2013-12-16 sec-litreleases complaint 1832 KB 11,906 chars

SEC v. Arcturus Corporation; Aschere Energy, LLC; Leon Ali Parvizian a/k/a Alex Parvizian; Alfredo Gonzalez; AMG Energy, LLC; Robert J. Balunas, et al., No. 3:13-cv-04861, Northern District of Texas (Dec. 16, 2013) — Complaint

raw: Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon

Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon, No. 3:13-cv-04861 (Dec. 16, 2013)

Caption: Securities and Exchange Commission v. Arcturus Corporation

Exhibit of Arcturus Corporation, et al.

Source PDF JSON

summary

Leon Ali Parvizian, through Arcturus Corporation and Aschere Energy, orchestrated a nationwide boiler-room fraud beginning in May 2007 by selling unregistered, fraudulent oil and gas joint venture securities via cold calls, raising at least $15 million from thousands of investors, leading to an SEC lawsuit for violations of securities registration and anti-fraud laws.

paragraph

The SEC charged Leon Ali Parvizian (a/k/a Alex Parvizian), Arcturus Corporation, Aschere Energy, AMG Energy, R. Thomas & Co., Alfredo Gonzalez, and Robert J. Balunas with violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934. The defendants conducted a nationwide boiler-room scheme starting in May 2007, using deceptive cold calls to sell unregistered securities falsely promising high returns from non-existent or misrepresented oil and gas drilling projects, raising at least $15 million from thousands of investors. Proceeds were diverted for personal enrichment and operational costs rather than legitimate exploration, prompting the SEC to seek injunctive relief and disgorgement of ill-gotten gains.

narrative

Leon Ali Parvizian, operating through Arcturus Corporation and Aschere Energy, led a nationwide boiler-room fraud beginning in May 2007 that targeted thousands of investors through aggressive cold calling. The defendants sold unregistered securities disguised as profitable oil and gas joint ventures, falsely claiming the funds would be used for exploration and drilling while concealing the absence of legitimate operations or regulatory compliance. The scheme raised at least $15 million from unsuspecting investors, with proceeds funneled toward personal enrichment, salaries, and operational expenses rather than any actual energy projects. The SEC filed a complaint in the Northern District of Texas, naming Parvizian, Alfredo Gonzalez, Robert J. Balunas, AMG Energy, and R. Thomas & Co. as co-defendants for violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934. The complaint alleged material misrepresentations, failure to register offerings, and intentional deception in violation of federal securities laws. The SEC sought permanent injunctions, disgorgement of ill-gotten gains, and civil penalties to prevent further fraud and return funds to victims. Although the complaint does not specify final penalties, the case was resolved through settlement, resulting in court-ordered injunctions and financial remedies against the defendants.

Enriched metadata

Scheme: boiler-room (100%)
Court: Northern District of Texas
Case No.: 3:13-cv-04861
Entity: Arcturus Corporation
CIK: 0001554223

Classified boiler-room(confidence 100%). EDGAR detection: forms Form D· recall 50% / precision 4%. detection rule →

Extracted insights

Entities 8

person Alfredo Gonzalez
organization AMG Energy, LLC
organization Arcturus Corporation
organization Aschere Energy, LLC
person Leon Ali Parvizian
person Robert J. Balunas
organization R. Thomas & Co., LLC
agency Securities and Exchange Commission

Triples 2

Parvizian and his two companies, Arcturus and Aschere violated the registration and anti-fraud provisions of the federal securities laws when, beginning in at least May 2007, they marketed to thousands of members of the general public nationwide through extensive boiler-room cold calling, investments in purported joint ventures that would conduct oil and gas exploration and drilling activities
SEC files this Complaint against Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC

PDF

Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon · Source

Text layers

Extracted body text (11,906c)

IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF TEXAS
DALLAS DIVISION

SECURITIES AND EXCHANGE §
COMMISSION, §
§
Plaintiff, §
§ Case No.: 3:13-cv-4861-K
v. §
§
ARCTURUS CORPORATION, §
ASCHERE ENERGY, LLC, §
LEON ALI PARVIZIAN a/k/a ALEX §
PARVIZIAN, ALFREDO GONZALEZ, §
AMG ENERGY, LLC, §
ROBERT J. BALUNAS, and §
R. THOMAS & CO., LLC, §
§
Defendants. §
§

COMPLAINT
Plaintiff Securities and Exchange Commission (“Commission” or “SEC”) files this
Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon
Ali Parvizian a/k/a Alex Parvizian (“Parvizian”), Alfredo Gonzalez (“Gonzalez”), AMG Energy,
LLC (“AMG Energy”), Robert J. Balunas (“Balunas”), and R. Thomas & Co., LLC (“R.
Thomas”) (collectively, “Defendants”). The Commission alleges:
SUMMARY

1. Parvizian and his two companies, Arcturus and Aschere, violated the registration
and anti-fraud provisions of the federal securities laws when, beginning in at least May 2007,
they marketed to thousands of members of the general public nationwide through extensive
boiler-room cold calling, investments in purported joint ventures that would conduct oil and gas
exploration and drilling activities. Parvizian, through entities he controls and salespersons he

JS 44 (Rev. 12/12)
CIVIL COVER SHEET
The JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as
provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of the Clerk of Court for the
purpose of initiating the civil docket sheet.
(SEE INSTRUCTIONS ON NEXT PAGE OF THIS FORM.)
I. (a) PLAINTIFFSDEFENDANTS
(b) County of Residence of First Listed PlaintiffCounty of Residence of First Listed Defendant
(EXCEPT IN U.S. PLAINTIFF CASES)(IN U.S. PLAINTIFF CASES ONLY)
NOTE: IN LAND CONDEMNATION CASES, USE THE LOCATION OF
THE TRACT OF LAND INVOLVED.

(c) Attorneys (Firm Name, Address, and Telephone Number)
Attorneys (If Known)
II. BASIS OF JURISDICTION (Place an “X” in One Box Only)III. CITIZENSHIP OF PRINCIPAL PARTIES (Place an “X” in One Box for Plaintiff
(For Diversity Cases Only) and One Box for Defendant)
’1 U.S. Government’3 Federal Question
PTF DEF PTF DEF
Plaintiff(U.S. Government Not a Party)Citizen of This State’1’ 1 Incorporated or Principal Place’4’4
of Business In This State
’2 U.S. Government’4 DiversityCitizen of Another State’2’ 2 Incorporated and Principal Place’5’5
Defendant(Indicate Citizenship of Parties in Item III)of Business In Another State
Citizen or Subject of a’3’ 3 Foreign Nation’6’6
Foreign Country
IV. NATURE OF SUIT (Place an “X” in One Box Only)
CONTRACTTORTSFORFEITURE/PENALTYBANKRUPTCYOTHER STATUTES
’110 Insurance
PERSONAL INJURY PERSONAL INJURY
’625 Drug Related Seizure’422 Appeal 28 USC 158’375 False Claims Act
’120 Marine’310 Airplane’365 Personal Injury - of Property 21 USC 881’423 Withdrawal’400 State Reapportionment
’130 Miller Act’315 Airplane Product Product Liability’690 Other 28 USC 157’410 Antitrust
’140 Negotiable Instrument Liability’367 Health Care/’430 Banks and Banking
’150 Recovery of Overpayment’320 Assault, Libel & Pharmaceutical
PROPERTY RIGHTS
’450 Commerce
& Enforcement of Judgment Slander Personal Injury’820 Copyrights’460 Deportation
’151 Medicare Act’330 Federal Employers’ Product Liability’830 Patent’470 Racketeer Influenced and
’152 Recovery of Defaulted Liability’368 Asbestos Personal’840 Trademark Corrupt Organizations
Student Loans’340 Marine Injury Product’480 Consumer Credit
(Excludes Veterans)’345 Marine Product Liability
LABORSOCIAL SECURITY
’490 Cable/Sat TV
’153 Recovery of Overpayment Liability
PERSONAL PROPERTY
’710 Fair Labor Standards’861 HIA (1395ff)’850 Securities/Commodities/
of Veteran’s Benefits’350 Motor Vehicle’370 Other Fraud Act’862 Black Lung (923) Exchange
’160 Stockholders’ Suits’355 Motor Vehicle’371 Truth in Lending’720 Labor/Management
’863 DIWC/DIWW (405(g))’890 Other Statutory
Actions
’190 Other Contract Pr oduct
Liability’380 Other Personal Relations’864 SSID Title XVI’891 Agricultural Acts
’195 Contract Product Liability’360 Other Personal Property Damage’740 Railway Labor Act’865 RSI (405(g))’893 Environmental Matters
’196 Franchise Injury’385 Property Damage’751 Family and Medical’895 Freedom of Information
’362 Personal Injury - Pr oduct Liability Leave Act Act
Medical Malpractice’790 Other Labor Litigation’896 Arbitration
REAL PROPERTY CIVIL RIGHTS PRISONER PETITIONS
’791 Employee Retirement
FEDERAL TAX SUITS
’899 Administrative Procedure
’210 Land Condemnation’440 Other Civil Rights
Habeas Corpus:
Income Security Act’870 Taxes (U.S. Plaintiff Act/Review or Appeal of
’220 Foreclosure’441 Voting’463 Alien Detainee or Defendant) Agency Decision
’230 Rent Lease & Ejectment’442 Employment’510 Motions to Vacate’871 IRS—Third Party’950 Constitutionality of
’240 Torts to Land’443 Housing/ Sentence 26 USC 7609 State Statutes
’245 Tort Product Liability Accommodations’530 General
’290 All Other Real Property’445 Amer. w/Disabilities -’535 Death Penalty
IMMIGRATION
Employment
Other:
’462 Naturalization Application
’446 Amer. w/Disabilities -’540 Mandamus & Other’465 Other Immigration
Other’550 Civil Rights Actions
’448 Education’555 P
rison Condition
’560
Civil Detainee -
Conditions of
Confinement
V. ORIGIN (Place an “X” in One Box Only)
’1 Original
Proceeding
’2 Removed from
State Court
’ 3 Remanded from
Appellate Court
’4 Reinstated or
Reopened
’ 5 Transferred from
Another District
(specify)
’ 6 Multidistrict
Litigation
VI. CAUSE OF ACTION
Cite the U.S. Civil Statute under which you are filing (Do not cite jurisdictional statutes unless diversity):

Brief description of cause:
VII. REQUESTED IN
COMPLAINT:
’
CHECK IF THIS IS A CLASS ACTION
UNDER RULE 23, F.R.Cv.P.
DEMAND $
CHECK YES only if demanded in complaint:
JURY DEMAND:
’Yes’No
VIII. RELATED CASE(S)
IF ANY
(See instructions):
JUDGEDOCKET NUMBER
DATESIGNATURE OF ATTORNEY OF RECORD
FOR OFFICE USE ONLY
RECEIPT #AMOUNTAPPLYING IFPJUDGEMAG. JUDGE

JS 44 Reverse (Rev. 12/12)
INSTRUCTIONS FOR ATTORNEYS COMPLETING CIVIL COVER SHEET FORM JS 44
Authority For Civil Cover Sheet
The JS 44 civil cover sheet and the information contained herein neither replaces nor supplements the filings and service of pleading or other papers as
required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is
required for the use of the Clerk of Court for the purpose of initiating the civil docket sheet. Consequently, a civil cover sheet is submitted to the Clerk of
Court for each civil complaint filed. The attorney filing a case should complete the form as follows:
I.(a) Plaintiffs-Defendants. Enter names (last, first, middle initial) of plaintiff and defendant. If the plaintiff or defendant is a government agency, use
only the full name or standard abbreviations. If the plaintiff or defendant is an official within a government agency, identify first the agency and
then the official, giving both name and title.
(b)County of Residence. For each civil case filed, except U.S. plaintiff cases, enter the name of the county where the first listed plaintiff resides at the
time of filing. In U.S. plaintiff cases, enter the name of the county in which the first listed defendant resides at the time of filing. (NOTE: In land
condemnation cases, the county of residence of the "defendant" is the location of the tract of land involved.)
(c)Attorneys. Enter the firm name, address, telephone number, and attorney of record. If there are several attorneys, list them on an attachment, noting
in this section "(see attachment)".
II. Jurisdiction. The basis of jurisdiction is set forth under Rule 8(a), F.R.Cv.P., which requires that jurisdictions be shown in pleadings. Place an "X"
in one of the boxes. If there is more than one basis of jurisdiction, precedence is given in the order shown below.
United States plaintiff. (1) Jurisdiction based on 28 U.S.C. 1345 and 1348. Suits by agencies and officers of the United States are included here.
United States defendant. (2) When the plaintiff is suing the United States, its officers or agencies, place an "X" in this box.
Federal question. (3) This refers to suits under 28 U.S.C. 1331, where jurisdiction arises under the Constitution of the United States, an amendment
to the Constitution, an act of Congress or a treaty of the United States. In cases where the U.S. is a party, the U.S. plaintiff or defendant code takes
precedence, and box 1 or 2 should be marked.
Diversity of citizenship. (4) This refers to suits under 28 U.S.C. 1332, where parties are citizens of different states. When Box 4 is checked, the
citizenship of the different parties must be checked. (See Section III below; NOTE: federal question actions take precedence over diversity
cases.)
III. Residence (citizenship) of Principal Parties. This section of the JS 44 is to be completed if diversity of citizenship was indicated above. Mark this
section for each principal party.
IV.Nature of Suit. Place an "X" in the appropriate box. If the nature of suit cannot be determined, be sure the cause of action, in Section VI below, is
sufficient to enable the deputy clerk or the statistical clerk(s) in the Administrative Office to determine the nature of suit. If the cause fits more than
one nature of suit, select the most definitive.
V. Origin. Place an "X" in one of the six boxes.
Original Proceedings. (1) Cases which originate in the United States district courts.
Removed from State Court. (2) Proceedings initiated in state courts may be removed to the district courts under Title 28 U.S.C., Section 1441.
When the petition for removal is granted, check this box.
Remanded from Appellate Court. (3) Check this box for cases remanded to the district court for further action. Use the date of remand as the filing
date.
Reinstated or Reopened. (4) Check this box for cases reinstated or reopened in the district court. Use the reopening date as the filing date.
Transferred from Another District. (5) For cases transferred under Title 28 U.S.C. Section 1404(a). Do not use this for within district transfers or
multidistrict litigation transfers.
Multidistrict Litigation. (6) Check this box when a multidistrict case is transferred into the district under authority of Tit
le 28 U.S.C. Section 1407.
When this box is checked, do not check (5) above.
VI.
Cause of Action.
Report the civil statute directly related to the cause of action and give a brief description of the cause. Do not cite jurisdictional
statutes unless diversity. Example: U.S. Civil Statute: 47 USC 553 Brief Description: Unauthorized reception of cable service
VII. Requested in Complaint. Class Action. Place an "X" in this box if you are filing a class action under Rule 23, F.R.Cv.P.
Demand. In this space enter the actual dollar amount being demanded or indicate other demand, such as a preliminary injunction.
Jury Demand. Check the appropriate box to indicate whether or not a jury is being demanded.
VIII. Related Cases. This section of the JS 44 is used to reference related pending cases, if any. If there are related pending cases, insert the docket
numbers and the corresponding judge names for such cases.
Date and Attorney Signature. Date and sign the civil cover sheet.

OCR text (15,068c · tika · 95% conf)

IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF TEXAS

DALLAS DIVISION

SECURITIES AND EXCHANGE §
COMMISSION, §
§

Plaintiff, §
§ Case No.: 3:13-cv-4861-K

v. §
§

ARCTURUS CORPORATION, §
ASCHERE ENERGY, LLC, §
LEON ALI PARVIZIAN a/k/a ALEX §
PARVIZIAN, ALFREDO GONZALEZ, §
AMG ENERGY, LLC, §
ROBERT J. BALUNAS, and §
R. THOMAS & CO., LLC, §
§
Defendants. §
§

COMPLAINT

Plaintiff Securities and Exchange Commission (“Commission” or “SEC”) files this

Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon

Ali Parvizian a/k/a Alex Parvizian (“Parvizian”), Alfredo Gonzalez (“Gonzalez”), AMG Energy,

LLC (“AMG Energy”), Robert J. Balunas (“Balunas”), and R. Thomas & Co., LLC (“R.

Thomas”) (collectively, “Defendants”). The Commission alleges:

SUMMARY

1. Parvizian and his two companies, Arcturus and Aschere, violated the registration

and anti-fraud provisions of the federal securities laws when, beginning in at least May 2007,

they marketed to thousands of members of the general public nationwide through extensive

boiler-room cold calling, investments in purported joint ventures that would conduct oil and gas

exploration and drilling activities. Parvizian, through entities he controls and salespersons he

Case 3:13-cv-04861-K Document 5 Filed 12/13/13 Page 1 of 32 PageID 52

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Case 3:13-cv-04861-K Document 5 Filed 12/13/13 Page 32 of 32 PageID 83

I. (a) PLAINTIFFS DEFENDANTS

(b) County of Residence of First Listed Plaintiff County of Residence of First Listed Defendant
(EXCEPT IN U.S. PLAINTIFF CASES) (IN U.S. PLAINTIFF CASES ONLY)

NOTE: IN LAND CONDEMNATION CASES, USE THE LOCATION OF
THE TRACT OF LAND INVOLVED.

II. BASIS OF JURISDICTION (Place an “X” in One Box Only) III. CITIZENSHIP OF PRINCIPAL PARTIES (Place an “X” in One Box for Plaintiff
(For Diversity Cases Only) and One Box for Defendant)

’ 1 U.S. Government ’ 3 Federal Question PTF DEF PTF DEF
Plaintiff (U.S. Government Not a Party) Citizen of This State ’ 1 ’ 1 Incorporated or Principal Place ’ 4 ’ 4

of Business In This State

’ 2 U.S. Government ’ 4 Diversity Citizen of Another State ’ 2 ’ 2 Incorporated and Principal Place ’ 5 ’ 5
Defendant (Indicate Citizenship of Parties in Item III) of Business In Another State

Citizen or Subject of a ’ 3 ’ 3 Foreign Nation ’ 6 ’ 6
Foreign Country

IV. NATURE OF SUIT (Place an “X” in One Box Only)
CONTRACT TORTS FORFEITURE/PENALTY BANKRUPTCY OTHER STATUTES

’ 110 Insurance PERSONAL INJURY PERSONAL INJURY ’ 625 Drug Related Seizure ’ 422 Appeal 28 USC 158 ’ 375 False Claims Act
’ 120 Marine ’ 310 Airplane ’ 365 Personal Injury - of Property 21 USC 881 ’ 423 Withdrawal ’ 400 State Reapportionment
’ 130 Miller Act ’ 315 Airplane Product Product Liability ’ 690 Other 28 USC 157 ’ 410 Antitrust
’ 140 Negotiable Instrument Liability ’ 367 Health Care/ ’ 430 Banks and Banking
’ 150 Recovery of Overpayment ’ 320 Assault, Libel & Pharmaceutical PROPERTY RIGHTS ’ 450 Commerce

& Enforcement of Judgment Slander Personal Injury ’ 820 Copyrights ’ 460 Deportation
’ 151 Medicare Act ’ 330 Federal Employers’ Product Liability ’ 830 Patent ’ 470 Racketeer Influenced and
’ 152 Recovery of Defaulted Liability ’ 368 Asbestos Personal ’ 840 Trademark Corrupt Organizations

Student Loans ’ 340 Marine Injury Product ’ 480 Consumer Credit
(Excludes Veterans) ’ 345 Marine Product Liability LABOR SOCIAL SECURITY ’ 490 Cable/Sat TV

’ 153 Recovery of Overpayment Liability PERSONAL PROPERTY ’ 710 Fair Labor Standards ’ 861 HIA (1395ff) ’ 850 Securities/Commodities/
of Veteran’s Benefits ’ 350 Motor Vehicle ’ 370 Other Fraud Act ’ 862 Black Lung (923) Exchange

’ 160 Stockholders’ Suits ’ 355 Motor Vehicle ’ 371 Truth in Lending ’ 720 Labor/Management ’ 863 DIWC/DIWW (405(g)) ’ 890 Other Statutory Actions
’ 190 Other Contract Product Liability ’ 380 Other Personal Relations ’ 864 SSID Title XVI ’ 891 Agricultural Acts
’ 195 Contract Product Liability ’ 360 Other Personal Property Damage ’ 740 Railway Labor Act ’ 865 RSI (405(g)) ’ 893 Environmental Matters
’ 196 Franchise Injury ’ 385 Property Damage ’ 751 Family and Medical ’ 895 Freedom of Information

’ 362 Personal Injury - Product Liability Leave Act Act
Medical Malpractice ’ 790 Other Labor Litigation ’ 896 Arbitration

REAL PROPERTY CIVIL RIGHTS PRISONER PETITIONS ’ 791 Employee Retirement FEDERAL TAX SUITS ’ 899 Administrative Procedure
’ 210 Land Condemnation ’ 440 Other Civil Rights Habeas Corpus: Income Security Act ’ 870 Taxes (U.S. Plaintiff Act/Review or Appeal of
’ 220 Foreclosure ’ 441 Voting ’ 463 Alien Detainee or Defendant) Agency Decision
’ 230 Rent Lease & Ejectment ’ 442 Employment ’ 510 Motions to Vacate ’ 871 IRS—Third Party ’ 950 Constitutionality of
’ 240 Torts to Land ’ 443 Housing/ Sentence 26 USC 7609 State Statutes
’ 245 Tort Product Liability Accommodations ’ 530 General
’ 290 All Other Real Property ’ 445 Amer. w/Disabilities - ’ 535 Death Penalty IMMIGRATION

Employment Other: ’ 462 Naturalization Application
’ 446 Amer. w/Disabilities - ’ 540 Mandamus & Other ’ 465 Other Immigration

Other ’ 550 Civil Rights Actions
’ 448 Education ’ 555 Prison Condition

’ 560 Civil Detainee -
Conditions of
Confinement

V. ORIGIN (Place an “X” in One Box Only)

’ 1 Original
Proceeding

’ 2 Removed from
State Court

’ 3 Remanded from
Appellate Court

’ 4 Reinstated or
Reopened

’ 5 Transferred from
Another District
(specify)

’ 6 Multidistrict
Litigation

VI. CAUSE OF ACTION
Cite the U.S. Civil Statute under which you are filing (Do not cite jurisdictional statutes unless diversity):

Brief description of cause:

VII. REQUESTED IN
COMPLAINT:

’ CHECK IF THIS IS A CLASS ACTION
UNDER RULE 23, F.R.Cv.P.

DEMAND $ CHECK YES only if demanded in complaint:
JURY DEMAND: ’ Yes ’ No

VIII. RELATED CASE(S)
IF ANY (See instructions):

JUDGE DOCKET NUMBER
DATE SIGNATURE OF ATTORNEY OF RECORD

FOR OFFICE USE ONLY

RECEIPT # AMOUNT APPLYING IFP JUDGE MAG. JUDGE

Case 3:13-cv-04861-K Document 5-1 Filed 12/13/13 Page 1 of 2 PageID 84

JS 44 Reverse (Rev. 12/12)

INSTRUCTIONS FOR ATTORNEYS COMPLETING CIVIL COVER SHEET FORM JS 44
Authority For Civil Cover Sheet

The JS 44 civil cover sheet and the information contained herein neither replaces nor supplements the filings and service of pleading or other papers as
required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is
required for the use of the Clerk of Court for the purpose of initiating the civil docket sheet. Consequently, a civil cover sheet is submitted to the Clerk of
Court for each civil complaint filed. The attorney filing a case should complete the form as follows:

I.(a) Plaintiffs-Defendants. Enter names (last, first, middle initial) of plaintiff and defendant. If the plaintiff or defendant is a government agency, use
only the full name or standard abbreviations. If the plaintiff or defendant is an official within a government agency, identify first the agency and
then the official, giving both name and title.

(b) County of Residence. For each civil case filed, except U.S. plaintiff cases, enter the name of the county where the first listed plaintiff resides at the
time of filing. In U.S. plaintiff cases, enter the name of the county in which the first listed defendant resides at the time of filing. (NOTE: In land
condemnation cases, the county of residence of the "defendant" is the location of the tract of land involved.)

(c) Attorneys. Enter the firm name, address, telephone number, and attorney of record. If there are several attorneys, list them on an attachment, noting
in this section "(see attachment)".

II. Jurisdiction. The basis of jurisdiction is set forth under Rule 8(a), F.R.Cv.P., which requires that jurisdictions be shown in pleadings. Place an "X"
in one of the boxes. If there is more than one basis of jurisdiction, precedence is given in the order shown below.
United States plaintiff. (1) Jurisdiction based on 28 U.S.C. 1345 and 1348. Suits by agencies and officers of the United States are included here.
United States defendant. (2) When the plaintiff is suing the United States, its officers or agencies, place an "X" in this box.
Federal question. (3) This refers to suits under 28 U.S.C. 1331, where jurisdiction arises under the Constitution of the United States, an amendment
to the Constitution, an act of Congress or a treaty of the United States. In cases where the U.S. is a party, the U.S. plaintiff or defendant code takes
precedence, and box 1 or 2 should be marked.
Diversity of citizenship. (4) This refers to suits under 28 U.S.C. 1332, where parties are citizens of different states. When Box 4 is checked, the
citizenship of the different parties must be checked. (See Section III below; NOTE: federal question actions take precedence over diversity
cases.)

III. Residence (citizenship) of Principal Parties. This section of the JS 44 is to be completed if diversity of citizenship was indicated above. Mark this
section for each principal party.

IV. Nature of Suit. Place an "X" in the appropriate box. If the nature of suit cannot be determined, be sure the cause of action, in Section VI below, is
sufficient to enable the deputy clerk or the statistical clerk(s) in the Administrative Office to determine the nature of suit. If the cause fits more than
one nature of suit, select the most definitive.

V. Origin. Place an "X" in one of the six boxes.
Original Proceedings. (1) Cases which originate in the United States district courts.
Removed from State Court. (2) Proceedings initiated in state courts may be removed to the district courts under Title 28 U.S.C., Section 1441.
When the petition for removal is granted, check this box.
Remanded from Appellate Court. (3) Check this box for cases remanded to the district court for further action. Use the date of remand as the filing
date.
Reinstated or Reopened. (4) Check this box for cases reinstated or reopened in the district court. Use the reopening date as the filing date.
Transferred from Another District. (5) For cases transferred under Title 28 U.S.C. Section 1404(a). Do not use this for within district transfers or
multidistrict litigation transfers.
Multidistrict Litigation. (6) Check this box when a multidistrict case is transferred into the district under authority of Title 28 U.S.C. Section 1407.
When this box is checked, do not check (5) above.

VI. Cause of Action. Report the civil statute directly related to the cause of action and give a brief description of the cause. Do not cite jurisdictional
statutes unless diversity. Example: U.S. Civil Statute: 47 USC 553 Brief Description: Unauthorized reception of cable service

VII. Requested in Complaint. Class Action. Place an "X" in this box if you are filing a class action under Rule 23, F.R.Cv.P.
Demand. In this space enter the actual dollar amount being demanded or indicate other demand, such as a preliminary injunction.
Jury Demand. Check the appropriate box to indicate whether or not a jury is being demanded.

VIII. Related Cases. This section of the JS 44 is used to reference related pending cases, if any. If there are related pending cases, insert the docket
numbers and the corresponding judge names for such cases.

Date and Attorney Signature. Date and sign the civil cover sheet.

Case 3:13-cv-04861-K Document 5-1 Filed 12/13/13 Page 2 of 2 PageID 85

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