Mark Rice, IMA Advisors, c/o 2618 Fairway Drive, Sugarland, Texas, 77478, a
person with knowledge of the facts of this case .
===============================================
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
LITIGATION RELEASE NO. 17414 / March 14, 2002
SECURITIES AND EXCHANGE COMMISSION v. MARK E. RICE D/B/A PRIMEX CAPITAL, Civ. No. H:02CV00636 (USDC S.D. Texas)
The Commission announced today that on March 5, 2002, U.S. District Judge Vanessa Gilmore entered an injunction by consent against Mark E. Rice d/b/a Primex Capital ("Rice"). The Commission's complaint alleges that between September 1999 and July 2000, Rice carried out "pump and dump" schemes to manipulate the stock of four microcap companies, including defendant Status Wines of Tuscany f/k/a Portalzone.com, Inc. ("Portalzone"). The complaint further alleges that Rice issued unsolicited fraudulent "spam" e-mail messages, press releases and other promotional materials about the four companies and engaged in manipulative trading in the stock of two of those companies. According to the Commission's complaint, the false statements concerned, among other things, Portalzone's product (purportedly an advanced Internet search engine), its revenue sources and business relationships with third parties, as well as Rice's stock-picking track record and trading intentions. Moreover, the Commission's complaint alleges that the schemes enabled Rice, and his alter ego entities, relief defendants Primex (USA), Inc. ("Primex") and Applegate Sentry, S.A. ("Applegate"), to sell restricted stock of three of the four companies into the resulting inflated market for total profits of approximately $900,367.
The Court's order enjoins Rice from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 ("Securities Act"), Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 10b-5 thereunder, and Regulation M, Rule 101. The Commission's claims for disgorgement and civil penalties against the defendants and relief defendants are pending.
For tips on how to avoid Internet "pump-and-dump" stock manipulation schemes, visit sec.gov. For more information about Internet fraud, visit sec.gov. To report suspicious activity involving possible Internet fraud, visit sec.gov
sec.gov
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UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA
SECURITIES AND EXCHANGE ) CASE NO. 05-80128-CIV-ZLOCHISNOW
COMMISSION, )
Plaintiff, )
V. )
CONCORDE AMERICA, INC., ABSOLUTE OEHMKE'S ) DEFENDANT DONALD E .
HEALTH AND FITNESS, INC ., HARTLEY
LORD, DONALD E . OEHMKE, BRYAN
) INITIAL DISCLOSURES PURSUANT TO
KOS, THOMAS M . HEYSEK, ANDREW M .)
FEDERAL RULE OF CIVIL
KLINE, AND PAUL A. SPREADBURY,
PROCEDURE 26(a)(1)
Defendants,
DASILVA, SA, VANDERLIP HOLDINGS, )
NV, CHIANG ZE CAPITAL, AVV, RYZCEK )
INVESTMENTS, GMBH, BARRANQUILLA )
HOLDINGS, SA, )
Relief Defendants . )
COMES NOW Defendant, DONALD E. OEHMKE ("Oehmke"), by and through his
undersigned counsel and in accordance with Federal Rule of Civil Procedure 26(a)(1)(A)-(D),
and states :
1 . Pursuant to Fed. R. Civ. P. 26(a)(1)(A), Defendant Oehmke hereby identifies the
following individuals presently known to likely have discoverable information that Oehmke may
use in supporting his defenses in the present case :
(a) Stephen Kirsch, 1390 La Paloma Road, Los Altos, California 94022, a person
with knowledge about the facts of this case .
(b) Wayne Kirby, Electronic Access Direct, 2055 Wood Street, Suite 102, Sarasota ,
Florida 34237, a person with knowledge of the facts of this case .
Greenberg Traurig, PA I Attorne ys at Laws 1 40 ! East Las Olas Boulevard I Sui *,e 20001 Fort Lauderdale, Fl 33901 I Tel 954 7650500 1 Fax 954 .765 1477 1 www.gtlaw .com
CASE NO . 05-80128-CIV-ZLOCH/SNOW
(c) James Kelly, Sun State Securities, Inc ., 2200 NW Corporate Blvd ., Suite #100,
Boca Raton, Florida 33431, a person with knowledge of the facts of this case.
(d) Warren Hansen, a person with knowledge of the facts of this case whose address
is known to plaintiffs .
(e) Greg Breibart, Esq ., Newbridge Securities, Inc ., 1451 W. Cypress Creek Road,
Suite 204, Fort Lauderdale, Florida 33309, a person with knowledge of the facts of this case .
(f) Danny Kantrowitz, Newbridge Securities, Inc ., 1451 W. Cypress Creek Road,
Suite 204, Fort Lauderdale, Florida 33309, a person with knowledge of the facts of this case .
(g) David Wells, Newbridge Securities, Inc ., 1451 W. Cypress Creek Road, Suite
204, Fort Lauderdale, Florida 33309, a person with knowledge of the facts of this case.
(h) Jennifer Romano, Newbridge Securities, Inc ., 1451 W. Cypress Creek Road, Suite
204, Fort Lauderdale, Florida 33309, a person with knowledge of the facts of this case.
(i) William Herlihy, Newbridge Securities, Inc ., 1451 W. Cypress Creek Road, Suite
204, Fort Lauderdale, Florida 33309, a person with knowledge of the facts of this case.
0) Jeremy Ross, Esq ., Bush, Ross, Gardner, Warren and Rudy, PC, 220 South
Franklin Street, Tampa, Florida 33602, a person with knowledge of the facts of this case .
(k) Barbara Rowe, Bush, Ross, Gardner, Warren and Rudy, PC, 220 South Franklin
Street, Tampa, Florida 33602, a person with knowledge of the facts of this case .
(1) Jan Horrnik, Bush, Ross, Gardner, Warren and Rudy, PC, 220 South Franklin
Street, Tampa, Florida 33602, a person with knowledge of the facts of this case .
(m) Mauricio Madero O'Brien, c/o Jeremy Ross, Esq ., Bush, Ross, Gardner, Warren
and Rudy, PC, 220 South Franklin Street, Tampa, Florida 33602, a person with knowledge of the
facts of this case .
2
Girtnber Trdurig, P .A .
CASE NO . 05-80128-CIV-ZLOCH/SNOW
(n) Raul Mendez, c/o Jeremy Ross, Esq ., Bush, Ross, Gardner, Warren and Rudy,
PC, 220 South Franklin Street, Tampa, Florida 33602, a person with knowledge of the facts of
this case .
(o) Hartley Lord, c/o Jeremy Ross, Esq ., Bush, Ross, Gardner, Warren and Rudy, PC,
220 South Franklin Street, Tampa, Florida 33602, a defendant in this case .
(p) Bryan Kos, c/o William Nortman, Esq., Akerman Senterfitt, 350 Las Olas Blvd . ,
Suite 1600, Fort Lauderdale, Florida 33301-4217, a defendant in this case .
(q) Paul A. Spreadbury, 7975 La Nain Drive, Pensacola, Florida 32514, a defendant
in this case .
(r) Andrew Kline, c/o Steven Gourley, Esq., Malek & Malek, 3625 Del Arno
Boulevard, Suite 350, Torrance, California 90503, a defendant in this case .
(s) Thomas Heysek, a defendant in this case, 503 Pineo, Apt . 5, Mill Valley,
California 94841 and/or P .O. Box 2515 San Francisco, California 94126.
(t) Julio Aspe, Esq., Riviera 62, Colonia Ampliacion Alpes, C .P. 01710 Mexico D .F.,
a person with knowledge of the facts of this case .
(u) Marco Antonio Alvarez Alonso, Esq ., Riviera 62, Colonia Ampliacion Alpes,
C .P. 01710 Mexico D .F., a person with knowledge of the facts of this case .
(v) Joe Fiore, Berkshire Capital Corp., 670 White Plains Road, Suite 120, Scarsdale,
New York, a person with knowledge of the facts of this case .
(w) Mark Rice, IMA Advisors, c/o 2618 Fairway Drive, Sugarland, Texas, 77478, a
person with knowledge of the facts of this case .
(x) Michael Spadaccini, Esq ., 5703 Oberlin Drive, Suite 308, San Diego, California
92121, a person with knowledge of the facts of this case .
3
G of nherg Tracng P.A
CASE NO. 05-80128-CIV-ZLOCH/SNOW
(y) Kirk Hughes, President, Interwest Stock Transfer, Inc., 1981 East Murray-
Holliday Road, Suite 100, Salt Lake City, Utah 84117, a person with knowledge of the facts of
this case .
(z) Bill Senner, Stalt Stock Transfer, Inc ., 848 Tanager Street, Incline Village,
Nevada 89451, a person with knowledge of the facts of this case .
(aa) Howell Woltz, a person with knowledge of the facts of this case, whose address is
known to plaintiffs .
(bb) Vernice Woltz, a person with knowledge of the facts of this case, whose address
is known to plaintiffs .
(cc) Fertina Turnquest, a person with knowledge of the facts of this case, whose
address is unknown at this time and will be provided once ascertained .
(dd) Connie Oystermann-Webbe, a person with knowledge of the facts of this case,
whose address is unknown at this time and will be provided once ascertained .
(ee) Sam Currin, Esq ., Currin Law Firm, Currin Law Building, 20 Market Plaza,
Raleigh, North Carolina 27601, a person with knowledge of the facts of this case .
(ff) Jeremy Jaynes, c/o Sam Currin, Currin Law Firm, Currin Law Building, 20
Market Plaza, Raleigh, North Carolina 27601, a person with knowledge of the facts of this case .
(gg) Randall Rohm, a person with knowledge of the facts of this case, whose address is
known to the plaintiffs .
(hh) Timothy W. Ulrich, Esq ., Vice-President and General Counsel, First Curacao
International Bank, a person with knowledge of the facts of this case, First Curacao International
Bank, P .O Box 299 Kaya W.F .G. (JOMBI) Mensing, 18, Zeelandia, Curacao, Netherland
Antilles .
4
C,ernberg Iraoiig PA .
CASE NO . 05-80128-CIV-ZLOCH/SNOW
(ii) Electronic Access Direct : 2055 Wood Street, Suite 102, Sarasota, Florida 34237 .
This corporation and its employees have some knowledge of the facts of this case . Employees
not previously named . Names and addresses will be provided once ascertained .
GJ) Sun State Securities , Inc ., 2200 NW Corporate Blvd., Suite #100, Boca Raton ,
Florida 33431 . This corporation and its employees have some knowledge of this case .
Employees not previously named . Names and addresses will be provided once ascertained .
(kk) Newbridge Securities, Inc., 1451 W. Cypress Creek Road, Suite 204, Fort
Lauderdale, Florida 33309 . This corporation and its employees have some knowledge of this
case. Employees not previously named . Names and addresses will be provided once
ascertained.
(11) IMA Advisors, c/o 2618 Fairway Drive, Sugarland, Texas 77478 . This
corporation and its employees have some knowledge of this case . Employees not previously
named. Names and addresses will be provided once ascertained .
(mm) Laughlin International, Inc., 2533 North Carson Street, Carson City, Nevada
89706. This corporation and its employees have some knowledge of the facts of this case .
Employees not currently known . Names and addresses will be provided once ascertained .
(nn) All persons identified by all other parties in their respective Rule 26(a)
disclosures.
(oo) All persons identified in the documents produced by Plaintiff and Defendants in
their Rule 26 (a) disclosures .
(pp)
(qq)
All consulting and expert witnesses not yet identified for trial .
All impeachment and rebuttal witnesses to be ascertained.
5
Ci ribergTi dung, P
CASE NO. 05-80128-CIV-ZLOCH/SNOW
Discovery is in progress and Oehmke reserves his right to supplement his witness list as
more witnesses become known .
2. Pursuant to Fed. R. Civ . P. 26(a)(1)(B), Oehmke, hereby identifies the following
documents that he may use to support his claims and defenses :
(a) All documents previously produced by Ventana Consultants, Ltd ., to Plaintiff
(bate labels V000I through VC023) .
(b) All documents submitted by the Plaintiff in support of its Ex Parte Motion For
Order Freezing Assets.
(c) All documents listed by Plaintiff in its disclosures .
(d) All documents produced by any other party to this litigation .
(e) All impeachment and rebuttal documents to be ascertained .
Discovery is in progress and Oehmke reserves his right to produce supplemental
documents.
3. Fed. R. Civ. P. 26(a)(1)(C) is not applicable to Oehmke at this time .
4. Fed. R. Civ. P. 26(a)(1)(D) is not applicable to Oehmke in the matter .
6
Greerriberg Ti dLrrig, P 4 .
CASE NO. 05-80128-CIV-ZLOCH/SNOW
Respectfully submitted,
SOTIRIS A. PLANZOS
New York Bar No . 1856095
PATTON BOGGS, LLP
Attorneys for Defendant, DONALD E . OEHMKE
2550 M Street, N .W.
Washington, DC 20037-1350
Telephone: (202) 457-6457
Fax: (202) 457-631 5
- and -
GREENBERG TRAURIG, P.A.
Attorneys for Defendant, DONALD E . OEHMKE
401 East Las Olas Boulevard . Suite 2000
Ft. Lauderdale, Florida 33301
Telephone : (954) 768-8256
Fax: (954) 765-1477
By: 3~C c~ tc,~.,~~C ( ~, .
RICHARD A. SERAF 1
Florida Bar No . 0972 3 7
7
yr enberg irdun, P .A
CASE NO . 05-80128-CIV-ZLOCH/SNOW
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that a true and correct copy of the foregoing was served by U .S .
Mail on this 20th day of April, 2005 on the following :
Linda S . Schmidt
Robert K. Levenson
Chih-Pin L u
U .S. Securities and Exchange Commission
Southeast Regional Office
801 Brickell Avenue, Suite 1800
Miami, Florida 3313 1
Counsel for the SEC
Jeremy Ross, Esq .
Bush Ross Gardner Warren & Rudy, P .A.
220 South Franklin Stree t
Tampa, Florida 3360 2
Counsel for Defendants Hartley Lord and
Concorde America, Inc.
Steven Gourley, Esq .
Malek & Male k
3625 Del Amo Boulevard, Suite 350
Torrance, CA 90503
Counsel for Andrew Kline
William Nortman, Esq.
Akerman Senterfitt
350 E Las Olas Blvd ., Ste . 1600
Fort Lauderdale , Florida 33301-4217
Counsel for Bryan Kos
David J . Levenson, Esq .
7947 Turnquest Drive
Potomac, MD 20854
Co-Counsel for Defendant Brian Kos
Paul A . Spreadbury, prose
7975 La Nain Drive
Pensacola , FL 3251 4
Thomas M. Heysek, pro se
503 Pineo, Apt . 5
Mill Valley, CA 9484 1
Thomas M. Heysek
P .O. Box 251 5
San Francisco , CA 9412 6
RICHARD A. SERAF
ftl-fs 1\55433 1 v01 \63472 .010100
8
i ,,iibeig Ti iiirig . P |
