset for
5/6/2015 at 01:30 PM before Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. Signed by Magistrate Judge
Stephen L. Crocker on 4/21/15. (jat) (Entered: 04/22/2015)

04/22/2015

43 Suggestion of Death Upon the Record as to Loren W. Holzhueter by Defendant Loren W.
Holzhueter. (Kravit, Stephen) (Entered: 04/22/2015)

04/30/2015

45 Joint Preliminary Pretrial Conference Report by Defendants Loren W. Holzhueter, Honefi,
LLC, ISC, Inc., Plaintiff United States Securities and Exchange Commission. (Leiman,
Timothy) (Entered: 04/30/2015)

05/06/2015

46 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Report of
Independent Monitor. (Moye, Robert) (Entered: 05/06/2015)

05/07/2015

47 Joint Motion to Authorize Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission. Response due 5/14/2015. (Attachments:
# 1 Exhibit A - April Invoice) (Moye, Robert) (Entered: 05/07/2015)

05/08/2015

48 ** TEXT ONLY ORDER **
The parties' joint motion to authorize payment to the independent monitor 47 is GRANTED.

Signed by District Judge James D. Peterson on 5/8/2015. (kwf) (Entered: 05/08/2015)
05/18/2015

49 Pretrial Conference Order - Amendments to Pleadings due 6/17/2015. Dispositive Motions due
12/1/2015. Settlement Letters due 4/1/2016. Motions in Limine due 4/1/2016. Response to
Motion due 4/15/2016. Final Pretrial Conference set for 4/27/2016 at 04:00 PM. Jury Selection
and Trial set for 5/9/2016 at 09:00 AM. Signed by Magistrate Judge Stephen L. Crocker on
5/18/15. (jat) (Entered: 05/18/2015)

06/10/2015

50 Notice by Plaintiff United States Securities and Exchange Commission of Report of
Independent Monitor. (Moye, Robert) (Entered: 06/10/2015)

06/11/2015

51 Joint Motion to Authorize Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission. (Attachments:
# 1 Exhibit A, May Invoice) (Moye, Robert) (Entered: 06/11/2015)

06/12/2015

52 ** TEXT ONLY ORDER **
ORDER granting 51 Joint Motion to Authorize Payment of Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 6/12/15. (jat) (Entered:
06/12/2015)

06/17/2015

53 AMENDED COMPLAINT against Loren W. Holzhueter, Honefi, LLC, ISC, Inc., Estate of
Loren Holzhueter, Arlene Holzhueter, Aaron Holzhueter, filed by United States Securities and
Exchange Commission. (Attachments:
# 1 Summons Aaron Holzhueter Summons,
# 2 Summons Arlene Holzhueter Summons) (Leiman, Timothy) (Entered: 06/17/2015)

06/18/2015

54 Summons Issued as to Aaron Holzhueter, Arlene Holzhueter. (Attachments:
# 1 Summons Aaron) (jat) (Entered: 06/18/2015)

06/19/2015

55 Waiver of Service Returned Executed by Defendant Arlene Holzhueter. Arlene Holzhueter
waiver sent on 6/18/2015, answer due 8/17/2015. (Leiman, Timothy) (Entered: 06/19/2015)

06/19/2015

56 Waiver of Service Returned Executed by Defendant The Estate of Loren W. Holzhueter. The
Estate of Loren W. Holzhueter waiver sent on 6/18/2015, answer due 8/17/2015. (Leiman,
Timothy) (Entered: 06/19/2015)

07/07/2015

57 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Report of
Independent Monitor. (Leiman, Timothy) (Entered: 07/07/2015)

07/07/2015

58 Joint Motion to Approve Payment of Independent Monitor by Plaintiff United States Securities
and Exchange Commission. (Attachments:
# 1 Exhibit A - June 2015 Monitor Invoice) (Leiman, Timothy) (Entered: 07/07/2015)

07/08/2015

59 ** TEXT ONLY ORDER **
The parties' joint motion to authorize payment, Dkt. 58 , is GRANTED. The court will hold a
telephonic status conference at 9 a.m. on August 20, 2015, for the parties to report on their
progress toward resolving this case on the merits. Counsel for plaintiff is responsible for
initiating the conference call to chambers at [phone]. Signed by District Judge James D.
Peterson on 7/8/15. (jat) (Entered: 07/08/2015)

07/16/2015

60 Waiver of Service Returned Executed by Defendant Aaron Holzhueter. Aaron Holzhueter
waiver sent on 6/18/2015, answer due 8/17/2015. (Leiman, Timothy) (Entered: 07/16/2015)

08/05/2015

61 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report. (Moye, Robert) (Entered: 08/05/2015)

08/06/2015

62 Joint Motion to Authorize Payment to Independent Monitor David L. Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:

# 1 Exhibit A - July Invoice) (Moye, Robert) (Entered: 08/06/2015)
08/07/2015

63 ** TEXT ONLY ORDER **
ORDER granting 62 Joint Motion to Authorize Payment to Independent Monitor David L.
Omachinski. Signed by District Judge James D. Peterson on 8/7/2015. (jls) (Entered:
08/07/2015)

08/13/2015

64 Joint Stipulation to Extend Answer Deadline (and Proposed Order) by Defendants Arlene
Holzhueter, Loren W. Holzhueter, Honefi, LLC. (Kravit, Stephen) (Entered: 08/13/2015)

08/13/2015

65 ** TEXT ONLY ORDER **
ORDER accepting and entering 64 Joint Stipulation to Extend Answer Deadline. Answer to the
Amended Complaint due August 27, 2015. Signed by Magistrate Judge Stephen L. Crocker on
8/13/2015. (jls) (Entered: 08/13/2015)

08/20/2015

Minute Entry for proceedings held before District Judge James D. Peterson: Telephone Status
Conference held on 8/20/2015 [:50] (skv) (Entered: 08/20/2015)

08/27/2015

66 ANSWER to Amended Complaint by Defendant Aaron Holzhueter. (Engel, Peyton) (Entered:
08/27/2015)

08/27/2015

67 Relief Defendant Honefi, LLC's ANSWER to Amended Complaint by Defendant Honefi, LLC.
(Kravit, Stephen) Modified on 8/28/2015. (lak) (Entered: 08/27/2015)

08/27/2015

68 Relief Defendant Arlene Holzhueter's ANSWER to Amended Complaint by Defendant Arlene
Holzhueter. (Kravit, Stephen) (Entered: 08/27/2015)

08/27/2015

69 ANSWER to Amended Complaint by Defendant ISC, Inc. (Kravit, Stephen) Modified on
8/28/2015. (lak) (Entered: 08/27/2015)

08/27/2015

70 ANSWER to Amended Complaint by Defendant The Estate of Loren W. Holzhueter. (Kravit,
Stephen) Modified on 8/28/2015. (lak) (Entered: 08/27/2015)

09/01/2015

71 Transcript of Telephonic Status Conference, held 8/20/15 before Judge James D. Peterson.
Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic Transcript
Instructions and Notice of Intent to Request Redaction. (jat) (Entered: 09/01/2015)

09/08/2015

72 Notice by Plaintiff United States Securities and Exchange Commission of Report of
Independent Monitor for August, 2015. (Moye, Robert) (Entered: 09/08/2015)

09/08/2015

73 Joint Motion to Authorize Payment to Independent Monitor by Plaintiff United States Securities
and Exchange Commission. Response due 9/15/2015. (Attachments:
# 1 Exhibit A - August Invoice) (Moye, Robert) Modified on 9/8/2015. (lak) (Entered:
09/08/2015)

09/09/2015

74 ** TEXT ONLY ORDER **
ORDER granting 73 Joint Motion to Authorize Payment to Independent Monitor. Signed by
District Judge James D. Peterson on 9/9/15. (jat) (Entered: 09/09/2015)

10/19/2015

75 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for September. (Moye, Robert) (Entered: 10/19/2015)

10/20/2015

76 Joint Motion to Approve Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission. Response due 10/27/2015. (Attachments:
# 1 Exhibit A - September Invoice) (Moye, Robert) . (Entered: 10/20/2015)

10/20/2015

77 ** TEXT ONLY ORDER **
ORDER granting 76 Joint Motion to Approve Payment of Independent Monitor David

Omachinski. Signed by District Judge James D. Peterson on 10/20/2015. (jls) (Entered:
10/20/2015)
10/21/2015

78 Joint Stipulation for Entry of Partial Judgment by Consent Against Defendants ISC, Inc. and the
Estate of Loren W. Holzhueter by Plaintiff United States Securities and Exchange Commission.
(Attachments:
# 1 Exhibit 1-A Consent and Proposed Partial Judgment as to Estate of Holzhueter,
# 2 Exhibit 1-B Consent and Proposed Partial Judgment as to Defendant ISC) (Leiman,
Timothy) (Entered: 10/21/2015)

11/02/2015

79 ** TEXT ONLY ORDER **
The court grants the parties' joint motion for entry of partial judgment against defendants ISC,
Inc. and the Estate of Loren W. Holzhueter, Dkt. 78 . The clerk of court will enter judgments
consistent with the parties' consent. Please note that the court has added a clarification
concerning the appealability of any Final Judgment to reflect the terms stated in the parties'
joint motion (at the end of the section ordering disgorgement in each judgment). The court also
adopts the parties' proposed briefing schedule for the SEC's forthcoming motion regarding
disgorgement, prejudgment interest, and a civil penalty: opening brief due January 29, 2016;
response due 45 days after receipt of the opening brief; reply due 21 days after receipt of the
response. Signed by District Judge James D. Peterson on 11/2/2015. (jat) (Entered: 11/02/2015)

11/02/2015

80 CONSENT JUDGMENT AS TO ISC, INC. Signed by District Judge James D. Peterson on
11/2/2015. (jat) (Entered: 11/02/2015)

11/02/2015

81 CONSENT JUDGMENT AS TO THE ESTATE OF LOREN HOLZHUETER Signed by
District Judge James D. Peterson on 11/2/2015. (jat) (Entered: 11/02/2015)

11/09/2015

82 Notice by Plaintiff United States Securities and Exchange Commission of the Filing of
Independent Monitor's Report for October, 2015. (Moye, Robert) (Entered: 11/09/2015)

11/09/2015

83 Joint Motion to Authorize Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - October Invoice) (Moye, Robert) Modified on 11/10/2015. (lak) (Entered:
11/09/2015)

11/10/2015

84 ** TEXT ONLY ORDER **
ORDER granting 83 Joint Motion to Authorize Payment of Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 11/10/15. (jat) (Entered:
11/10/2015)

11/18/2015

85 Joint Motion to Deposit Funds from Life Insurance Policies with the Court by Plaintiff United
States Securities and Exchange Commission. (Attachments:
# 1 Text of Proposed Order) (Moye, Robert) Modified on 11/18/2015. (lak) (Entered:
11/18/2015)

11/18/2015

86 ORDER granting 85 Motion to Deposit Funds. Signed by District Judge James D. Peterson on
11/18/15. (jat) (Entered: 11/18/2015)

11/20/2015

87 Motion to Stay State Court Proceedings by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter. Response due 11/30/2015. (Attachments:
# 1 Cover Letter,
# 2 Text of Proposed Order) (Kravit, Stephen) Modified on 11/20/2015: Clarified exhibit
descriptions. (lak) (Entered: 11/20/2015)

11/20/2015

88 Brief in Support of 87 Motion to Stay, by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter. (Kravit, Stephen) (Entered: 11/20/2015)

11/20/2015

Set/Reset Deadlines as to 87 Motion to Stay State Court Proceedings. Response due 12/4/2015.
Brief in Reply due 12/11/2015. (jat) (Entered: 11/20/2015)

11/20/2015

89 ORDER setting briefing on 87 Motion to Stay. Defense counsel, Mr. Kravit, must serve a copy
of this order on all parties to the relevant state court proceedings. All responses to the motion to
stay must be filed with the court no later than December 4, 2015. Defendants' reply is due by
December 11, 2015. Signed by District Judge James D. Peterson on 11/20/2015. (arw) (Entered:
11/20/2015)

11/21/2015

90 Affidavit of Benjamin J. Glicksman filed by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter of Service on Parties to Relevant State Court
Proceedings re: 87 Motion to Stay, 89 Order on Motion to Stay. (Glicksman, Benjamin)
(Entered: 11/21/2015)

11/25/2015

91 Letter from Lincoln Benefit Life. (jat) (Entered: 11/30/2015)

12/04/2015

92 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 87
Motion to Stay, filed by Arlene Holzhueter, ISC, Inc., The Estate of Loren W. Holzhueter,
Honefi, LLC. (Leiman, Timothy) (Entered: 12/04/2015)

12/04/2015

93 Notice of Appearance (Limited) filed by Patrick J. Schott for Interested Party State Court
Plaintiffs. (Schott, Patrick) Modified on 12/7/2015. (lak) (Entered: 12/04/2015)

12/04/2015

94 (Undated) Brief in Opposition by Interested Party State Court Plaintiffs re: 87 Motion to Stay,
filed by Arlene Holzhueter, ISC, Inc., The Estate of Loren W. Holzhueter, Honefi, LLC.
(Schott, Patrick) Modified on 12/7/2015. (lak) (Entered: 12/04/2015)

12/04/2015

95 Declaration of Barbara Wegner filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay. (Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

96 Declaration of David Groth filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay. (Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

97 Disregard. See 105 . Modified on 12/7/2015. (lak) (Entered: 12/04/2015)

12/04/2015

98 Declaration of Gale Groth filed by Interested Party State Court Plaintiffs re: 87 Motion to Stay.
(Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

99 Declaration of James Pritchard filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay. (Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

100 Declaration of John Tesch filed by Interested Party State Court Plaintiffs re: 87 Motion to Stay.
(Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

101 Disregard. See 106 . Modified on 12/7/2015. (lak) (Entered: 12/04/2015)

12/04/2015

102 Declaration of Patricia Tesch filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay. (Schott, Patrick) (Entered: 12/04/2015)

12/04/2015

103 Disregard. See 104 . Modified on 12/7/2015. (lak) (Entered: 12/04/2015)

12/07/2015

104 Declaration of Patrick J. Schott filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay, (Attachments:
# 1 Exhibit 1-Complaint filed on behalf of Barbara Wegner,
# 2 Exhibit 2-Complaint filed on behalf of David & Judith Heinecke,
# 3 Exhibit 3-Complaint filed on behalf of David & Gale Groth,
# 4 Exhibit 4-Complaint filed on behalf of John & Patricia Tesch,
# 5 Exhibit 5-Complaint filed on behalf of James Pritchard,
# 6 Exhibit 6-Defendants' Motion to Stay in 15-CV-507,

# 7 Exhibit 7-Defendants' Motion for Protective Order to Quash,
# 8 Exhibit 8-Defendants' Motion for Protective Order to Stay Discovery,
# 9 Exhibit 9-Defendants' Motion for TRO,
# 10 Exhibit 10-Order on Motion for TRO,
# 11 Exhibit 11-Defendants' Motion to Consolidate,
# 12 Exhibit 12-Aaron Holzhueter's Motion to Dismiss,
# 13 Exhibit 13-Defendants' Responses to Requests for Admissions,
# 14 Exhibit 14-Defendants' Responses to Interrogatories,
# 15 Exhibit 15-Defendants' Responses to Requests for Documents,
# 16 Exhibit 16-Aaron Holzhueter's Response to Interrogatories,
# 17 Exhibit 17-Aaron Holzhueter's Responses to Requests for Documents,
# 18 Exhibit 18-Arlene Holzhueter's Motion to Dismiss,
# 19 Exhibit 19-Loren Holzhueter & ISC's Motion to Dismiss,
# 20 Exhibit 20-ISC's Answer,
# 21 Exhibit 21-Loren Holzhueter's Answer,
# 22 Exhibit 22-Memorandum Decision in Wegner case,
# 23 Exhibit 23-Affidavit of Benjamin Glicksman,
# 24 Exhibit 24-Affidavit of Stephen E. Kravit (Heinecke case),
# 25 Exhibit 25-Affidavit of Stephen E. Kravit (Wegner),
# 26 Exhibit 26-Transcript of Motion to Stay Hearing (Groth),
# 27 Exhibit 27-Order Denying Motion to Stay (Groth),
# 28 Exhibit 28-Newspaper article) (Schott, Patrick) (Entered: 12/07/2015)
12/07/2015

105 Declaration of David Heinecke filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay, (Schott, Patrick) (Entered: 12/07/2015)

12/07/2015

106 Declaration of Judith Heinecke filed by Interested Party State Court Plaintiffs re: 87 Motion to
Stay, (Schott, Patrick) (Entered: 12/07/2015)

12/07/2015

107 Response Stating No Opposition by Interested Party State Court Plaintiffs (Humphrey family)
re: 87 Motion to Stay, filed by Arlene Holzhueter, ISC, Inc., The Estate of Loren W. Holzhueter,
Honefi, LLC (jat) (Entered: 12/07/2015)

12/11/2015

108 Brief in Reply by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren
W. Holzhueter in Support of 87 Motion to Stay State Court Proceedings. (Kravit, Stephen)
(Entered: 12/11/2015)

12/11/2015

109 Declaration of Stephen E. Kravit filed by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter In Support of Defendants' Reply Brief re: 87 Motion to
Stay, (Attachments:
# 1 Exhibit A - Amended Complaint,
# 2 Exhibit B - Motion & Brief for Protective Order,
# 3 Exhibit C - June 24, 2015 e-mail) (Kravit, Stephen) (Entered: 12/11/2015)

12/21/2015

110 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Report of
Independent Monitor for November, 2015. (Moye, Robert) (Entered: 12/21/2015)

12/21/2015

111 Joint Motion to Approve Payment to Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission. Response due 12/28/2015. (Attachments:
# 1 Exhibit A - November Invoice) (Moye, Robert) (Entered: 12/21/2015)

12/22/2015

112 ** TEXT ONLY ORDER **
ORDER granting 111 Joint Motion to Approve Payment to Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 12/22/15. (jat) (Entered:
12/22/2015)

01/08/2016

113 Joint Motion for Extension of Discovery and Briefing Schedule For SEC's Motion for Remedies
and Striking All Other Dates in the Court's Scheduling Orders by Plaintiff United States
Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - Proposed Order) (Peltz, Jennifer) Modified on 1/11/2016. (lak) (Entered:
01/08/2016)

01/11/2016

114 ** TEXT ONLY ORDER **
The parties' joint motion for extensions is granted. Dkt. 113 . Discovery will close on March 11,
2016, and the new briefing schedule for plaintiff's forthcoming motion regarding disgorgement,
prejudgment interest, and a civil penalty is as follows: opening brief due March 11, 2016;
response due 45 days after receipt of the opening brief; reply due 21 days after receipt of the
response. Signed by District Judge James D. Peterson on 1/11/16. (jat) (Entered: 01/11/2016)

01/27/2016

115 Notice by Plaintiff United States Securities and Exchange Commission of Independent
Monitor's Report. (Moye, Robert) (Entered: 01/27/2016)

01/27/2016

116 Joint Motion to Authorize Payment to Independent Monitor by Plaintiff United States Securities
and Exchange Commission. (Attachments:
# 1 Exhibit A - December Invoice) (Moye, Robert) (Entered: 01/27/2016)

01/28/2016

117 ** TEXT ONLY ORDER **
ORDER granting 116 Joint Motion to Authorize Payment to Independent Monitor. Signed by
District Judge James D. Peterson on 1/28/16. (jat) (Entered: 01/28/2016)

02/12/2016

118 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for January, 2016. (Moye, Robert) (Entered: 02/12/2016)

02/16/2016

119 Joint Motion to Authorize Payment to Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - January Invoice) (Moye, Robert) (Entered: 02/16/2016)

02/17/2016

120 ** TEXT ONLY ORDER **
ORDER granting 119 Joint Motion to Authorize Payment to Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 2/17/16. (jat) (Entered:
02/17/2016)

02/26/2016

121 Joint Motion for Extension of Time for Discovery and Briefing Schedule for Motion for
Remedies by Plaintiff United States Securities and Exchange Commission. Motions referred to
Magistrate Judge Stephen L. Crocker. (Attachments:
# 1 Exhibit A - Proposed Order) (Leiman, Timothy) Modified on 2/27/2016. (lak) (Entered:
02/26/2016)

02/29/2016

122 ** TEXT ONLY ORDER **
The parties' joint motion to extend discovery and the deadline for plaintiff's forthcoming
remedies motion, Dkt. 121 , is GRANTED. Discovery will close on April 26, 2016, and the new
briefing schedule for plaintiff's forthcoming motion regarding disgorgement, prejudgment
interest, and civil penalties is as follows: opening brief due April 26, 2016; response due 45
days after receipt of the opening brief; reply due 21 days after receipt of the response. Signed by
District Judge James D. Peterson on 2/29/16. (jat) (Entered: 02/29/2016)

03/07/2016

123 Notice by Plaintiff United States Securities and Exchange Commission. Objection to Payment
of Legal Fees Incurred by ISC Employee, (Attachments:
# 1 Exhibit A - Indemnification Letter,
# 2 Exhibit B - ISC Counsel Emails,
# 3 Exhibit C - Wisc. Stat.) (Moye, Robert) Modified on 3/8/2016 (jat). (Entered: 03/07/2016)

03/08/2016

Set Deadlines as to 123 Objection to Payment of Legal Fees Incurred by ISC Employee.
Response due 3/18/2016. (jat) (Entered: 03/08/2016)

03/09/2016

124 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for February, 2016. (Moye, Robert) (Entered: 03/09/2016)

03/18/2016

125 Notice by Defendant ISC, Inc. re: 123 Motion. (Notice of Filing Letter for Chad Rosenow.),
(Attachments:
# 1 Chad Rosenow's Letter, With Attachment, to the Court Responding to SEC Objection to
Payment of Attorney's Fees) (Glicksman, Benjamin) Modified on 3/18/2016. (lak) (Entered:
03/18/2016)

03/22/2016

126 Joint Motion to Authorize Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - February Invoice) (Moye, Robert) Modified on 3/23/2016. (lak) (Entered:
03/22/2016)

03/23/2016

127 ** TEXT ONLY ORDER **
ORDER granting 126 Joint Motion to Authorize Payment of Independent Monitor. Signed by
District Judge James D. Peterson on 3/23/2016. (voc) (Entered: 03/23/2016)

03/23/2016

128 ORDER sustaining 123 Objection to Payment of Legal Fees Incurred by ISC Employee. Signed
by District Judge James D. Peterson on 3/23/2016. (jls) (Entered: 03/23/2016)

04/07/2016

129 OPINION & ORDER denying 87 Motion to Stay State Court Proceedings. Signed by District
Judge James D. Peterson on 4/7/16. (jat) (Entered: 04/07/2016)

04/11/2016

130 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for March, 2016. (Moye, Robert) (Entered: 04/11/2016)

04/12/2016

131 Joint Motion to Authorize Payment of Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - March Invoice) (Moye, Robert) Modified on 4/13/2016. (lak) (Entered:
04/12/2016)

04/13/2016

132 ** TEXT ONLY ORDER **
ORDER granting 131 Joint Motion to Authorize Payment of Independent Monitor. Signed by
District Judge James D. Peterson on 4/13/16. (jat) (Entered: 04/13/2016)

04/25/2016

133 Joint Motion to Stay Briefing Schedule for Remedies Portion of Case by Plaintiff United States
Securities and Exchange Commission, (Attachments:
# 1 Text of Proposed Order) (Leiman, Timothy) Modified on 4/26/2016. (lak) (Entered:
04/25/2016)

04/28/2016

134 Confidential Correspondence Regarding Settlement by Plaintiff United States Securities and
Exchange Commission (Sealed Document) (Attachments:
# 1 Settlement Related Documents,
# 2 Settlement Related Documents,
# 3 Settlement Related Documents,
# 4 Settlement Related Documents) (jat) (Entered: 04/28/2016)

04/28/2016

135 ** TEXT ONLY ORDER **
The court has reviewed the parties' joint motion to stay briefing. Dkt. 133 . Because it appears
that a 60-day stay will encourage the case toward mutually agreeable resolution and will save
the parties and the court the time and effort that they may have had to spend engaged in
contested motion practice, the court will grant the motion. The SEC's motion regarding
disgorgement, prejudgment interest, and a civil penalty will be due June 24, 2016, provided the

parties are unable to finalize settlement and propose a joint plan for distributing assets at that
time. Signed by District Judge James D. Peterson on 4/28/16. (jat) (Entered: 04/28/2016)
05/12/2016

136 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for April, 2016. (Moye, Robert) Modified on 5/13/2016. (lak) (Entered:
05/12/2016)

06/03/2016

137 Motion to Unseal Document by Interested Party State Court Plaintiffs. Motions referred to
Magistrate Judge Stephen L. Crocker. Response due 6/10/2016. (Schott, Patrick) (Entered:
06/03/2016)

06/03/2016

138 Declaration of Patrick J Schott filed by Interested Party State Court Plaintiffs re: 137 Motion to
Unseal Document. (Schott, Patrick) (Entered: 06/03/2016)

06/03/2016

139 Disregard. See 140 . Modified on 6/6/2016. (lak) (Entered: 06/03/2016)

06/06/2016

140 Brief in Support of 137 Motion to Unseal Document by Interested Party State Court Plaintiffs,
(Attachments:
# 1 Exhibit A - Excerpt of Transcript of TRO Hearing (See 38 for complete transcript.) (Schott,
Patrick) Modified on 6/6/2016. (lak) (Entered: 06/06/2016)

06/06/2016

141 Notice by Plaintiff United States Securities and Exchange Commission of the Report of the
Independent Monitor for May 2016. (Moye, Robert) (Entered: 06/06/2016)

06/07/2016

142 Joint Motion (Undated) to Authorize Payment of David Omachinski, the Independent Monitor
for ISC, Inc. for his April and May Invoices, by Plaintiff United States Securities and Exchange
Commission, (Attachments:
# 1 Exhibit A - April Invoice,
# 2 Exhibit B - May Invoice) (Moye, Robert) Modified on 6/8/2016. (lak) (Entered:
06/07/2016)

06/10/2016

143 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 137
Motion to Unseal Document filed by State Court Plaintiffs. (Moye, Robert) (Entered:
06/10/2016)

06/20/2016

144 Brief in Reply by Interested Party State Court Plaintiffs in Support of 137 Motion to Unseal
Document. (Schott, Patrick) (Entered: 06/20/2016)

06/20/2016

145 Unopposed Motion to Approve Consent Judgment and Final Judgment against Defendant the
Estate of Loren Holzhueter and Relief Defendants Honefi LLC and Arlene Holzhueter by
Plaintiff United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit 1 - Consent of Defendant the Estate of Loren W. Holzhueter,
# 2 Exhibit 2 - Consent of Relief Defendant Honefi LLC,
# 3 Exhibit 3 - Consent of Relief Defendant Arlene Holzhueter,
# 4 Exhibit 4 - Final Judgment as to Defendant the Estate of Loren W. Holzhueter,
# 5 Exhibit 5 - Final Judgment as to Relief Defendant Honefi LLC,
# 6 Exhibit 6 - Final Judgment as to Relief Defendant Arlene Holzhueter,
# 7 Exhibit 7 - Relief Defendant Aaron Holzhueter Consent for Final Judgment) (Guardi,
Ariella) Modified on 6/21/2016. (lak) (Entered: 06/20/2016)

06/21/2016

146 ** TEXT ONLY ORDER **
ORDER granting 142 Joint Motion to Authorize Payment of David Omachinski, the
Independent Monitor for ISC, Inc. for his April and May Invoices. Signed by District Judge
James D. Peterson on 6/21/16. (jat) (Entered: 06/21/2016)

06/23/2016

147 ORDER: The state court plaintiffs' motion to unseal 137 is DENIED as moot. The state court
plaintiffs' motion to be heard on the proposed settlements in this case is GRANTED. The state

court plaintiffs may respond to the proposed settlements no later than July 8, 2016. The SEC,
defendants, and relief defendants may reply no later than July 15, 2016. Signed by District
Judge James D. Peterson on 6/23/16. (jat) (Entered: 06/23/2016)
06/23/2016

Set Briefing Deadlines as to 145 Unopposed Motion to Approve Consent Judgment and Final
Judgment against Defendant the Estate of Loren Holzhueter and Relief Defendants Honefi LLC
and Arlene Holzhueter. Brief in Opposition due 7/8/2016. Brief in Reply due 7/15/2016. (jat)
(Entered: 06/23/2016)

06/24/2016

148 Status Report and Plan for the Distribution Phase of Proceedings by Plaintiff United States
Securities and Exchange Commission, (Attachments:
# 1 Exhibit - Initial Claim Determination Calculations) (Guardi, Ariella) (Entered: 06/24/2016)

07/08/2016

149 Notice by Defendant ISC, Inc. of the Report of the Independent Monitor for July 8, 2016.
(Kravit, Stephen) (Entered: 07/08/2016)

07/08/2016

150 Notice by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W.
Holzhueter re: 148 Status Report. (Attorneys Kravit, Hovel & Krawczyk's Objection to SEC's
Plan for the Distribution Phase of Proceedings.) (Kravit, Stephen) Modified on 7/9/2016. (lak)
(Entered: 07/08/2016)

07/08/2016

151 Motion for Attorney Fees and Costs (Accrued and Unpaid) by Defendants Arlene Holzhueter,
Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter. (Kravit, Stephen) (Entered:
07/08/2016)

07/08/2016

152 Brief in Support of 151 Motion for Attorney Fees and Costs (Accrued and Unpaid) by
Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter.
(Kravit, Stephen) (Entered: 07/08/2016)

07/08/2016

153 Declaration of Stephen E. Kravit filed by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter re: 151 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A - May 5, 2016 Decision,
# 2 Exhibit B - Stephen E. Kravit's CV) (Kravit, Stephen) (Entered: 07/08/2016)

07/08/2016

154 Brief in Opposition by Interested Party State Court Plaintiffs re: 145 Motion to Approve
Consent Judgment, filed by United States Securities and Exchange Commission. (Schott,
Patrick) (Entered: 07/08/2016)

07/08/2016

155 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for June 2016. (Moye, Robert) (Entered: 07/08/2016)

07/11/2016

Set Briefing Deadlines as to 151 Motion for Attorney Fees and Costs (Accrued and Unpaid).
Brief in Opposition due 8/1/2016. Brief in Reply due 8/11/2016. (voc) (Entered: 07/11/2016)

07/11/2016

156 Joint Motion to Authorize Payment to Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - June Invoice) (Moye, Robert) (Entered: 07/11/2016)

07/13/2016

157 ** TEXT ONLY ORDER **
ORDER granting 156 Joint Motion to Authorize Payment to Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 7/13/2016. (jls) (Entered:
07/13/2016)

07/15/2016

158 Brief in Reply by Plaintiff United States Securities and Exchange Commission in Support of
145 Motion to Approve Consent Judgment, Responding to Objections of State Court Plaintiffs,
(Attachments:
# 1 Exhibit A - Omachinski Letter) (Moye, Robert) (Entered: 07/15/2016)

07/15/2016

159 Motion to Appoint Receiver by Plaintiff United States Securities and Exchange Commission.
Response due 7/22/2016. (Leiman, Timothy) (Entered: 07/15/2016)

07/15/2016

160 Brief in Support of 159 Motion to Appoint Receiver by Plaintiff United States Securities and
Exchange Commission, (Attachments:
# 1 Exhibit A - Resume of Michael Polsky,
# 2 Exhibit B - Proposed Order) (Leiman, Timothy) (Entered: 07/15/2016)

07/21/2016

161 Brief in Opposition by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of
Loren W. Holzhueter re: 159 Motion to Appoint Receiver filed by United States Securities and
Exchange Commission. (Kravit, Stephen) (Entered: 07/21/2016)

07/22/2016

162 Notice of Appearance filed by Michael S. Polsky for Interested Party Michael S Polsky.
(Polsky, Michael) (Entered: 07/22/2016)

07/22/2016

163 Motion to Intervene by Interested Party State Court Plaintiffs. Response due 7/29/2016.
(Attachments:
# 1 Objection to Appointment of Receiver,
# 2 Objection to Payment of Attorneys' Fees) (Schott, Patrick) (Entered: 07/22/2016)

07/22/2016

164 Brief in Support of 163 Motion to Intervene by Interested Party State Court Plaintiffs. (Schott,
Patrick) (Entered: 07/22/2016)

07/22/2016

165 Declaration of Patrick J. Schott filed by Interested Party State Court Plaintiffs re: 163 Motion to
Intervene, (Attachments:
# 1 Exhibit 1 - Memorandum Decision Denying Consolidation,
# 2 Exhibit 2 - Memorandum Decision of 2.5.16,
# 3 Exhibit 3 - Complaint,
# 4 Exhibit 4 - Affidavit of Defense Counsel,
# 5 Exhibit 5 - Answer,
# 6 Exhibit 6 - Deposition Exhibits,
# 7 Exhibit 7 - Motion to Dismiss,
# 8 Exhibit 8 - Answer to Amended Complaint,
# 9 Exhibit 9 - Checks to Defense Counsel) (Schott, Patrick) Modified on 7/23/2016: Clarified
exhibit descriptions. (lak) (Entered: 07/22/2016)

07/29/2016

166 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 163
Motion to Intervene filed by State Court Plaintiffs. (Leiman, Timothy) (Entered: 07/29/2016)

08/01/2016

167 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 151
Motion for Attorney Fees filed by Arlene Holzhueter, ISC, Inc., The Estate of Loren W.
Holzhueter, Honefi, LLC. (Leiman, Timothy) (Entered: 08/01/2016)

08/04/2016

168 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report for July 2016. (Moye, Robert) (Entered: 08/04/2016)

08/05/2016

169 Joint Motion to Approve Payment to Independent Monitor, David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - July Invoice) (Moye, Robert) (Entered: 08/05/2016)

08/05/2016

170 Brief in Reply by Interested Party State Court Plaintiffs in Support of 163 Motion to Intervene.
(Schott, Patrick) (Entered: 08/05/2016)

08/05/2016

171 Declaration of Patrick J. Schott filed by Interested Party State Court Plaintiffs re: 163 Motion to
Intervene, (Attachments:
# 1 Exhibit 1 - WI CCAP Record,
# 2 Exhibit 2 - Excerpts of Transcript) (Schott, Patrick) Modified on 8/10/2016. (lak) (Entered:

08/05/2016)
08/08/2016

172 ** TEXT ONLY ORDER **
ORDER granting 169 Joint Motion to Approve Payment to Independent Monitor, David
Omachinski. Signed by District Judge James D. Peterson on 8/8/16. (jat) (Entered: 08/08/2016)

08/10/2016

173 Brief in Reply by Defendants Arlene Holzhueter, Loren W. Holzhueter, Honefi, LLC, ISC, Inc.,
The Estate of Loren W. Holzhueter in Support of 151 Motion for Attorney Fees and Costs
(Accrued and Unpaid). (Kravit, Stephen) (Entered: 08/10/2016)

08/10/2016

174 Declaration of Stephen E. Kravit filed by Defendants Arlene Holzhueter, Loren W. Holzhueter,
Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter re: 151 Motion for Attorney Fees.
(Kravit, Stephen) (Entered: 08/10/2016)

08/18/2016

175 Notice by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W.
Holzhueter to Court Regarding Pending Motions. (Kravit, Stephen) Modified on 8/19/2016.
(lak) (Entered: 08/18/2016)

09/15/2016

176 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report. (Moye, Robert) (Entered: 09/15/2016)

09/16/2016

177 Disregard. See 178 . Modified on 9/16/2016. (lak) (Entered: 09/16/2016)

09/16/2016

178 Notice of Supplemental Facts by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The
Estate of Loren W. Holzhueter re: 151 Motion for Attorney Fees and Costs (Accrued and
Unpaid), (Attachments:
# 1 E-mail Dated 9/15/2016) (lak) (Entered: 09/16/2016)

09/16/2016

179 Joint Motion to Approve Payment to Independeint Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - August Invoice) (Moye, Robert) Modified on 9/18/2016. (lak) (Entered:
09/16/2016)

09/19/2016

180 ** TEXT ONLY ORDER **
ORDER granting 179 Joint Motion to Approve Payment to Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 9/19/16. (jat) (Entered:
09/19/2016)

10/04/2016

181 Notice by Plaintiff United States Securities and Exchange Commission of Filing of Independent
Monitor's Report. (Moye, Robert) (Entered: 10/04/2016)

10/04/2016

182 Status Report on Relief Defendant Aaron Holzhueter's Bankruptcy by Plaintiff United States
Securities and Exchange Commission (Moye, Robert) (Entered: 10/04/2016)

10/04/2016

183 Joint Motion to Authorize Payment to Independent Monitor, David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - September Invoice) (Moye, Robert) (Entered: 10/04/2016)

10/05/2016

184 ** TEXT ONLY ORDER **
ORDER granting 183 Joint Motion to Authorize Payment to Independent Monitor, David
Omachinski. Signed by District Judge James D. Peterson on 10/5/16. (jat) (Entered:
10/05/2016)

10/06/2016

185 Second Notice of Supplemental Facts by Defendants Arlene Holzhueter, Honefi, LLC, ISC,
Inc., The Estate of Loren W. Holzhueter re: 151 Motion for Attorney Fees and Costs (Accrued
and Unpaid), (Attachments:
# 1 Exhibit - 10/5/16 E-mail to Stephen E. Kravit from David Omachinski) (Kravit, Stephen)
Modified on 10/7/2016. (lak) (Entered: 10/06/2016)

10/13/2016

186 Joint Motion to Stay Ancillary State Court Litigation (Temporary) by Defendants Arlene
Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter. (Kravit, Stephen)
(Entered: 10/13/2016)

10/13/2016

187 Joint Brief in Support of 186 Motion to Stay Ancillary State Court Litigation (Temporary) by
Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter,
(Attachments:
# 1 Exhibit A - Estate Inventory (Last page is upside down.),
# 2 Exhibit B - Groth Case Management Order,
# 3 Exhibit C - Groth Notice of Motion and Motion for Summary Judgment,
# 4 Exhibit D - Attorney Barker's 10/12/16 Letter to Judge Bauer,
# 5 Exhibit E - Attorney Glicksman's 10/12/16 Letter to Judge Bauer) (Kravit, Stephen)
Modified on 10/13/2016. (lak) (Entered: 10/13/2016)

10/14/2016

188 Notice by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W.
Holzhueter of Filing of Special Report of Independent Monitor. (Kravit, Stephen) (Entered:
10/14/2016)

10/17/2016

189 ** TEXT ONLY ORDER **
The court is in the process of reviewing and deciding the pending motions in this case. The
materials present two unanswered questions. First, does phase I of the distribution plan account
for any early preference-type payouts to members of the investor class? And second, how were
the shares of the marital property bank accounts determined? The court will hold a telephonic
status conference with the parties on Tuesday, October 18, 2016, at 3:00 p.m., to discuss these
issues. Counsel for the SEC is responsible for initiating the call to chambers. Signed by District
Judge James D. Peterson on 10/17/2016. (kwf) (Entered: 10/17/2016)

10/18/2016

Minute Entry for proceedings held before District Judge James D. Peterson: Telephone Status
Conference held on 10/18/2016 [:15] (skv) (Entered: 10/18/2016)

10/19/2016

190 Status Report Related to Potential Preferential Payments by Plaintiff United States Securities
and Exchange Commission, (Attachments:
# 1 Exhibit A - List of Redeeming Investors Who Received Payment Within 12 Months of
TRO) (Leiman, Timothy) (Entered: 10/19/2016)

10/20/2016

191 Brief in Opposition by Interested Party State Court Plaintiffs re: 186 Motion to Stay filed by
Arlene Holzhueter, ISC, Inc., The Estate of Loren W. Holzhueter, Honefi, LLC. (Schott,
Patrick) (Entered: 10/20/2016)

10/20/2016

192 OPINION & ORDER granting 145 Motion to Approve Consent Judgments; granting in part and
denying in part 151 Motion for Attorney Fees; denying 163 Motion to Intervene; granting 159
Motion to Appoint Receiver; denying as moot 186 Motion for Temporary Stay. Signed by
District Judge James D. Peterson on 10/20/16. (jat) (Entered: 10/20/2016)

10/20/2016

193 FINAL CONSENT JUDGMENT in favor of United States Securities and Exchange
Commission against Arlene Holzhueter in the amount of $ 1,120,016.00. (jat) (Entered:
10/20/2016)

10/20/2016

194 FINAL CONSENT JUDGMENT entered in favor of Plaintiff United States Securities and
Exchange Commission against Honefi, LLC. (jat) (Entered: 10/20/2016)

10/20/2016

195 FINAL CONSENT JUDGMENT in favor of United States Securities and Exchange
Commission against The Estate of Loren W. Holzhueter in the amount of $ 1,125,561.00. (jat)
(Entered: 10/20/2016)

10/20/2016

196 ORDER APPOINTING RECEIVER Signed by District Judge James D. Peterson on 10/20/16.
(jat) (Entered: 10/20/2016)

10/28/2016

197 Motion to Intervene by Interested Party State Court Plaintiffs. Response due 11/4/2016.
(Attachments:
# 1 Cover Letter) (Schott, Patrick) (Entered: 10/28/2016)

10/28/2016

198 Brief in Support of 197 Motion to Intervene by Interested Party State Court Plaintiffs,
(Attachments:
# 1 Text of Proposed Order) (Schott, Patrick) (Entered: 10/28/2016)

10/31/2016

199 Affidavit of HONEFI, LLC (Sworn Statement), (Attachments:
# 1 Exhibit A - Commercial Appraisal Report) (Kravit, Stephen) (Entered: 10/31/2016)

11/04/2016

200 Notice of Appearance filed by Lauren Catherine Stanley for Interested Party Michael S Polsky.
(Stanley, Lauren) (Entered: 11/04/2016)

11/04/2016

201 Notice of Appearance filed by Joseph M. Peltz for Interested Party Michael S Polsky. (Peltz,
Joseph) (Entered: 11/04/2016)

11/04/2016

202 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 197
Motion to Intervene filed by State Court Plaintiffs. (Peltz, Jennifer) (Entered: 11/04/2016)

11/07/2016

203 ORDER denying 197 Motion to Intervene for purposes of appeal. Signed by District Judge
James D. Peterson on 11/7/16. (jat) (Entered: 11/07/2016)

11/10/2016

204 Notice by Interested Party Michael S. Polsky of Filing of Receiver's Phase 1 Distribution Plan
for Life Insurance Proceeds and Certain Other Liquid Assets , (Attachments:
# 1 Exhibit A - Summary of Initial Claim Determinations- Redacted,
# 2 Exhibit B - Claim Notice,
# 3 Text of Proposed Order,
# 4 Certificate of Service) (Polsky, Michael) Modified on 11/13/2016. (lak) Modified on
11/14/2016 (voc). (Entered: 11/10/2016)

11/15/2016

205 Motion to Seal Exhibit A to the Phase 1 Plan by Interested Party Michael S Polsky. Motions
referred to Magistrate Judge Stephen L. Crocker. (Polsky, Michael) Modified on 11/15/2016.
(lak) (Entered: 11/15/2016)

11/15/2016

206 ** TEXT ONLY ORDER **
The receiver moves to file Exhibit A, identifying the Phase I investors by name, solely for in
camera review. Dkt. 205 . The court GRANTS the motion to complete the record. But the court
will not review the investors' identifying information and that information will play no role in
the court's consideration of the Phase I distribution plan. Signed by District Judge James D.
Peterson on 11/15/16. (jat) (Entered: 11/15/2016)

11/15/2016

207 In Camera Submission. Exhibit A - Summary of Initial Claim Determinations by Interested
Party Michael S Polsky. (Ex Parte Document) (Polsky, Michael) (Entered: 11/15/2016)

11/18/2016

208 NOTICE OF APPEAL by Interested Party State Court Plaintiffs as to 192 Order on Motion to
Approve Consent Judgment, Order on Motion for Attorney Fees, Order on Motion to Appoint
Receiver, Order on Motion to Intervene, Order on Motion to Stay. Filing fee of $ 505, receipt
number 0758-1919917 paid. Docketing Statement filed. (Attachments:
# 1 Docketing Statement) (Schott, Patrick) (Entered: 11/18/2016)

11/18/2016

209 NOTICE OF APPEAL by Interested Party State Court Plaintiffs as to 203 Order on Motion to
Intervene. Filing fee of $ 505, receipt number 0758-1919921 paid. Docketing Statement filed.
(Attachments:
# 1 Docketing Statement) (Schott, Patrick) (Entered: 11/18/2016)

11/18/2016

210 NOTICE OF APPEAL by Interested Party State Court Plaintiffs as to 196 Order. Filing fee of $
505, receipt number 0758-1919922 paid. Docketing Statement filed. (Attachments:
# 1 Docketing Statement) (Schott, Patrick) (Entered: 11/18/2016)

11/18/2016

211 Transmission of Notice of Appeal, Docketing Statement, Docket Sheet and Order to Seventh
Circuit Court of Appeals re 208 Notice of Appeal, (Attachments:
# 1 Docketing Statement,
# 2 Order #192,
# 3 Docket Sheet) (jat) (Entered: 11/18/2016)

11/18/2016

212 Transmission of Notice of Appeal, Docketing Statement, Docket Sheet and Order to Seventh
Circuit Court of Appeals re 209 Notice of Appeal, (Attachments:
# 1 Docketing Statement,
# 2 Order #203,
# 3 Docket Sheet) (jat) (Entered: 11/18/2016)

11/18/2016

213 Transmission of Notice of Appeal, Docketing Statement, Docket Sheet and Order to Seventh
Circuit Court of Appeals re 210 Notice of Appeal (Attachments:
# 1 Docketing Statement,
# 2 Order #196,
# 3 Docket Sheet) (jat) (Entered: 11/18/2016)

11/18/2016

USCA Case Number 16-3951 for 208 Notice of Appeal filed by State Court Plaintiffs (jat)
Modified on 11/18/2016 (jat). (Entered: 11/18/2016)

11/18/2016

USCA Case Number 16-3952 for 209 Notice of Appeal filed by State Court Plaintiffs. (jat)
(Entered: 11/18/2016)

11/18/2016

USCA Case Number 16-3953 for 210 Notice of Appeal filed by State Court Plaintiffs. (jat)
(Entered: 11/21/2016)

11/22/2016

214 Joint Motion to Amend/Correct 20 Temporary Restraining Order and Asset Freeze Order by
Plaintiff United States Securities and Exchange Commission, (Attachments:
# 1 Text of Proposed Order) (Peltz, Jennifer) (Entered: 11/22/2016)

11/22/2016

215 ORDER granting 214 Motion to Amend Temporary Restraining Order and Asset Freeze Order.
Signed by District Judge James D. Peterson on 11/22/16. (jat) (Entered: 11/22/2016)

11/23/2016

216 Disregard. Seventh Circuit form to be used. Transcript Request Form by Interested Party State
Court Plaintiffs. (Schott, Patrick) Modified on 11/23/2016. (lak) (Entered: 11/23/2016)

11/23/2016

217 Appeal Information Packet. (lak) (Entered: 11/23/2016)

11/28/2016

218 Transcript Request Form by Interested Party State Court Plaintiffs. (Schott, Patrick) (Entered:
11/28/2016)

11/29/2016

219 Court Reporter Certification of Seventh Circuit Transcript Information Sheet re 208 Notice of
Appeal, 209 Notice of Appeal, 210 Notice of Appeal. (jat) (Entered: 11/29/2016)

11/29/2016

220 Transcript of Digital Recording of Motion Hearing, held 10/18/16 before Judge James D.
Peterson. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic Transcript
Instructions and Notice of Intent to Request Redaction. (jat) (Entered: 11/29/2016)

11/29/2016

221 Stipulation for Payment to Kravit, Hovel & Krawczyk S.C. of Fees and Expenses by Interested
Party Michael S Polsky, (Attachments:
# 1 Text of Proposed Order) (Polsky, Michael) (Entered: 11/29/2016)

11/30/2016

222 ORDER Approving Receiver's Phase 1 Distribution Plan for Life Insurance Proceeds and
Certain Other Liquid Assets. Signed by District Judge James D. Peterson on 11/30/16. (jat)
(Entered: 11/30/2016)

11/30/2016

223 ORDER granting 221 Stipulation for Payment to Kravit, Hovel & Krawczyk S.C. of Fees and
Expenses. Signed by District Judge James D. Peterson on 11/30/16. (jat) (Entered: 11/30/2016)

11/30/2016

224 Joint Motion to Authorize Payment to Independent Monitor David Omachinski by Plaintiff
United States Securities and Exchange Commission, (Attachments:
# 1 Exhibit A - October Invoice (Redacted)) (Moye, Robert) Modified on 12/1/2016. (lak)
(Entered: 11/30/2016)

12/01/2016

225 ** TEXT ONLY ORDER **
ORDER granting 224 Joint Motion to Authorize Payment to Independent Monitor David
Omachinski. Signed by District Judge James D. Peterson on 12/1/16. (jat) (Entered:
12/01/2016)

12/12/2016

226 Notice by Interested Party Michael S Polsky of Appointment of Receiver, (Attachments:
# 1 Certificate of Service) (Polsky, Michael) Modified on 12/12/2016. (lak) (Entered:
12/12/2016)

12/12/2016

227 Notice by Interested Party Michael S Polsky of Appointment of Receiver, (Attachments:
# 1 Certificate of Service) (Polsky, Michael) Modified on 12/12/2016. (lak) (Entered:
12/12/2016)

12/13/2016

228 Notice by Interested Party Michael S Polsky of Appointment of Receiver-Honefi, (Attachments:
# 1 Certificate of Service) (Polsky, Michael) Modified on 12/13/2016. (lak) (Entered:
12/13/2016)

12/13/2016

229 Notice by Interested Party Michael S Polsky of Appointment of Receiver-Honefi, (Attachments:
# 1 Certificate of Service) (Polsky, Michael) Modified on 12/13/2016. (lak) (Entered:
12/13/2016)

12/19/2016

230 Response to the Requests set forth in the Notice of Appointment of Receiver from Counsel for
Partnership Bank (f/k/a Town & County Bank). (Attachments:
# 1 Cover Letter) (jat) Modified on 12/20/2016 (jat). (Entered: 12/20/2016)

12/20/2016

231 ORDER: The clerk of court shall release $9,564,140.36 in principal and $17,626.51 in interest
held in the court' registry. Signed by District Judge James D. Peterson on 12/20/16. (jat)
(Entered: 12/21/2016)

12/21/2016

232 Response to the Notice of Appointment of Receiver from Vice President- Cashier for
PremierBank. (jat) (Entered: 12/21/2016)

12/23/2016

233 Response to the Notice of Appointment of Receiver from Vice President and General Counsel
for Ixonia Bank. (Attachments:
# 1 Cover Letter) (jat) (Entered: 12/23/2016)

01/16/2017

234 Motion to Employ Professionals by Interested Party Michael S Polsky, (Attachments:
# 1 Text of Proposed Order to Employ Professionals) (Polsky, Michael) (Entered: 01/16/2017)

01/17/2017

Set Deadlines as to 234 Motion to Employ Professionals. Response due 1/27/2017. (jat)
(Entered: 01/17/2017)

01/30/2017

235 Status Report for Quarter Ending December 31, 2016 by Interested Party Michael S Polsky.
(Polsky, Michael) (Additional attachment(s) added on 1/31/2017:
# 1 Exhibit A - Receiver's Schedule of Receipts and Disbursements,
# 2 Exhibit B - Creditors of ISC, Inc. and Honefi LLC) (lak). (Entered: 01/30/2017)

01/31/2017

236 ** TEXT ONLY ORDER **
The receiver's motion to employ professionals, Dkt. 234 , is GRANTED with respect to BCBP,
Cowie, and KRD. But the receiver's request to employ KHK is DENIED without prejudice. The
court does not doubt that KHK has "in-depth knowledge of the background and complexities of
this case," but the receiver does not explain, specifically, why he needs to retain KHK's
services. The court is left to guess at what assisting "with limited transition-related legal matters
affecting these proceedings" may mean. If the receiver would benefit from KHK's assistance, he
will need to explain what, specifically, KHK will bring to the table. Signed by District Judge
James D. Peterson on 1/31/17. (jat) (Entered: 01/31/2017)

02/08/2017

237 Quarterly Motion for Attorney Fees by Interested Party Michael S Polsky, (Attachments:
# 1 Exhibit - Fund Accounting Report,
# 2 Exhibit - Itemized Billings,
# 3 Exhibit - Summary of Hours,
# 4 Exhibit - Summary of Costs,
# 5 Exhibit - Draft Order,
# 6 Text of Proposed Order) (Polsky, Michael) Modified on 2/8/2017. (lak) (Entered:
02/08/2017)

02/21/2017

238 ORDER granting 237 Quarterly Motion for Attorney Fees. Signed by District Judge James D.
Peterson on 2/21/2017. (jls) (Entered: 02/21/2017)

02/22/2017

239 Motion for Attorney Fees. Phase 1 Distribution of Payment to Kravit, Hovel & Krawczyk, S.C.
by Defendants Arlene Holzhueter, Honefi, LLC, ISC, Inc., The Estate of Loren W. Holzhueter,
(Attachments:
# 1 Text of Proposed Order) (Kravit, Stephen) Modified on 2/22/2017. (lak) (Entered:
02/22/2017)

02/24/2017

Set Deadlines as to 239 Motion for Attorney Fees. Phase 1 Distribution of Payment to Kravit,
Hovel & Krawczyk, S.C. Response due 3/3/2017. (jat) (Entered: 02/24/2017)

03/03/2017

240 Brief in Opposition by Interested Party Michael S Polsky re: 239 Motion for Attorney Fees.
Phase 1 Distribution of Payment to Kravit, Hovel & Krawczyk, S.C., filed by Arlene
Holzhueter, ISC, Inc., The Estate of Loren W. Holzhueter, Honefi, LLC, (Attachments:
# 1 Text of Proposed Order) (Polsky, Michael) Modified on 3/5/2017. (lak) (Entered:
03/03/2017)

03/03/2017

241 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 239
Motion for Attorney Fees, filed by Arlene Holzhueter, ISC, Inc., The Estate of Loren W.
Holzhueter, Honefi, LLC. (Moye, Robert) (Entered: 03/03/2017)

03/06/2017

242 Objection to 239 Motion for Attorney Fees (Phase 1 Distribution of Payment to Kravit, Hovel
& Krawczyk, S.C.) by G. Zastrow. (Attachments:
# 1 Envelope) (jat) (Entered: 03/06/2017)

03/08/2017

243 Notice of Appearance and Request for Notice filed by Timothy J. Peyton for Claimants Stanley
Kuehl, Louann Kuehl. (Peyton, Timothy) (Entered: 03/08/2017)

03/09/2017

244 Letter from the Court to Ms. Zastrow re: 242 . (jat) (Entered: 03/09/2017)

03/09/2017

245 ORDER denying 239 Motion for Attorney Fees. Signed by District Judge James D. Peterson on
3/9/17. (jat) (Entered: 03/09/2017)

03/10/2017

246 Disregard. See 247 . Modified on 3/13/2017. (lak) (Entered: 03/10/2017)

03/13/2017

247 Notice by Interested Party Michael S Polsky of Final Claim Determinations, (Attachments:
# 1 Exhibit A - List of Final Claim Determinations,

# 2 Exhibit B - Form Investor Notice of Final Claim Determination) (Polsky, Michael) (Entered:
03/13/2017)
03/23/2017

248 Motion for Hearing and Objection to Final Claim Determination of Claim 161 by Claimants
Louann Kuehl, Stanley Kuehl. Response due 3/30/2017. (Attachments:
# 1 Exhibit 1 - Claim Notice,
# 2 Exhibit 2 - Letter dated February 13, 2017,
# 3 Exhibit 3 - Investor Notice of Final Claim Determination-Claim 161) (Peyton, Timothy)
Modified on 3/24/2017. (lak) (Entered: 03/23/2017)

03/29/2017

249 Stipulation and Scheduling Order Related to the Objection to the Final Claim Determination of
Claim 161 by Interested Party Michael S Polsky, (Attachments:
# 1 Text of Proposed Order,
# 2 Cover Letter) (Polsky, Michael) Modified on 3/29/2017. (lak) (Entered: 03/29/2017)

03/30/2017

250 Brief in Opposition by Interested Party Michael S Polsky re: 248 Motion for Hearing, filed by
Louann Kuehl, Stanley Kuehl (Polsky, Michael) (Entered: 03/30/2017)

03/30/2017

251 Disregard. Modified on 4/3/2017. (lak) (Entered: 03/30/2017)

04/03/2017

252 Affidavit of Michael S. Polsky filed by Interested Party Michael S Polsky re: 248 Motion for
Hearing, (Attachments:
# 1 Exhibit A - Chart) (lak) (Entered: 04/03/2017)

04/04/2017

253 ORDER approving 249 Stipulation and Scheduling Order Related to the Objection to the Final
Claim Determination of Claim 161. Signed by District Judge James D. Peterson on 4/4/17. (jat)
(Entered: 04/04/2017)

04/04/2017

Reset Deadlines as to 248 Objection to Final Claim Determination of Claim 161. Response due
6/9/2017. (jat) (Entered: 04/04/2017)

04/12/2017

254 Motion for Extension of Time For the Sale of ISC, Honefi and Their Assets by Interested Party
Michael S Polsky. Motions referred to Magistrate Judge Stephen L. Crocker. (Polsky, Michael)
(Entered: 04/12/2017)

04/13/2017

255 ** TEXT ONLY ORDER **
ORDER granting 254 Motion for Extension of Time. Signed by District Judge James D.
Peterson on 4/12/17. (jat) (Entered: 04/13/2017)

04/26/2017

256 Motion for Order of Sale of Substantially All of the Assets of ISC, Inc. and Honefi, LLC Free
and Clear of All Liens, Claims and Encumbrances and For a Sale Hearing by Interested Party
Michael S Polsky, (Attachments:
# 1 Exhibit A - Draft Notice of Sale Hearing,
# 2 Text of Proposed Order Approving Sale of Assets) (Polsky, Michael) Modified on
4/27/2017. (lak) (Entered: 04/26/2017)

04/27/2017

Set Deadlines as to 256 Motion for Order of Sale of Substantially All of the Assets of ISC, Inc.
and Honefi, LLC Free and Clear of All Liens, Claims and Encumbrances and For a Sale
Hearing. Brief in Opposition due 5/11/2017. Brief in Reply due 5/18/2017. (jat) (Entered:
04/27/2017)

04/27/2017

257 ** TEXT ONLY ORDER **
The court will hold a hearing on the receiver's sale motion, Dkt. 256 , on Thursday, May 25,
2017, at 9:00 a.m. in courtroom 260. The court approves the notice of the hearing, except that
the receiver should note that the room number for the hearing will be 260, not 320. Signed by
District Judge James D. Peterson on 4/27/17. (jat) (Entered: 04/27/2017)

04/27/2017

258 Notice of Appearance filed by Mary Carolyn Turke for Interested Party AVID Acquisitions
LLC. (Turke, Mary) Modified on 4/28/2017: Second page is blank. (lak) (Entered: 04/27/2017)

04/27/2017

259 Quarterly Motion for Attorney Fees by Interested Party Michael S Polsky, (Attachments:
# 1 Exhibit A - Standardized Fund Accounting Reports,
# 2 Exhibit B - Slip Sheet for Itemized Statement of Service Performed by Receiver and BCBP,
# 3 Exhibit C - Chart Summarizing Hours and Fees (Subject Quarter),
# 4 Exhibit D - Itemized Statement of Costs and Expenses,
# 5 Exhibit E - Slip Sheet for Itemized Statement of Services Performed by Cowie Management
Group (Subject Quarter),
# 6 Exhibit F - Slip Sheet for Itemized Statement of Services of Cowie Management Group
(Prior Quarter),
# 7 Exhibit G - Chart Summarizing Total Hours and Fees of Cowie Management Group (Prior
Quarter),
# 8 Text of Proposed Order Authorizing and Allowing Fees) (Polsky, Michael) Modified on
4/28/2017. (lak) (Entered: 04/27/2017)

04/27/2017

260 Motion to Seal Documents Attached as Exhibits B, E and F to Receiver's Quarterly Fee
Application by Interested Party Michael S Polsky. Motions referred to Magistrate Judge
Stephen L. Crocker. (Polsky, Michael) Modified on 4/28/2017. (lak) (Entered: 04/27/2017)

05/01/2017

261 Notice by Interested Party Michael S Polsky re: 256 Motion for Order of Sale of Substantially
All of the Assets of ISC, Inc. and Honefi, LLC Free and Clear of All Liens, Claims and
Encumbrances and For a Sale Hearing on May 25, 2017 at 9:00 a.m. (Polsky, Michael)
(Entered: 05/01/2017)

05/01/2017

262 Certificate of Service by Interested Party Michael S Polsky as to 261 Notice, 256 Motion for
Order of Sale of Substantially All of the Assets of ISC, Inc. and Honefi, LLC Free and Clear of
All Liens, Claims and Encumbrances and For a Sale Hearing. (Polsky, Michael) (Entered:
05/01/2017)

05/01/2017

263 Status Report For Period Ending March 31, 2017 by Interested Party Michael S Polsky,
(Attachments:
# 1 Exhibit A - Schedule of Receiver's Receipts and Disbursements,
# 2 Exhibit B - List of All Known Creditors and Amounts of Their Claims) (Polsky, Michael)
(Entered: 05/01/2017)

05/03/2017

264 ** TEXT ONLY ORDER **
ORDER granting 260 Motion to Seal Documents Attached as Exhibits B, E and F to 259
Quarterly Motion for Attorney Fees. Signed by Magistrate Judge Stephen L. Crocker on 5/3/17.
(jat) (Entered: 05/03/2017)

05/03/2017

265 In Camera Submission. Exhibit B - Itemized Statement of Services Performed by Receiver and
BCBP, by Interested Party Michael S Polsky. (Ex Parte Document) (Polsky, Michael) (Entered:
05/03/2017)

05/03/2017

266 In Camera Submission. Exhibit E - Itemized Statement of Service of Cowie Management Group
(Subject Quarter), by Interested Party Michael S Polsky. (Ex Parte Document) (Polsky,
Michael) (Entered: 05/03/2017)

05/03/2017

267 In Camera Submission. Exhibit F - Itemized Statement of Services of Cowie Management Group
(Prior Quarter), by Interested Party Michael S Polsky. (Ex Parte Document) (Polsky, Michael)
(Entered: 05/03/2017)

05/08/2017

268 ORDER regarding 259 Quarterly Motion for Attorney Fees. Signed by District Judge James D.
Peterson on 5/8/17. (jat) (Entered: 05/08/2017)

05/10/2017

269 Notice of Appearance filed by Mark S. DesRochers for Creditor Krizan Insurance Services, Inc.
(DesRochers, Mark) (Entered: 05/10/2017)

05/10/2017

270 Brief in Opposition by Creditor Krizan Insurance Services, Inc. re: 256 Motion for Order of
Sale of Substantially All of the Assets of ISC, Inc. and Honefi, LLC Free and Clear of All Liens,
Claims and Encumbrances and For a Sale Hearing filed by Michael S Polsky, (Attachments:
# 1 Exhibit 1 - Licensed Intermediaries-Agreement,
# 2 Exhibit 2 - Licensed Intermediaries-Addendum Agreement,
# 3 Exhibit 3 - Amendment) (DesRochers, Mark) Modified on 5/10/2017. (lak) (Entered:
05/10/2017)

05/10/2017

271 Notice of Appearance filed by Mark S. DesRochers for Creditor Double Bubble, Ltd.
(DesRochers, Mark) (Entered: 05/10/2017)

05/10/2017

272 Brief in Opposition by Creditor Double Bubble, Ltd. re: 256 Motion for Order of Sale of
Substantially All of the Assets of ISC, Inc. and Honefi, LLC Free and Clear of All Liens, Claims
and Encumbrances and For a Sale Hearing filed by Michael S, Polsky, (Attachments:
# 1 Exhibit 1 - Asset Purchase Agreement,
# 2 Exhibit 2 - Business Note,
# 3 Exhibit 3 - Consumer Collateral Pledge Agreement,
# 4 Exhibit 4 - UCC Filings,
# 5 Exhibit 5 - Articles of Amendment,
# 6 Exhibit 6 - Assignment Business Note,
# 7 Exhibit 7 - Assignment Consumer Collateral Pledge Agreement) (DesRochers, Mark)
Modified on 5/10/2017. (lak) (Entered: 05/10/2017)

05/10/2017

273 Notice of Appearance filed by Mark S. DesRochers for Creditor Larry Schneider. (DesRochers,
Mark) (Entered: 05/10/2017)

05/10/2017

274 Brief in Opposition by Creditor Larry Schneider re: 256 Motion for Order of Sale of
Substantially All of the Assets of ISC, Inc. and Honefi, LLC Free and Clear of All Liens, Claims
and Encumbrances and For a Sale Hearing filed by Michael S. Polsky, (Attachments:
# 1 Exhibit 1 - Employee/Handbook,
# 2 Exhibit 2 - Paragraph 10,
# 3 Exhibit 3 - Addendum,
# 4 Exhibit 4 - Document dated 1/20/1999,
# 5 Exhibit 5 - Document dated 1/20/1999) (DesRochers, Mark) Modified on 5/10/2017. (lak)
(Entered: 05/10/2017)

05/10/2017

275 Brief in Opposition by Interested Party State Court Plaintiffs re: 256 Motion for Order of Sale,
filed by Michael S Polsky (Schott, Patrick) (Entered: 05/10/2017)

05/10/2017

276 Motion to Stay re: 256 Motion for Order of Sale of Substantially All of the Assets of ISC, Inc.
and Honefi, LLC Free and Clear of All Liens, Claims and Encumbrances and For a Sale
Hearing by Interested Party State Court Plaintiffs. Response due 5/17/2017. (Schott, Patrick)
(Entered: 05/10/2017)

05/15/2017

277 Motion to Appear by Telephone at May 25, 2017 Motion Hearing by Defendants Arlene
Holzhueter, The Estate of Loren W. Holzhueter. (Kravit, Stephen) Modified on 5/15/2017. (lak)
(Entered: 05/15/2017)

05/15/2017

278 ** TEXT ONLY ORDER **
ORDER granting 277 Motion to Appear by Telephone at the 5/25/2017 Motion Hearing.
Counsel is to notify the clerk's office of the number they can be reached at the time of the
hearing. Signed by District Judge James D. Peterson on 5/15/17. (jat) (Entered: 05/15/2017)

05/17/2017

279 Amended Notice of Appearance filed by James Burnett for Creditor Double Bubble, Ltd.
(Burnett, James) Modified on 5/17/2017. (lak) (Entered: 05/17/2017)

05/17/2017

280 Amended Notice of Appearance filed by James Burnett for Creditor Krizan Insurance Services,
Inc. (Burnett, James) Modified on 5/17/2017. (lak) (Entered: 05/17/2017)

05/17/2017

281 Stipulation Regarding the Objection of Double Bubble, Ltd. f/k/a The Insurance Shoppe, Ltd. to
the Proposed Sale of ISC, Inc., Honefi, LLC and/or Their Assets by Interested Party Michael S
Polsky. (Polsky, Michael) Modified on 5/17/2017. (lak) (Entered: 05/17/2017)

05/18/2017

282 Stipulation Regarding the Objection of Krizan Insurance Services, Inc. to the Proposed Sale of
ISC, Inc., Honefi LLC and/or Their Assets by Interested Party Michael S Polsky. (Polsky,
Michael) Modified on 5/18/2017. (lak) (Entered: 05/18/2017)

05/18/2017

283 Stipulation Regarding the Objection of Larry F. Schneider to the Proposed Sale of ISC, Inc.,
Honefi LLC and/or Their Assets by Interested Party Michael S Polsky. (Polsky, Michael)
Modified on 5/18/2017. (lak) (Entered: 05/18/2017)

05/18/2017

284 Joint Motion for Extension of Time to File Consolidated Reply and Response in Support of
Motion for Sale by Plaintiff United States Securities and Exchange Commission. Motions
referred to Magistrate Judge Stephen L. Crocker. (Moye, Robert) (Entered: 05/18/2017)

05/18/2017

285 ** TEXT ONLY ORDER **
ORDER granting 284 Motion for Extension of Time. Signed by District Judge James D.
Peterson on 5/18/17. (jat) (Entered: 05/18/2017)

05/19/2017

286 Joint Brief in Reply by Plaintiff United States Securities and Exchange Commission in Support
of 256 Motion for Order of Sale, Joint Response re: 276 Motion to Stay, on Behalf of the SEC
and the Receiver. (Moye, Robert) Modified on 5/22/2017. (lak) (Entered: 05/19/2017)

05/23/2017

287 Declaration of Michael S. Polsky filed by Interested Party Michael S Polsky re: 256 Motion for
Order of Sale, (Attachments:
# 1 Exhibit A - Summary of Investor Communications,
# 2 Exhibit B - Investor Communications) (Polsky, Michael) Modified on 5/24/2017: Clarified
exhibit descriptions. (lak) (Entered: 05/23/2017)

05/24/2017

288 Notice by Interested Party Michael S Polsky re: 256 Motion for Order of Sale. Notice of
Amended Asset Purchase Agreement and of Sale Agreement. (Polsky, Michael) Modified on
5/25/2017. (lak) (Entered: 05/24/2017)

05/24/2017

289 Amended Document by Interested Party Michael S Polsky. Amendment to 256 Motion for
Order of Sale. Revised Proposed Sale Order. (Polsky, Michael) Modified on 5/25/2017. (lak)
(Entered: 05/24/2017)

05/25/2017

290 Minute Entry for proceedings held before District Judge James D. Peterson: Motion Hearing
held on 5/25/2017 re 256 Motion for Order of Sale. [1:17] (Court Reporter JD.) (voc) (Entered:
05/25/2017)

05/25/2017

291 Certified and Transmitted Record on Appeal to US Court of Appeals re: 208 Notice of Appeal,
209 Notice of Appeal, 210 Notice of Appeal, (Attachments:
# 1 Certification) (lak) (Entered: 05/25/2017)

05/25/2017

292 ORDER APPROVING SALE OF SUBSTANTIALLY ALL OF THE ASSETS OF ISC, INC.
AND HONEFI LLC FREE AND CLEAR OF ALL LIENS, CLAIMS AND
ENCUMBRANCES. Signed by District Judge James D. Peterson on 5/25/17. (jat) (Entered:
05/25/2017)

05/31/2017

293 Motion to Employ Wadsworth Whitestar Consultants by Interested Party Michael S Polsky.
Response due 6/7/2017. (Polsky, Michael) (Entered: 05/31/2017)

05/31/2017

294 Declaration of Patrick Caracciolo filed by Interested Party Michael S Polsky re: 293 Motion to
Employ Wadsworth Whitestar Consultants. (Polsky, Michael) Modified on 6/1/2017. (lak)
(Entered: 05/31/2017)

06/01/2017

295 ** TEXT ONLY ORDER **
ORDER granting 293 Motion to Employ Wadsworth Whitestar Consultants. Signed by District
Judge James D. Peterson on 6/1/17. (jat) (Entered: 06/01/2017)

06/06/2017

296 Stipulation Resolving The Objection to The Final Claim Determination of Claim 161 by
Interested Party Michael S Polsky. (Polsky, Michael) (Entered: 06/06/2017)

06/07/2017

297 ** TEXT ONLY ORDER **
The court accepts the stipulation resolving claimants 161's final claim determination objection.
Dkt. 296 . The objection, Dkt. 248 , is withdrawn. Claimants 161 are entitled to an allowed
claim in the amount of $135,042.90, and the receiver is authorized to pay 63 percent of the
allowed claim to the claimants. Signed by District Judge James D. Peterson on 6/6/17. (jat)
(Entered: 06/07/2017)

06/07/2017

298 Notice by Interested Party Michael S Polsky of Amendment to the Final Claim Determinations
For Claimants 79 and 161. (Polsky, Michael) (Entered: 06/07/2017)

06/08/2017

299 Notice by Interested Party Michael S Polsky of the Receiver's Phase II Distribution Plan,
(Attachments:
# 1 Exhibit A - List of Investor Remaining Claims,
# 2 Exhibit B - Claim Form,
# 3 Exhibit C - Notice of Filing) (Polsky, Michael) Modified on 6/12/2017 (jat). (Entered:
06/08/2017)

06/09/2017

300 Transcript of Motion Hearing, held 5/25/17 before Judge James D. Peterson. Court Reporter:
JD.
Please review the court's new policy regarding electronic transcripts of court proceedings: see
Electronic Transcript Instructions. (jat) (Entered: 06/09/2017)

06/12/2017

Set Deadlines as to 299 Notice by Interested Party Michael S Polsky of the Receiver's Phase II
Distribution Plan. Brief in Opposition due 6/22/2017. Brief in Reply due 6/29/2017. (jat)
(Entered: 06/12/2017)

06/12/2017

301 Certificate of Service by Interested Party Michael S Polsky as to 299 Notice by Interested Party
Michael S Polsky of the Receiver's Phase II Distribution Plan. (Polsky, Michael) (Entered:
06/12/2017)

06/19/2017

302 Response Stating No Opposition re: 299 Notice by Interested Party Michael S. Polsky, filed by
Michael S. Polsky Accepting Receiver's Phase II Distribution Plan (Kravit, Stephen) Modified
on 6/19/2017 (voc). Modified on 6/19/2017. (lak) (Entered: 06/19/2017)

06/21/2017

303 Notice of Appearance filed by Derek McDermott for Creditor Double Bubble, Ltd.
(McDermott, Derek) (Entered: 06/21/2017)

06/21/2017

304 Brief in Opposition by Creditor Double Bubble, Ltd. re: 299 Notice by Interested Party Michael
S Polsky of the Receiver's Phase II Distribution Plan filed by Michael S. Polsky, (Attachments:
# 1 Exhibit A - Proof of Claim) (Burnett, James) Modified on 6/21/2017: Corrected docketing
event; clarified exhibit description. (lak) (Entered: 06/21/2017)

06/21/2017

305 Affidavit of Derek McDermott filed by Creditor Double Bubble, Ltd. re: 299 Notice by
Interested Party Michael S Polsky, (Attachments:
# 1 Exhibit 1 - Articles of Amendment,
# 2 Exhibit 2 - Assignment,
# 3 Exhibit 3 - Assignment,
# 4 Exhibit 4 - Business Note,
# 5 Exhibit 5 - Consumer Collateral Pledge Agreement,
# 6 Exhibit 6 - UCC Filing,
# 7 Exhibit 7 - UCC Filing,
# 8 Exhibit 8 - UCC Filing) (McDermott, Derek) Modified on 6/21/2017: Clarified exhibit
descriptions. (lak) Modified on 6/22/2017: Also see 311 . (lak) (Entered: 06/21/2017)

06/21/2017

306 Brief in Support of 299 Notice by Interested Party Michael S. Polsky, by Creditor Double
Bubble, Ltd., (Attachments:
# 1 Exhibit A - UCC Financing Statement,
# 2 Exhibit B - DFI UCC Filing Search Results,
# 3 Exhibit C - DFI UCC Filing Search Results,
# 4 Exhibit D - DFI UCC Filing Search Website (Pages 7 and 8 are blank.) (McDermott, Derek)
Modified on 6/21/2017: Brief in Support of Objection? E-mail to counsel. Clarified exhibit
descriptions. Also see 312 . (lak) (Entered: 06/21/2017)

06/21/2017

307 Motion for Reconsideration re: 292 Order on Motion for Order of Sale, Order on Motion to
Stay, Order on Stipulation, by Interested Party State Court Plaintiffs. Response due 6/28/2017.
(Schott, Patrick) (Entered: 06/21/2017)

06/21/2017

308 Brief in Support of 307 Motion for Reconsideration by Interested Party State Court Plaintiffs,
(Attachments:
# 1 Exhibit - Kokesh Slip Op.) (Schott, Patrick) (Entered: 06/21/2017)

06/21/2017

309 Notice of Appearance filed by Christopher James Smith for Claimant T & J Liquidation, Inc.
(Smith, Christopher) (Entered: 06/21/2017)

06/21/2017

310 Notice of Appearance filed by Timothy F. Nixon for Creditor Partnership Community Bank.
(Nixon, Timothy) (Entered: 06/21/2017)

06/22/2017

311 Affidavit of Derek McDermott filed by Creditor Double Bubble, Ltd. re: 299 Notice,
(Attachments:
# 1 Exhibit 1 - Articles of Amendment,
# 2 Exhibit 2 - Assignment,
# 3 Exhibit 3 - Assignment,
# 4 Exhibit 4 - Business Note,
# 5 Exhibit 5 - Consumer Collateral Pledge Agreement,
# 6 Exhibit 6 - UCC Financing Statement,
# 7 Exhibit 7 - UCC Financing Statement Amendment,
# 8 Exhibit 8 - UCC Financing Statement Amendment) (McDermott, Derek) Modified on
6/22/2017. (lak) (Entered: 06/22/2017)

06/22/2017

312 Brief in Opposition by Creditor Double Bubble, Ltd. re: 299 Notice filed by Michael S. Polsky,
(Attachments:
# 1 Exhibit A - UCC Financing Statement,
# 2 Exhibit B - DFI UCC Filing Search Results,
# 3 Exhibit C - DFI UCC Filing Search Results,
# 4 Exhibit D - DFI UCC Filing Search Website (Pages 7 and 8 are blank.) (McDermott, Derek)
Modified on 6/22/2017. (lak) (Entered: 06/22/2017)

06/22/2017

313 Brief in Opposition by Claimant T & J Liquidation, Inc., re: 299 Notice filed by Michael S.
Polsky, (Attachments:
# 1 Exhibit A - Business Note,
# 2 Exhibit B - Business Note,
# 3 Exhibit C - Security Agreement,
# 4 Exhibit D - UCC Filing Statement,
# 5 Exhibit E - Proof of Claim) (Smith, Christopher) Modified on 6/22/2017: Corrected
docketing event; removed duplicate text; termed motion and briefing schedule. (lak) (Entered:
06/22/2017)

06/22/2017

314 Motion for Payment of Accrued Unpaid Attorney Fees and Costs by Defendant Aaron
Holzhueter. Response due 6/29/2017. (Engel, Peyton) (Entered: 06/22/2017)

06/22/2017

315 Disregard. See 321 . Modified on 6/22/2017. (lak) (Entered: 06/22/2017)

06/22/2017

316 Declaration of Marcus J. Berghahn filed by Defendant Aaron Holzhueter re: 314 Motion for
Payment of Accrued Unpaid Attorney Fees and Costs. (Engel, Peyton) Modified on 6/22/2017.
(lak) (Entered: 06/22/2017)

06/22/2017

317 Declaration of Martin J. Cowie filed by Defendant Aaron Holzhueter re: 314 Motion for
Payment of Accrued Unpaid Attorney Fees and Costs. (Engel, Peyton) Modified on 6/22/2017.
(lak) (Entered: 06/22/2017)

06/22/2017

318 Brief in Support of 314 Motion for Payment of Accrued Unpaid Attorney Fees and Costs by
Defendant Aaron Holzhueter. (Engel, Peyton) Modified on 6/22/2017. (lak) (Entered:
06/22/2017)

06/22/2017

319 Brief in Opposition by Interested Party State Court Plaintiffs re: 299 Notice by Interested Party
Michael S Polsky of the Receiver's Phase II Distribution Plan filed by Michael S Polsky.
(Schott, Patrick) Modified on 6/22/2017: Corrected docketing event. (lak) (Entered:
06/22/2017)

06/22/2017

320 Declaration of Patrick J. Schott filed by Interested Party State Court Plaintiffs re: 299 Notice by
Interested Party Michael S. Polsky, (Attachments:
# 1 Exhibit 1 - Groth Proof of Claim,
# 2 Exhibit 2 - Heinecke Proof of Claim,
# 3 Exhibit 3 - Pritchard Proof of Claim,
# 4 Exhibit 4 - Tesch Proof of Claim,
# 5 Exhibit 5 - Wegner Proof of Claim) (Schott, Patrick) Modified on 6/22/2017. (lak) (Entered:
06/22/2017)

06/22/2017

321 Declaration of Andrew W. Erlandson filed by Defendant Aaron Holzhueter re: 314 Motion for
Payment of Accrued Unpaid Attorney Fees and Costs, (Attachments:
# 1 Exhibit A - Plaintiff's Notice of Deposition of Corporate Defendant ISC, Inc.,
# 2 Exhibit B - Complaint in David J. Heinecke v. Loren Holzhueter, Waukesha Cty. Case No.
15 CV 507,
# 3 Exhibit C - Complained in John W. Tesch v. Estate of Loren Holzhueter, Dodge County
Case No. 15 CV 419,
# 4 Exhibit D - Complaint filed in James G. Pritchard v. Estate of Loren W. Holzhueter,
Jefferson County Case No. 15 CV 352,
# 5 Exhibit E - Complaint filed in Carl A. Nicholson and Gwendolyn R. Nicholson v. Quality
Tax and Accounting Services, LLC, Jefferson County Case No. 15 CV 311,
# 6 Exhibit F - Complaint filed in David J. Groth v. ISC, Inc., Dodge County Case No. 15 CV
289,
# 7 Exhibit G - Complaint filed in Barbara L. Wegner v. the Estate of Loren W. Holzhueter,

Dodge County Case No. 15 CV 108,
# 8 Exhibit H - Defendants Aaron Holzhueter, Arlene Holzhueter, Loren Holzhueter and ISC,
Inc., Notice of Motion and Motion to Consolidate,
# 9 Exhibit I - Correspondence from Hurley Burish & Stanton to Attorney Patrick J. Schott,
# 10 Exhibit J - Defendants Loren Holzhueter, Arlene Holzhueter, Aaron Holzhueter and ISC,
Inc. Notice of Motion and Motion to Stay Further Proceedings,
# 11 Exhibit K - Plan of Reorganization for Aaron Holzhueter Proposed by the Debtor in
Possession, Dated February 24, 2017,
# 12 Exhibit L - True and correct invoice showing outstanding amount due and owing,
# 13 Exhibit M - True and correct invoice showing outstanding amount due and owing,
# 14 Exhibit N - True and correct invoice showing amount due and owing,
# 15 Exhibit O - Letter transmitting Hurley, Burish & Stanton SC proof of claim to the offices
of the court-appointed receiver) (Engel, Peyton) Modified on 6/23/2017. (lak) (Entered:
06/22/2017)
06/22/2017

322 Notice of Appearance filed by Paul Gregory Swanson for Claimant Martin J. Cowie. (Swanson,
Paul) (Entered: 06/22/2017)

06/22/2017

323 Disregard. See 325 . Modified on 6/22/2017. (lak) (Entered: 06/22/2017)

06/22/2017

324 Disregard. See 326 . Modified on 6/23/2017. (lak) (Entered: 06/22/2017)

06/22/2017

325 Brief in Opposition by Creditor Partnership Community Bank re: 299 Notice by Interested
Party Michael S. Polsky, and Brief in Response, (Attachments:
# 1 Exhibit A - Loan Documentation,
# 2 Exhibit B - Default Notice,
# 3 Exhibit C - Calculation of Amounts Due) (Nixon, Timothy) Modified on 6/22/2017. (lak)
(Entered: 06/22/2017)

06/23/2017

326 Brief in Opposition by Claimant Martin J. Cowie re: 299 Notice by Interested Party Michael S.
Polsky, (Attachments:
# 1 Exhibit 1 - Martin Cowie's Claim) (Swanson, Paul) Modified on 6/23/2017. (lak) (Entered:
06/23/2017)

06/28/2017

327 Brief in Opposition by Plaintiff United States Securities and Exchange Commission re: 307
Motion for Reconsideration filed by State Court Plaintiffs, (Attachments:
# 1 See 329 . (Leiman, Timothy) Modified on 6/28/2017; Filed declaration as a separate docket
entry. (lak) (Entered: 06/28/2017)

06/28/2017

328 Notice by Interested Party Michael S Polsky re: 327 Brief in Opposition. Receiver's Joinder to
Plaintiff Securities and Exchange Commission's Response to State Court Plaintiffs' Motion for
Reconsideration. (Polsky, Michael) Modified on 6/28/2017: Linked to the pending motion to
which the Brief in Opposition relates. (lak) (Entered: 06/28/2017)

06/28/2017

329 Declaration of Michael S. Polsky filed by Plaintiff United States Securities and Exchange
Commission re: 307 Motion for Reconsideration. (lak) (Entered: 06/28/2017)

06/28/2017

330 Joint Brief by Interested Party Michael S Polsky and Plaintiff United States Securities and
Exchange Commission re: 299 Notice by Interested Party Michael S Polsky of the Receiver's
Phase II Distribution Plan filed by Michael S PolskyNotice, and 319 Brief in Opposition by
Interested Party State Court Plaintiffs. (Attachments:
# 1 Disregard. To be refiled. Exhibit A - Declaration of Michael Polsky) (Leiman, Timothy)
Modified on 6/29/2017. (lak) Modified docket text to clarify this docket no. is related to dockets
299 , 319 , 7/5/2017 (jef). (Entered: 06/28/2017)

06/29/2017

331 Declaration of Michael S. Polsky filed by Plaintiff United States Securities and Exchange
Commission In Support of Joint Response to Objection of State Court Plaintiffs to Phase II
Distribution Plan re: 299 Notice. (Leiman, Timothy) Modified on 6/30/2017. (lak) (Entered:
06/29/2017)

06/29/2017

332 Brief in Support of 299 Notice. Receiver's Response to the Objection to Proposed Receiver's
Phase II Distribution Plan on Behalf of Double Bubble, Ltd. and Its Assigns Dexter Sattler,
Nannette Popp and Karen Wettstein by Interested Party Michael S Polsky. (Polsky, Michael)
Modified on 6/30/2017: Brief in Reply? (lak) (Entered: 06/29/2017)

06/29/2017

333 Declaration of Michael S. Polsky filed by Interested Party Michael S Polsky In Support of
Receiver's Response to the Objection to Proposed Receiver's Phase II Distribution Plan on
Behalf of Double Bubble, Ltd. and Its Assigns, Dexter Sattler, Nannette Popp and Karen
Wettstein re: 299 Notice. (Polsky, Michael) Modified on 6/30/2017. (lak) (Entered: 06/29/2017)

06/29/2017

334 Brief in Support of 299 Notice. Receiver's Response to FDL Insurance Agency, Inc. n/k/a T&J
Liquidation, Inc.'s Objection to the Receiver's Phase II Distribution Plan by Interested Party
Michael S Polsky. (Polsky, Michael) Modified on 6/30/2017: Brief in Reply? (lak). (Entered:
06/29/2017)

06/29/2017

335 Joint Brief in Opposition by Interested Party Michael S Polsky, Plaintiff United States
Securities and Exchange Commission re: 314 Motion for Payment of Accrued Unpaid Attorney
Fees and Costs filed by Aaron Holzhueter, (Attachments:
# 1 Exhibit A - Holzhueter Consent) (Leiman, Timothy) Modified on 6/30/2017. (lak) (Entered:
06/29/2017)

06/29/2017

336 Brief in Support of 299 Notice. Response to Objection By Martin J. Cowie To Receiver's Phase
II Distribution Plan by Plaintiff United States Securities and Exchange Commission. (Peltz,
Jennifer) Modified on 6/30/2017: Brief in Reply? (lak) (Entered: 06/29/2017)

06/29/2017

337 Declaration of Luz M. Aguilar filed by Plaintiff United States Securities and Exchange
Commission In Support of Plaintiff Securities and Exchange Commission's Response to
Objection By Martin J. Cowie to Receiver's Phase II Distribution Plan re: 299 Notice,
(Attachments:
# 1 Exhibit A - June 2, 2015 Email,
# 2 Exhibit B - September 16, 2016 Email,
# 3 Exhibit C - December 14, 2015 Email,
# 4 Exhibit D - January 28, 2016 Email,
# 5 Exhibit E - March 7, 2016 Email,
# 6 Exhibit F - July 6, 2016 Email,
# 7 Exhibit G - Summary of Investor Claims,
# 8 Exhibit H - Cowie Management Group Invoices,
# 9 Exhibit I - Analysis of Cowie Management Group Invoices) (Peltz, Jennifer) Modified on
6/30/2017. (lak) (Entered: 06/29/2017)

06/29/2017

338 Notice by Interested Party Michael S Polsky re: 336 Brief in Support Receiver's Joinder to
Plaintiff Securities and Exchange Commission's Response to Objection by Martin J. Cowie to
Receiver's Phase II Distribution Plan. (Polsky, Michael) Modified on 6/30/2017: This is not
linked to a pending motion. (lak) (Entered: 06/29/2017)

06/29/2017

339 Joint Brief in Reply by Interested Party Michael S Polsky, Plaintiff United States Securities and
Exchange Commission in Support of 299 Notice and Opposing Objection of Partnership Bank
to Phase II Plan, (Attachments:
# 1 Exhibit A - Email Between G&K and SEC,
# 2 Exhibit B - Email Between G&K and SEC,

# 3 Exhibit C - Email Between G&K and SEC,
# 4 Exhibit D - Letter from Bank to Receiver,
# 5 Exhibit E - 2014 G&K Invoices,
# 6 Exhibit F - 2015 G&K Invoices,
# 7 Exhibit G - 2016 G&K Invoices,
# 8 Exhibit H - 2017 G&K Invoices) (Leiman, Timothy) Modified on 6/30/2017. (lak) (Entered:
06/29/2017)
06/29/2017

340 Brief in Opposition by Interested Party State Court Plaintiffs re: 314 Motion for Payment of
Accrued Unpaid Attorney Fees and Costs filed by Aaron Holzhueter. (Barker, April) Modified
on 6/30/2017. (lak) (Entered: 06/29/2017)

06/29/2017

341 Disregard. See 342 . Modified on 6/30/2017. (lak) (Entered: 06/29/2017)

06/29/2017

342 Declaration of April Rockstead Barker filed by Interested Party State Court Plaintiffs re: 314
Motion for Payment of Accrued Unpaid Attorney Fees and Costs, (Attachments:
# 1 Exhibit 1 - Amended Complaint (Heinecke v. Holzhueter et al.),
# 2 Exhibit 2 - Amended Complaint (Wegner v. Holzhueter et al.),
# 3 Exhibit 3 - Counterclaim in Adversary Proceedings,
# 4 Exhibit 4 - Excerpts from David and Judith Heinecke Interrogatory Responses,
# 5 Exhibit 5 - Excerpts from Rule 2004 Examination and Exhibits,
# 6 Exhibit 6 - Excerpts from Barbara Wegner Interrogatory Responses,
# 7 Exhibit 7 - Excerpts from Rule 2004 Examination and Exhibits,
# 8 Exhibit 8 - Excerpts from James Pritchard Interrogatory Responses,
# 9 Exhibit 9 - Excerpt from Rule 2004 Examination,
# 10 Exhibit 10 - Affidavit of Andrew W. Erlandson,
# 11 Exhibit 11 - Excerpt from Amended Plan) (Barker, April) Modified on 6/30/2017. (lak)
(Entered: 06/29/2017)

07/05/2017

343 Brief in Reply by Defendant Aaron Holzhueter in Support of 314 Motion for Payment of
Accrued Unpaid Attorney Fees and Costs. (Engel, Peyton) Modified on 7/5/2017: Corrected
docketing event, etc. (lak) (Entered: 07/05/2017)

07/06/2017

344 Stipulation for Resolution of Partnership Community Bank's Objection to the Receiver's
Proposed Phase II Distribution Plan by Interested Party Michael S Polsky. (Attachments:
# 1 Text of Proposed Order Approving Stipulation Resolving Partnership Community Bank's
Objection to the Receiver's Proposed Phase II Distribution Plan) (Polsky, Michael) (Entered:
07/06/2017)

07/17/2017

345 Brief in Reply by Creditor Double Bubble, Ltd. in Support of 299 Motion for Miscellaneous
Relief (McDermott, Derek) Modified on 7/17/2017 (jat). Cover Letter included with Main
Document. (Entered: 07/17/2017)

07/21/2017

346 Motion for Declaratory Relief With Respect to the Asset Purchase Agreement Executed
Between The Receiver and Avid Risk Solutions, Inc., Tom Schwarz, and Family Insurance
Center, Inc. by Interested Party Michael S Polsky. Response due 7/28/2017. (Polsky, Michael)
(Entered: 07/21/2017)

07/21/2017

347 Declaration of Michael S. Polsky, Esq. filed by Interested Party Michael S Polsky In Support of
Receiver's Motion For Declaratory Relief With Respect to the Asset Purchase Agreement
Executed Between the Receiver and Avid Risk Solutions, Inc., Tom Schwarz, and Family
Insurance, Inc. re: 346 Motion for Miscellaneous Relief, (Attachments:
# 1 Exhibit 1- Asset Purchase Agreement,
# 2 Exhibit 2 -Amendment Agreement) (Polsky, Michael) (Entered: 07/21/2017)

07/24/2017

348 NOTICE OF APPEAL by Interested Party State Court Plaintiffs as to 292 Order on Motion for
Order of Sale, Order on Motion to Stay, Order on Stipulation. Filing fee of $ 505, receipt
number 0758-2072943 paid. Docketing Statement filed. (Attachments:
# 1 Docketing Statement) (Schott, Patrick) (Entered: 07/24/2017)

07/25/2017

349 Appeal Information Packet. (lak) (Entered: 07/25/2017)