Free Declaration in Support - District Court of California - California

Case 3:08-cv-03141-WHA
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GEORGE L. GUERR, CASB No. 158263 FOWLER WHITE BOGGS BANKER P.A. 501 E. Kennedy Blvd., Suite 1700 Tampa, Florida 33602
Tel: (813) 228-7411

Fax: (813) 229-8313 Email: george.guerra~fowlerwhite.com

Attorney for Defendant DOUGLAS GREEN

UNITED STATES DISTRICT COURT

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NORTHERN DISTRICT OF CALIFORNIA

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PERSHING LLC, )

CASE NO. CV-08-3141 WHA

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vs. )
Plaintiff, )
) )

)

MEMORADUM OF POINTS AND AUTHORITIES IN SUPPORT OF MOTION FOR ATTORNEYS' FEES
AND

COSTS

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CROCKER SECURITIES LLC )

and DOUGLAS GREEN, )
)

Defendants. )
) )

HEARG DATE: OCT. 2, 2008 HEARNG TIME: 8:00 A.M. LOCATION: COURTROOM 9

)

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I.

STATEMENT OF ISSUES
Whether Defendant Douglas Green may recover attorneys' fees incurred by him to

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defend against an ex parte Temporary Restraining Order

ultimately

found to be frvolous and

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an Order expediting discovery.

II.

STATEMENT OF RELEVANT FACTS
On or about July 1, 2008, this Honorable Cour granted Plaintiffs ex parte motion for

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TRO (effectively freezing Douglas Green's assets) and motion for expedited discovery. No

bond was required. Mr. Green's emergency motions to dissolve the ex parte Order and for

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protective order preventing discovery were granted on July 7, 2008 by the Honorable Charles

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R. Breyer. On July 11, 2008, this Cour, on its own motion, issued an Order to Show Cause

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why Gordon C. Young Esq. "(sJhould not be required to reimburse defendants for all fees
and expenses incurred in obtaining a dissolution of the TRO . . . ." A hearng on the Order to

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Show Cause took place before this Court on July 16, 2008. See Exhbit A, Transcript of
Hearng on Order to Show Cause. Among other things, counsel for the Plaintiff failed to

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disclose both Plaintiffs obligation to arbitrate the subject dispute and a venue provision in
Plaintiffs contract requiring arbitration in Milwaukee, Wisconsin. The Cour concluded the

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TRO would never have been granted had Plaintiff disclosed those facts. See Exhibit A,
Transcript of

Hearng on Order to Show Cause pp 12:21-24.

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III. ARGUMENT
A.

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Rule 11 Standard

Federal Rule of Civil Procedure 11(b) ("Rule 11") states in relevant part that by
presenting to the court any pleading, written motion, or paper, whether by signing, filing or
advocating, counsel certifies to the best of

his knowledge, information, and belief, that:

(1) it is not being presented for any improper purose, such as to harass or cause unnecessar delay or needlessly

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increase in the cost of litigation;

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(2) the claims, defenses, and other legal contentions therein are waranted by existing law or by a nonfrvolous argument for the extension, modification, or reversal of
existing law or the establishment of new law;
(3) the factual contentions have evidentiar support or,

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if specifically so identified, wil likely have evidentiar
support after a reasonable opportty for fuer investigation

or discovery;
* * *

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It is proper to impose appropriate sanctions against any law firm, parer, or par

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who has presented a frvolous motion or arguent in violation of Rule 11 (b); Saratoga
Savings & Loan Association v. Tate, 1988 U.S. Dist. LEXIS 16573, *6 (N.D. CaL. 1988)

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("Sanctions can be imposed if the pleading signed by the attorney is frvolous, legally
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unreasonable or without factual foundation."). Requiring payment ofthe attorneys' fees and
costs incurred by the par who responded to the frvolous motion or pleading constitutes an

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appropriate Rule 11 sanction. See Fed. R. Civ. P. 11(c)(4); McMahon v. Pier 39 Ltd.

Parnership, 2003 WL 22939233, *9 (N.D. CaL. 2003) (directing defendants to submit a
declaration detailing attorneys' fees and costs to determine the appropriate amount of

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sanctions under Rule 11). Further, a district court retains jurisdiction to impose Rule 11
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sanctions even after voluntar dismissal of

the action.l See Tate, 1988 U.S. Dist. LEXIS

16573 at *12.

A motion for sanctions pursuant to Rule 11 must describe the specific conduct that
allegedly

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violated Rule 11(b). Fed. R. Civ. P. 11(c)(2). Further, the motion must be served,
presented to the court, if

but not filed or

the filing challenged as frvolous is withdrawn and

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appropriately corrected within 21 days after service.2 Id.
B.

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Attorneys' Fee Sanctions Are Warranted Pursuant to Rule 11

Pershing's counsel failed to raise multiple issues at the ex parte hearng, despite the

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Court's direct request for any information that would call into question Plaintiffs entitlement

1 Plaintiff voluntarly dismissed its Complaint on July 11, 2008, after this Court entered the

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Order to Show Cause.
2 The dissolution of the TRO and Plaintiff s subsequent voluntar dismissal has rendered ths
Rule 11 moot. Serving the Motion for Fees 21 days in advance of fiing to allow retraction or cure ofthe offending document is ilogical, and indeed impossible, in the case at bar. During the good faith conference with counsel for Plaintiff, the paries were unable to come to an alternative resolution to filing the subject motion.
provision of

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to the TRO. See Exhibit A, Transcript of

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Hearng on Order to Show Cause pp 12:14-21;

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Exhbit B, Transcript of Ex Parte TRO Hearng pp 3: 18-21.
Among other thngs, the Court was not informed that:
. The dispute was

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subject to arbitration.

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. .

A venue provision in Plaintiffs contract required it to file its motion for

preliminar injunctive relief in Wisconsin.

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At 12:47 p.m. Pacific Time on July 1, 2008, counsel for Pershing faxed to Mr.

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Green and his counsel a notice of the ex parte application to be heard by the Cour at

1 :45 p.m. that same day. The Court was not informed that attendance by Green's
counsel was an impossibility.

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.

Mr. Green's counsel requested copies of all documents filed on Plaintiffs behalf

in connection with the TRO and an opportnity to be heard. No moving papers or
supporting documentation were provided until after the hearng had concluded and the

Cour had entered its Order.

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.

Pershing's counsel failed to disclose that FINRA Rule 13804(a) obligated

Plaintiff to contemporaneously file the motion for temporar injunctive relief with the Director of arbitration, which Plaintiff failed to do.
This Court concluded that if it had been made aware of the arbitration agreement and

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venue provision in the first instance, the TRO would not have been granted. As a result, this

Court gave counsel for Mr. Green leave to "(b Jring a motion for fees based on the fact that

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Memo in Support of this was a frvolous TRO to begin with. . . ." Exhibit A, Transcript of

Hearng on Order to

Show Cause pp 14:20-2; see also Civil Pretral Minutes for the Order to Show Cause
Proceeding. Therefore, Rule 11 sanctions in the form of an award of reasonable attorneys'

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fees and costs, is waranted. The undersigned has submitted an affidavit to this Court in

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support of the subject motion as well as copies of invoices that delineate the services
rendered and charges incured in connection with dissolving the TRO and requesting a
protective order to halt the expedited discovery process (See Exhbit C).

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iv. CERTIFICATE OF GOOD FAITH CONFERENCE
Pursuant to Rule 54-6(b )(1) of the Civil Local Rules for the Northern Distrct of
Californa, the undersigned warants that a good faith telephonic conference was held on July

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23, 2008 with counsel for Pershing LLC, in attempts to resolve the subject Motion for
Attorneys' Fees and Costs.

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Respectfully submitted,

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sf George Guerra

George Guerra, Esq, CASB 158263 FOWLER WHITE BOGGS BANKER P.A. 501 East Kennedy Boulevard, Suite 1700 Tampa, FL 33602-5200
Telephone: 813-228-7411

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Fax: 813-229-8313 Counsel for Defendant Douglas Green

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Pages 1 - 18 United States District Court Northern District of California Before The Honorable William Alsup Pershing, LLC, ) ) Plaintiff, ) ) vs. ) ) Crocker Securities, LLC, ) ) Defendant. ) ____________________________)

No. C08-3141 WHA

San Francisco, California Wednesday, July 16, 2008

Reporter's Transcript Of Proceedings Appearances: For Plaintiff: By: Keesal, Young & Logan Four Embarcadero Center, Suite 1500 San Francisco, California 94111 Gordon Craig Young, Esquire Keesal, Young & Logan Four Embarcadero Center, Suite 1500 San Francisco, California 94111 Peter R. Boutin, Esquire Tesler Sandmann & Fishman 163 Miller Avenue, Suite 4 Mill Valley, California 94941 Peter Bradford Sandmann, Esquire

By: For Defendant: By: Reported By:

Sahar McVickar, RPR, CSR No. 12963 Official Reporter, U.S. District Court For the Northern District of California (Computerized Transcription By Eclipse)

Sahar McVickar, C.S. R. No. 12963, RPR Official Court Reporter, U.S. District Court (415) 626-6060

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Wednesday, July 16, 2008 P R O C E E D I N G S THE CLERK:

1:30 p.m.

Calling civil case C08-3141, Pershing,

LLC, versus Crocker Securities, LLC. Counsel, please state your appearances for the record. MR. YOUNG: Gordon Young, I believe in this matter

appearing on behalf of myself. MR. SANDMANN: Green. MR. BOUTIN: THE COURT: show cause. Peter Boutin appearing for Pershing. All right, we are here on an order to Peter Sandmann for defendant, Douglas

I think we all know why we are here.

Everyone have a seat. Mr. Young, what would you like to say on the order to show cause? MR. YOUNG: THE COURT: MR. YOUNG: May I come to the podium, Your Honor? Yeah, please. I have a prepared statement. I can

provide that to the court reporter. Well, I guess I want to start by thanking Your Honor for giving me the opportunity to try and clear this up. what the Court instructed me to do in the order. I read I did

Judge Breyer's -- the transcript of the proceedings before Judge Breyer. I read it several times.

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I reread the transcript of my interactions with the Court on July 1st. I will say that I believe now what I

believed when I appeared in front of you on July 1st, and that is that Pershing was entitled to a temporary restraining order, and that I was honest when I answered your questions. I am very concerned, though, about what Judge Breyer had to say on the two issues that he flagged that he believes I should have brought to your attention. And obviously, I'm very

concerned about the order to show cause that was issued to me because it leads me to believe that this Court also thinks I should have brought those issues to your attention at the time I appeared for -- to obtain the TRO. So, with that, I -- if I could, I would like to give the Court a little bit of background on what led to my appearance on July 1st. The -- I was asked to get involved in I received a call from

this matter on Sunday, July 29th.

Mr. Boutin, who asked me to come down to the office in the afternoon because we had an emergency situation for an important client. They had just discovered that there was a trading scheme that had been implemented by the defendants, where they were placing trades on -- placing trades where the -- showing sales of securities to other parties for mortgage-backed securities that were at inflated prices and that turned out to be falsified because the parties on the other side didn't even

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know that these trades had been placed.

That allowed the value

of the account that -- the Crocker account, at -- that was cleared through Pershing to appear greater, have a greater value than it actually did because these weren't truthful sales. As a result, Pershing was loaning money to Crocker with the belief that they were actually engaged in profitable trades when, in fact, they were fictitious because they ruled out the closing dates. In the less than 48 hours between the time I got involved and the time that I appeared before you, we also learned that the -- that FINRA, the regulatory body, was issuing a cease and desist order to -- to Crocker and -- which we believed has turned out to be the case would ultimately end their -- their -- end them as a broker/dealer, which it has. They have now filed a Form BEW to withdraw as a broker/dealer with the SEC and with FINRA. So I -- we were putting together the papers. worked on all of the papers that were involved. I

I worked with

interviewing the witnesses to determine what had actually occurred here. And then we came down here to get before

Your Honor as quickly as we could to try and get a restraining order that would prevent the dissipation of these monies that had been -- that Crocker -- that had been given to Crocker and which we understand had been paid out to Mr. Green.

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So I felt like we met the test, and I still feel like we met the test for a restraining order under -- under the circumstances. We had a real good faith emergency. We had

some very bad conduct that had been uncovered.

And we were

working as quickly as we could on behalf of Pershing to try and get them through the Rules of Civil Procedure. The remedies that were potentially available to them to try and keep -- try and keep everything from falling apart, to freeze things in place so that we could do an accounting, we could figure out what occurred. And ultimately, they would be

in a position so that they could potentially recover and at least figure out where all of this money had gone. So, having said that -- obviously, I've read the transcript, and Judge Breyer criticizes me in the transcript for not bringing two issues to your attention. first is arbitration. One, is -- the

He believes that I should have -- have

told you that in response to your questions that this was a case that was ultimately headed for arbitration. I need to first say that I hadn't even thought that far down the road. member firm. I knew that this was a member firm, was a

I knew from my work as a securities arbitration

lawyer that this was a dispute that was ultimately arbitrable. But I did not ever consider, and I still don't believe, that the fact that this case could or would ultimately end up in arbitration impacted our ability to get -- or Pershing's

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ability to get a temporary restraining order from the Court. The reason for that is I'm familiar with Rule 13804, which says that the only way that you can get a restraining order is if you come to a court of -- come to the Court to get it. You can't get it in arbitration. You used to be able to; back in the late '90s, you used to be able to file and get injunctive relief either in the Court or through arbitration. And then they changed the rule So you come to the

because arbitration is not equipped for it.

Court to get what they -- what the rule refers to as temporary injunctive relief, which I have also understood, and which was defined under the previous rule as a temporary restraining order or a preliminary injunction. So, when -- when you asked me was there -- was there anything that the other side would raise that would call into question whether or not we were entitled to the TRO, it did not occur to me that arbitration was something that called into question our ability to get the TRO. The second issue that Judge Breyer said that I should have brought to your attention was the venue provision. I was aware of the venue provision in the contract, but the reason that I did not -- I did not mention the venue provision is because I did not believe that the venue provision had -would ever be enforced by the one party, which was Crocker, who was a signatory to the agreement that contained that provision.

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And I don't mean to suggest by my next comment that the ends justify the means, but they -- I was right, they don't. They have agreed now to go to -- forward in arbitration They never raised the venue issue as -- as

in San Francisco. an objection.

They are a Walnut Creek based company. based in New York.

Pershing's

The reason they came here is because this Nobody,

is where the defendant was, this is where Crocker was.

not my client, not Crocker, not Mr. Green, was anywhere near the Eastern District of Wisconsin. So -- and so I -- it

just -- I did not believe that that provision was ever going to be enforced by anybody else. Now, Judge Breyer asked Mr. Boutin some questions about whether or not we -- we sought a specific waiver of that provision, and we did not. And I -- I didn't think in terms of I assumed that they

seeking out a waiver to the provision. were going to waive it on their own.

I guess the last thing I would just say is that, you know, I take my obligations to this Court very seriously. have never received an order to show cause like this. I

I've

never been told that anybody's ever referred me to the State Bar. I will tell you, Your Honor, that since I received your order last Friday, it's been a horrible couple of days. This is difficult for me, because I'm used to speaking on

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behalf of other people as opposed to myself, but I -- I don't believe in my heart that I attempted to mislead you, and that was never what I would want to do. And no order is so

important to me that I would risk misleading the Court and misleading Your Honor. So with that, I -- I would ask that the Court not issue the order that's being contemplated, not refer me to the State Bar, and not order me to pay the fees to Mr. -- to Mr. Green for the dissolution proceedings. I think I came down here in good faith. obtained the order that I should have received. I think I

I --

respectfully, I have tremendous respect for Judge Breyer, I disagree with his order dissolving the TRO, I think we should still have an injunction in place, and we don't. Anyway, I'm happy to answer any questions the Court may have. THE COURT: Didn't your arbitration agreement say

that injunctive relief could be issued by the arbitrators? MR. YOUNG: I'd have to go back and look at the --

at the agreement as to whether it said it could be issued -THE COURT: MR. YOUNG: THE COURT: MR. YOUNG: complaint? Does anybody have that agreement here? I have it here, Your Honor. Let's take a look at the one -The one that was attached to the

The agreement?

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THE COURT:

This is in addition to the FINRA rules.

This is over and above the FINRA rules. What does it say about injunctive relief? MR. YOUNG: That -- that -- that it could be filed

in the Eastern District of Wisconsin. THE COURT: MR. YOUNG: What could be filed? An action for -- for injunctive relief. I'm sorry.

Am I misreading it, Your Honor? THE COURT:

Well, maybe that's what I'm remembering.

All right, so you didn't file there, you filed here. You didn't tell me this was subject to arbitration. And at the

time the -- you filed this action, you had not commenced any arbitration under FINRA. MR. YOUNG: THE COURT: MR. YOUNG: Your Honor, may I speak to that issue? Yep. I didn't. And I want to be perfectly

candid before I start down this road. I really didn't have arbitration in my mind at all. I mean, we had not thought through the -- the end game of this litigation. It was a rush to get here before Your Honor to try

and freeze everything before we took the next step. I am familiar with the FINRA rule, because I've been involved in other injunction actions, where there's been court and an arbitration component because there have been injunctions sought from the Court under 13804.

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My understanding of that rule has always been that you get your injunction and then you file with FINRA. So if

the issue had come up, and I don't want to -- I'm a little -- I don't want to mislead the Court into believing that somehow this was all in my mind because it really wasn't at the time I was answering your questions, but my understanding of the way it works is that you get your injunction, and FINRA only acts on it if there is an injunction in place from the Court. And the way it's always worked, in my experience, is you get the injunction, the TRO, and you get a preliminary injunction in court, and then it proceeds to FINRA for the permanent injunction. THE COURT: Is that what Judge Breyer said? I

thought he said you had to file first under FINRA and then go to court. MR. YOUNG: He -- Judge -- Judge Breyer read 13804

as requiring us to file in -- if it assists the Court at all, I have an extra copy of Rule 13804, if you're at all interested. But what Judge Breyer clearly believed we should have done is filed before -- before we appeared before Your Honor. THE COURT: All right, what more would you like to

MR. YOUNG:

Umm, I don't have anything other to add I just, you

other than what I've already stated, Your Honor.

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know, I take my job very seriously as an advocate and as an officer of the Court. And I endeavored to -- I tried in good

faith to fulfill both those responsibilities when I appeared before you and I answered your questions. THE COURT: anything? MR. SANDMANN: THE COURT: anything? MR. BOUTIN: No, Your Honor. I have nothing to say, Your Honor. Mr. Sandmann, would you like to say

Mr. Boutin, would you like to say

Thank you for your time. THE COURT: Mr. Sandmann, do you have -- are you

planning on making any motions for attorney fees beyond the grounds that were set forth in the order to show cause? MR. SANDMANN: Your Honor, I'm not aware of any I'm here as

other grounds, but I'm not the principal lawyer.

local counsel, and I can't speak for counsel in Florida. THE COURT: All right. I am prepared to tell the Court what

MR. SANDMANN:

the incurred fees are at this point, but that is the only information I have. THE COURT: What are they? They are slightly in excess of

MR. SANDMANN: $23,000, Your Honor. THE COURT:

Well, let me say, Mr. Young, that one

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thing I have learned in this job is the drastic harm that a TRO can do somebody. And it's a common trick for a lawyer to come

in here, tell me that they are entitled to a TRO, talk me into it, or talk a judge into it, and then deal some devastating blow to the other side, put them over a barrel and use that to negotiate. That's why in this country there is always two

sides to every story, I've learned that. And I hate ex parte because I don't get to hear the other side. And you came in here and told me, well, you had

given them notice to show up, but they blew it off, so I went ahead and heard you ex parte. And then I asked you this question: Is there any

information -- I explained to you that I don't like ex parte because there is always two sides; I'm asking you as an officer of the Court, is there any information that if the other side were here they would bring to my attention that would draw into question whether you're entitled to this TRO? Now, I didn't ask you whether or not you had a good answer to what they would say, I asked you whether or not -- to make their argument, give me their main arguments that they are going to make. Any lawyer in your position should have raised I promise you,

that arbitration clause and that venue clause.

I would not have granted your TRO if I had known about it. I was outraged whenever I learned after the fact that you had held that back. And your excuses for holding that

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back on the ground that you had some good answer to them, that's not good enough. It's for me to decide how good your

answers are, not for you to make -- take that upon yourself to decide for me. So as a result, you got the TRO and inflicted a drastic remedy upon this company and shut them down. They

weren't able to -- the assets were frozen as a result of what you did not tell me in response to a direct question. MR. YOUNG: THE COURT: Your Honor, may I -I have not -- I have had -- you're not I've had lawyers who

the first lawyer who has done this to me.

have told me -- what they tell me as far as they go is correct, it's what they omit that is so devastating. And then I find out later, the other side comes in after the damage is done and says, wait, Judge, that was an outrage, they should have told you this. And I would say, my

God, if I had known that, I never would have granted your relief. This is why I'm slowly coming around to the view, after a long time, that this is such an abused process, this TRO and ex parte, that you should never grant them, never, unless it's maybe the Government or somebody I could trust. But individual private lawyers half the time misrepresent by omission, not affirmatively, by omission, it's what they fail to tell me. So that's why I've learned the hard way to ask

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this question:

Tell me what the other side would say. For example, I had a

Now, I have lawyers that do.

case where they wanted to freeze an asset of the Argentine Government; I said what would the other side say if they were here. And he laid out the argument very honestly what they And he said here is what I would say in response.

would say.

I thought that probably the lawyer had made a good enough case, I went ahead and froze the airplane. number of months. That lawyer did it the right way, but you did it the wrong way. You just said, okay, I'm smarter than that judge. I'll avoid prison or fraud or fines And you We had that here for a

I got a good answer.

because I got a good answer if I'm ever called on it.

failed to tell me what I should have known, which was there was an arbitration clause and a venue clause. somewhere else. correctly. The venue was

I just don't think you treated the Court

I've said enough on this. I'm not going to fine you, and I'm not going to make

you pay their fees. Mr. Sandmann, if you want to bring a motion for fees based on the fact that this was a frivolous TRO to begin with, I'm going to let you do that, but I'm not going to do it on the basis, at least, per se, that I got misrepresented. MR. SANDMANN: Thank you. I'll so inform counsel, Your Honor.

Sahar McVickar, C.S. R. No. 12963, RPR Official Court Reporter, U.S. District Court (415) 626-6060

Case 3:08-cv-03141-WHA

Document 47-2

Filed 08/25/2008

Page 15 of 17

15

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

THE COURT:

All right.

Mr. Young, I'm sorry that I have to be the first judge to ever tell you this: You are still a young guy, you I hope you take this to heart. You got

got a long time in your career.

When Judge Breyer -- you can see how he felt about it. two judges now that feel that you have misled this U.S. District Court. You have a good reputation.

I'm not going to

sanction you, and I'm not going to send you to the State Bar. I hope you take this to heart. And in the future, when a judge

asks you as an officer of the Court, you -- you know, you wear two hats, one as an advocate, one as an officer of the Court. I mean, think about it from the point of view of the poor judge, who is about to issue a drastic order that is going to put somebody out of business for a while and how that judge is going to feel whenever he finds out or she finds out that you weren't completely candid. When you are trying to get that kind of relief, the adversary system breaks down. And you, as an officer of the

Court, have a duty of candor to assist the Court in those circumstances. You are no longer just a straight-out advocate.

If Mr. Sandmann had been here, it would have been much different. He could have brought any arguments he wanted So that's all I got to say on

to bring up, but he wasn't. that.

Sahar McVickar, C.S. R. No. 12963, RPR Official Court Reporter, U.S. District Court (415) 626-6060

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 16 of 17

16

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 lesson:

As far as I'm concerned, it's history now.

And next

time you appear in front of me I'll try not to remember that this ever happened. I am going to remember this, though, it's a general Once again, I have learned the hard way that ex parte I don't care if they

and TROs should almost never be granted.

say they are running off with the crown jewels, because I've learned from you and a few other lawyers that you will not -no matter what I ask you, you are going to say, oh, well, I don't have to disclose that. And so I'm just going to start If you

putting the burden on the lawyers in your position.

want a TRO, you go out and get the other side here and let me hear what they have to say first. So you know I'm upset about it. about it when I found out. I was very upset

But I'm taking what you have to say And I don't feel that -- I think

in your explanation to heart. enough has been said.

So the order to show cause is discharged without prejudice to a motion for attorney fees. And it would be based

upon the merits of your -- the fact that this TRO should never have been granted on the merits, okay? All right, thank you. MR. YOUNG: MR. BOUTIN: Thank you, Your Honor. Thank you, Your Honor.

(Proceedings adjourned at 1:58 p.m.)

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 17 of 17

CERTIFICATE OF REPORTER

I, Sahar McVickar, Official Court Reporter for the United States Court, Northern District of California, hereby certify that the foregoing proceedings were reported by me, a certified shorthand reporter, and were thereafter transcribed under my direction into typewriting; that the foregoing is a full, complete and true record of said proceedings as bound by me at the time of filing. The validity of the reporter's

certification of said transcript may be void upon disassembly and/or removal from the court file.

/s/ Sahar McVickar Sahar McVickar, RPR, CSR No. 12963 July 22, 2008

Case 3:08-cv-03141-WHA

Document 47-3

Filed 08/25/2008

Page 1 of 7

Volume 1 Pages 1 - 6 UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA BEFORE THE HONORABLE WILLIAM H. ALSUP ) ) Plaintiff, ) ) vs. ) ) CROCKER SECURITIES LLC and ) DOUGLAS GREEN, ) ) Defendants. ) ) ___________________________________) PERSHING LLC,

NO. C 08-3141-WHA

San Francisco, California Tuesday July 1, 2008 2:00 p.m.

TRANSCRIPT OF PROCEEDINGS

APPEARANCES: For Plaintiff: Keesal Young & Logan Four Embarcadero Center, Suite 1500 San Francisco, CA 94111 (415) 398-6000 (415) 981-0136 (fax) GORDON CRAIG YOUNG

BY:

Reported By:

Lydia Zinn, CSR #9223, RPR Official Reporter - U.S. District Court

Case 3:08-cv-03141-WHA

Document 47-3

Filed 08/25/2008

Page 2 of 7 2

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 yet? to?

THE COURT: MR. YOUNG: THE CLERK:

Is there somebody here on a T.R.O.? Yes, your Honor. Case number, for the record, 08-3141,

Pershing, L.L.C., versus Crocker Securities, L.L.C. Counsel, can you please state your appearance? MR. YOUNG: Yes, I can. Good afternoon, your Honor.

Gordon Young, appearing on behalf of plaintiff, Pershing. We are seeking a temporary restraining order. THE COURT: MR. YOUNG: Why is isn't the other side here? We gave them notice. I'm not sure if

they're going to come or not. represented or not. THE COURT: MR. YOUNG:

I'm not sure if they're

When did you give them notice? We told their attorney yesterday that we We -- when I left the

would be filing at some point today.

office approximately an hour, an hour and a half ago, someone was calling to them let them know that we were on our way down here. Obviously, we didn't know what time we would be

appearing in front of your Honor, or whether we would. THE COURT: How did they know what courtroom to go

MR. YOUNG: Honor's courtroom. THE COURT:

I believe we told them that it was your

How did you know you had me as the judge

Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 3 of 7 3

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

MR. YOUNG:

We filed our lawsuit yesterday.

And we

were assigned to you as a judge. this morning. THE COURT: courtroom? MR. YOUNG: your Honor. THE COURT: MR. YOUNG:

We filed our T.R.O. papers

And so you told them to come to my

One of my colleagues did, yes,

You're sure of that? I can't be sure. I just sent them an

e-mail when I found out that you were going to hear me today, asking if he had filed the electronic declaration stating what notice he had given; but those were his instructions. THE COURT: Well, now I've lost the T.R.O. that I --

I mean, the order that -- what did I do with it? All right. The last time I did a T.R.O., the lawyer I don't like ex parte, because I'm asking you as

concealed information from me.

there are always two sides to every story. an officer of the Court:

is there any information that, if the

other side were here, they would bring to my attention that would draw into question whether you're entitled to this T.R.O.? MR. YOUNG: I'm not aware of any, your Honor.

If there are questions that the Court asks as we go through -THE COURT: No. I don't have time to -- you

Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 4 of 7 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

submitted eight inches of material.

If you want to come back

in three days, I will give you an answer; but no, you're sitting here now, standing here now, wanting an answer on your T.R.O. That's the way you T.R.O. lawyers like to do it. And

then you put me in a position where I have to rule quickly. So if I'm going to do that ex parte, without the other side here, I want your promise -- promise -- that this is honest, and there's not anything left out of it that's going to embarrass you or me later. MR. YOUNG: THE COURT: MR. YOUNG: THE COURT: July 16th. There is nothing, your Honor. All right. Thank you. Let's pick a day. It's going to be I'm going to grant it, then.

That's going to be what day.

Dawn, we have a trial that day? THE CLERK: Correct, your Honor.

1:30 or 2:00 o'clock. THE COURT: THE CLERK: THE COURT: 1:30 p.m. Oh, okay. 1:30.

I just want to give them until -- give

the other side until July 11th to file any opposition. You've got to serve this document today. MR. YOUNG: THE COURT: Yes, your Honor. So they get until July 11th. And All right?

Then you have until July 14th to file any reply. Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 5 of 7 5

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

today is July 1. All right. I'm handing this order down to you, based I haven't

on -- I haven't read -- the let the record be clear. read that eight inches of material. master that. MR. YOUNG: THE COURT: I understand that.

It would take me days to

I'm relying solely on your representation

orally to me that this is in order. MR. YOUNG: THE COURT: MR. YOUNG: THE COURT: It is, your Honor. I hope it proves out. I'll be back on July 16th. That case we have over there (indicating)

-- that was devoted to a case where the T.R.O. was obtained on material omissions. And it wound up having an entire trial.

And the lawyers, I think, that made the omissions regret the day this they did so; but I'm sure you're being honest with me, and that it was not a problem. MR. YOUNG: THE COURT: MR. YOUNG: All right.

Thank you very much, your Honor. All right. And the only other issue was we were also

asking for expedited discovery. THE COURT: or not? MR. YOUNG: THE COURT: I believe it is. Well, you'd better look and see. It's I signed your order. Is that in there,

Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

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Filed 08/25/2008

Page 6 of 7 6

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

okay with me to take expedited -MR. YOUNG: THE COURT: MR. YOUNG: it is in here. THE COURT: MR. YOUNG: THE COURT: THE COURT: THE CLERK: Okay. Thank you very much. See you back here in a couple weeks. So long. I will scan that and make sure it's I spent a lot of sleepless nights. Make sure you got what you wanted there. Thank you. Just give me a moment. Yes,

docketed within the next hour. MR. YOUNG: THE CLERK: Should I wait here for it? You can get it on line. If you can

access the docket, it will be on there within the next hour. It will be scanned out there, so you can print out a copy. MR. YOUNG: Thank you very much.

(At 2:06 p.m. the proceeding adjourned.)

Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

Document 47-3

Filed 08/25/2008

Page 7 of 7

CERTIFICATE OF REPORTER I, LYDIA ZINN, Official Reporter for the United States Court, Northern District of California, hereby certify that the foregoing proceedings in C-08-03141-WHA, Pershing v. Crocker, were reported by me, a certified shorthand reporter, and were thereafter transcribed under my direction into typewriting; that the foregoing is a full, complete and true record of said proceedings as bound by me at the time of filing. The validity of the reporter's certification of said transcript may be void upon disassembly and/or removal from the court file.

________________________________________ /s/ Lydia Zinn, CSR 9223, RPR Friday, July 11, 2008

Lydia Zinn, CSR, RPR Official Reporter - U.S. District Court (415) 531-6587

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 1 of 12

1

2

3

GEORGE L. GUERR, CASB No. 158263 FOWLER WHITE BOGGS BANKER P.A. 501 E. Kennedy Blvd., Suite 1700 Tampa, Florida 33602
Tel: (813) 228-7411

4
5 6
7

Fax: (813) 229-8313 Email: george.guerra(ffowlerwhite.com

Attorney for Defendant DOUGLAS GREEN

8 9

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CIVIL DIVISION
PERSHING LLC,
) CASE NO. CV-08-3141 WHA
)

10
11

12 13
vs.

Plaintiff,

) DECLARTION OF ) GEORGE L. GUERR
) ) )

14
15 16
17

CROCKER SECURITIES LLC and DOUGLAS GREEN,
Defendants.

)
)
)

)

18 19
I, George L. Guerra, declare:
1. I am over the age of 18 and licensed to practice law in California and Florida.

20
21

2. Attached hereto is a true and correct copy ofthe invoices prepared by Fowler
White

22

in connection with the above captioned matter.
3. The invoices reflect work performed on behalf of

23
24

Mr. Green to dissolve the

TRO and to vacate the order allowing for expedited discovery obtained by the plaintiff

25 26 27 28
1
Declaration of

in this matter.

George Guerra Case 3:08-cv-3141 WHA

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 2 of 12

1
4. Mr. Green is responsible and liable for the subject fees as a result of

having

2

3

retained this firm and agreeing to pay same.
I declare under penalty of perjury under the laws of

4
5

the United States and the States of

California and Florida that the foregoing is true and correct.
Executed this 15th day of July, 2008 at Tampa, Florida.

6
7 8

9 10
11

G rge Guerra, Es CASB 158263 FOWLER WHITE BOGGS BANKER P.A. 501 East Kennedy Boulevard, Suite 1700 Tampa, FL 33602-5200
Telephone: 813-228-7411

12 13

Fax: 813-229-8313 Counsel for Defendant Douglas Green

14
15 16
17

18 19

20
21

22 23 24 25

26
27

28

2

Declaration of George Guerra Case 3:08-cv-3141 WHA

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 3 of 12

FOWLER WHITE BOGGS BANKER
ATTORNEYS AT LAW

(I

ESTABLISHED 1943
July 16, 2008 Invoice 680053 Tax # 59-1280172
Page 1

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

BWW/1082409
Re: 1082409

Pershing LLC v Crocker Securities and Douglas Green

Professional Services Through 07/15/08

07/01/08 Telephone conference with P. Boutin and G. Wyne re: injunctive action and request for all relevant papers, as well as request to appear at hearing and be heard (.4); Telephone conference with George Guerra to discuss handling of case (.4); Email to P. Boutin requesting papers and opportnity to be heard at TRO hearing (.3); Telephone conference with D. Green regarding conversation and call with G.

Wyne (.8); Review ofTRO and case correspondence (.6).
BWW

2.50 hrs.

07/01/08 Draft opposition to TRO; contact opposing counsel, counsel for Crocker Securities and Court's judicial assistant; Telephone conference with A. Fishman regarding fiing papers in opposition to TRO; review Order as entered; telephone conference with D. Green regarding Order and obligations thereunder; analysis of Order and development of theories upon which to seek dissolution.

GG 3.20 hrs.
ML 1.50 hrs.
BWW

07/01/08 Legal research re: injunction and freeze of assets.
07/02/08 Telephone conferences with George Guerra and Peter Boutin.

1.00 hrs.

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSßURG . FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700 . TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 4 of 12

FOWLER WH ITE

(I

BOGGS BANKER
ATTORNEYS AT LAW

ESTABLISHED 1943

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

July 16, 2008 Invoice 680053 Tax # 59-1280172
Page

2

BWW /1 082409

07/02/08 Receipt and review of initial deposition notices for D. Green and B.

Cooper (.4); Receipt and review of Supplemental Order (to Order Setting Initial Case Management conference) (.3); Exchange of email with P. Boutin regarding acceptance of service and confirming
receipt of documents (.3).

GG 1.00 hrs.

07/02/08 Receive and review Plaintiffs complaint and memorandum in support

ofTRO; direct, review and supplement legal research re: bond, standing for issuance of injunction, personal jurisdiction, FINRA Rules, and asset freeze; work with Ms. Heller on draft of
memorandum of points and authorities in support of motion.

ML 8.00 hrs.

07/02/08 Legal research and review of

Ninth Circuit law on bond requirement for preliminary injunction; draft arguments in connection with Motion to Dissolvel Compel; legal Memorandum in Support of research and review regarding California's long arm statute for personal jurisdiction argument; analysis of personal jurisdiction issues; review Local Civil Rules for formatting requirements.

DH 6.30 hrs.
JCR 0.50 hrs.
BWW

07/02/08 Review of account statements and other documentation related to investigation; Scan account statements to system (.5).

07/03/08 Review draft Motion for Dissolution and Motion for Protective Order and memoranda in support of motions.

0.50 hrs.

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700. TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 5 of 12

FOWLER WHITE BOGGS BANKER
ATTORNEYS AT LAW

(I

ESTABLISHED 1943

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

July 16, 2008 Invoice 680053 Tax # 59-1280172
Page 3

BWW/1082409
07/03/08 Telephone conference with B. Wiand (.2); tel. conf. with B. Falk (.3); various telephone conference with opposing counsel P. Boutin, C. Stern, and G. Wyne (1.4); telephone conference with D. Green regarding status (1.0); telephone conference with D. Green (.5); review papers, Court file and work on opposition papers including analyses of jurisdictional issues with Ms. Heller and Mr. Lamont (5.6).

GG 9.00 hrs.
ML 5.50 hrs.

07/03/08 Additional legal research re: protective order; asset freeze; drafted motion for dissolution of order and to compel arbitration; telephone call with D. Green re: case.
07/03/08 Continue draft and revision process for Motion to Dissolvel Stayl Compel and Memorandum in Support; legal research re grounds for protective order and good faith conferral under California law; draft and revise Motion for Emergency Protective Order and Memorandum of Law in support; draft and revise proposed orders for Motion to Dissolvel Stayl Compel and Motion for Emergency Protective Order;
telephone conference with Judge Alsup's and Judge Breyer's Judicial

hearing; final review and filing of Assistants re scheduling of Motions, Supporting Memoranda, and Proposed Orders.

DH 10.10 hrs.

07/06/08 Telephone conference with D. Green; draft and revise declarations in various motions; correspondence to Mr. Green; support of

GG 1.00 hrs.

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700 . TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 6 of 12

FOWLER WHITE BOGGS BANKER
ATTORNEYS AT LAW

(I

ESTABLISHED 1943

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

July 16, 2008 Invoice 680053 Tax # 59-1280172
Page

4

BWW/1082409

07/07/08 Initial telephone conference with P. Sandmann regarding hearing; revise declarations, fie and serve same (.8); draft, fie and serve request for judicial notice ofFINRA rules (.3); forward statement of financial condition to P. Boutin with correspondence (.3); tel. conf. with D. Green (.8). Receipt and review of amended deposition notices (.2); exchange correspondence with P. Sandman (.2); contact Court
regarding hearing time (.3);

GG

2.90 hrs.

07/07/08

Telephone conference with Doug Green (2x) (1.0); Review opposition papers and cases cited by Plaintiff (1.5); Telephone
conference with B. Cooper (.4); TeL. conf. with P. Sandmann in preparation for hearing on Motion for Dissolution (.3).; TeL. conf. hearing (.3). with P. Sandmann regadring outcome of

GG
07107/08

3.50 hrs.

Receive and review Plaintiffs response in opposition to motion to dissolve and to compel arbitration. (.50)
ML
0.50 hrs.
freeze on

07/08/08

. Telephone conference with D. Green regarding removal of

accounts (2x); telephone conference with Sandmann law firm regarding invoice; correspondence to D. Green regarding same;
GG
07/09/08 Telephone conference with P. Boutin regarding Plaintiffs request for stipulation to arbitrate and discussion of other pending issues; telephone conference with D. Green regarding discussions with Boutin.

0.80 hrs.

GG 0.50 hrs.

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700. TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 7 of 12

FOWLER WH ITE

(I

BOGGS BANKER
ATTORNEYS AT LAW

ESTABLISHED 1943

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

July 16, 2008 Invoice 680053 Tax # 59-1280172
Page 5

BWW 11 082409

07/10108 Electronic correspondence with P. Boutin regarding proposal and proposed order (drafted by P. Boutin). proffer, arbitration, review of

GG 0.40 hrs.

07111/08 Telephone conference with Al Fishman; conference with George

Guerra; receipt and review of Order to Show Cause, Hearing
transcripts, and Voluntary DismissaL.

BWW
07111/08 Receipt and review of

1.50 hrs.

Order to Show Cause; contact Court's Judicial Assistant and court reporter in order to obtain hearing transcripts;

Receipt and review of July 1st and July 7th transcripts (.5). Receipt Voluntary Dismissal Without Prejudice; Receipt and and review of review ofC. Stern letter to Bank of America regarding D. Green's accounts (.4); Preparation of correspondence to P. Boutin re: continuing freeze on Mr. Green's assets and need to remove freeze (.1); Telephone conference with D. Green (.4).
07114/08 Telephone conference with D. Green regarding inability to access

GG 1.40 hrs.

assets at Bank of America due to continuing freeze; telephone conference with Ban of America representative; telephone conference with P. Boutin regarding possible resolution of pending issues; Exchange correspondence with opposing counsel regarding same; Preparation of correspondence to P. Boutin re: telephone conference.

GG 2.30 hrs.

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700 . TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COSi: DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 8 of 12

FOWLER WH ITE

(I

BOGGS BANKER
ATTORNEYS AT LAW

ESTABLISHED 1943
July 16, 2008 Invoice 680053 Tax # 59-1280172
Page

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

6

BWWI1082409
Summary of Fees

Burton W Wiand
George Guerra

Hours 5.50 26.00
15.50 16.40 0.50

Michael Lamont
Dominique Heller Jeffrey C Rizzo

RatelHr 425.00 355.00 285.00 185.00 125.00

Dollars 2,337.50 9,230.00 4,417.50 3,034.00 62.50

TOTAL 63.90 19,081.50
Disbursements Through 07115/08

Fees for Professional Services Rendered ..........................................................

$

19,081.50

07/02/08

Photocopies 1 pages

0.15

07/02/08
07/02/08 07/02/08 07/03/08 07/03/08 07/03/08 07/03/08
07/03108

Long Distance Telephone
Long Distance Telephone

2.70 2.16
0.54
15.00

Long Distance Telephone
Photocopies 100 pages

Photocopies 2 pages

0.30
1.48
1.48

Long Distance Telephone Long Distance Telephone Long Distance Telephone Long Distance Telephone Long Distance Telephone
Long Distance Telephone
Long Distance Telep~LER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700 . TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

7.56
11.84

07/03/08
07/03/08

3.24
1.48

07/03/08
07/03/08

1.48

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 9 of 12

FOWLER WH ITE

(I

BOGGS BANKER
A TTORNEYS AT LAW

ESTABLISHED 1943
July 16, 2008 Invoice 680053 Tax # 59-1280172
Page 7

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

BWWl1082409
07/03/08 07/07/08 07/07/08 07/07/08

Long Distance Telephone
Facsimiles 6 pages

2.22

4.80
1.48

Long Distance Telephone Long Distance Telephone Long Distance Telephone
Facsimiles 3 pages

2.70
5.94

07/07/08 07/08/08
07/08/08 07/08/08

2.40
1.48

Long Distance Telephone Long Distance Telephone
VENDOR: Tesler, Sandmann & Fishman; INVOICE#: 1081514/070808; DATE: 7/8/2008 - Professioanal Services Rendered for 07/02/08 to
07107/08

2.97

07/08/08

4,240.00

07/09/08 07/09/08
07110108

Long Distance Telephone
Long Distance Telephone
Photocopies 3 pages

5.92
8.88

0.45

07111108

Photocopies 42 pages Long Distance Telephone
Long Distance Telephone

6.30
8.91

07/11108 07/11108

1.48
1.48

07/11/08
07/11/08 07/11/08

Long Distance Telephone Long Distance Telephone
Long Distance Telephone

3.70
1.48
1.48

07/11/08
07/14108 07/14108

Long Distance Telephone

Facsimiles 3 pages
Long Distance Telephone
FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700. TAMPA, FLORIDA 33602. P.O. Box 1438. TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313 . www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

2.40
8.14

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 10 of 12

FOWLER WH ITE

(I

BOGGS BANKER
ATTORNEYS AT LAW

ESTABLISHED 1943
July 16, 2008 Invoice 680053 Tax # 59-1280172
Page 8

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

BWWI1082409
07114/08

Long Distance Telephone

1.35

Total Disbursements............................................................................................................. $
Totals for This Invoice
Fees for Professional Services.. ............. ................ ......... ......................................... .............. Disbursements...................................................................................................................... .

4,365.37

NET CURRENT BILLING FOR THIS INVOICE .............................................................. TOTAL DUE FOR THIS INVOICE.. ....... .................................................................... ....... $

19,081.50 4,365.37 23,446.87 23,446.87

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700. TAMPA, FLORIDA 33602. P.O. Box 1438 · TAMPA, FL 33601 TELEPHONE (813) 228-7411' FAX (813) 229-8313. www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4

Filed 08/25/2008

Page 11 of 12

FOWLER WH ITE

(I

BOGGS BANKER
ATTORNEYS AT LAW

ESTABLISHED 1943

Douglas Green 2848 Northeast 32nd Street Lighthouse Point, Florida 33064

July 16, 2008 Invoice 680053 Tax # 59-1280172
BWW 11 082409

Re: 1082409 Pershing LLC v Crocker Securities and Douglas Green

* * *REMITTANCE ADVICE* * *
Payment is due upon receipt. Please remit this page with your payment.

Fees Due This Invoice
Disbursements Due This Invoice

19,081.50

4,365.37
23,446.87 23,446.87

NET CURRENT BILLING FOR THIS MATTER
TOTAL DUE FOR THIS MATTER ............................................................................................ $

FOWLER WHITE BOGGS BANKER P.A.
TAMPA' ST. PETERSBURG' FORT MYERS' TALLAHASSEE' ORLANDO' JACKSONVILLE' FORT LAUDERDALE
501 EAST KENNEDY BLVD., SUITE 1700. TAMPA, FLORIDA 33602. P.O. Box 1438. TAMPA, FL 33601 TELEPHONE (813) 228-7411. FAX (813) 229-8313 . www.fowlerwhite.com
EXPENSES ARE BILLED AT ACTUAL COST DETERMINED IN ACCORDANCE WITH ABA GUIDELINES.

Case 3:08-cv-03141-WHA

Document 47-4
LAW

Filed 08/25/2008

Page 12 of 12

OFFICES

TESLER, SANDMANN & FISHMAN
PLEASE REPLY TO:
-l MILL V ALLEY OFFICE

PETER B. SANDMANN

PAULINE H. TESLER
CERTIFIED FAMILY LAW SPECIALIST STATE BAR OFCALIFORNlA

SAN FRANCISCO OFFICE

ALVIN L. FISHMAN

July 8, 2008

Douglas Green clo George L. Guerra, Esq. Fowler White Boggs Banker P.A. 501 East Kennedy Blvd. Tampa, Florida 33602
FOR SERVICE RENDERED IN CONNECTION WITH PERSHING LLC v. CROCKER SECURITIES LLC and DOUGLAS GREEN, U.S. DISTRICT COURT, N.D. CALIF. No. CV 08-3141 WHA
July 2,2008 - July 7,2008

and, Esq., and George Guerra, Esq. regarding local counsel representation, offce conferences regarding TRO and asset freeze entered by U.S. District Court, assistance and advice in preparation of motions to stay and compel arbitration and of motions for protective order and to dissolve TRO and OSC, review of motions, exhibits and memoranda filed by plaintiff Pershing LLC, review of motions, exhibits and memoranda filed by George Guerra, Esq., telephone conferences with George Guerra, Esq. re same, preparation for oral argument, attendance at federal court for oral argument, confer with opposing counseL.
Telephone calls with Burton Wi

10.6 hours (f $400.00 = $4,240.00

Please remit. Thank you.
Peter B. Sandmann

SAN FRANCISCO OFFICE: 235 PINE STREET, SUITE 1300, SAN FRANCISCO, CA 94104 TELEPHONE: (415) 781-5600 FACSIMILE: (415) 781-4224 ***************

MILL VALLEY OFFICE: 163 MILLER AVENUE, SUITE 4, MILL VALLEY, CA 94941 TELEPHONE: (415) 383-5600 FACSIMILE: (415) 383-5675