marco glisson april 15

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JOHN B. BULGOZDY, Cal. Bar No. 219897 E-mail: [email protected] PARIS A. WYNN, Cal. Bar No. 224428 E-mail: [email protected] Attorneys for Plaintiff Securities and Exchange Commission Rosalind R. Tyson, Regional Director Michele Wein Layne, Associate Regional Director John M. McCoy III, Associate Regional Director 5670 Wilshire Boulevard, 11th Floor Los Angeles, California 90036 Telephone: (323) 965-3998 Facsimile: (323) 965-3908 Robert H. Bretz, Cal. Bar No. 55087 E-mail: [email protected] Attorney for Defendant Marco Glisson 578 Washington Blvd., # 843 Marina del Rey, California 90292 Telephone: (310) 578-1957 Facsimile: (310) 578-5443

UNITED STATES DISTRICT COURT

DISTRICT OF NEVADA SECURITIES AND EXCHANGE COMMISSION, Plaintiff, vs. MARCO GLISSON,

Defendant.

Case No. 2:09-cv-00104-LDG-GWF JOINT PRETRIAL ORDER

Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 of 127

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Following pretrial proceedings in this case,

IT IS ORDERED:

I.

A. Plaintiff’s Contentions

This is an action for violations of the federal securities laws brought by

plaintiff Securities and Exchange Commission (“Commission” or “SEC”) against

defendant Marco Glisson (“Glisson”). Plaintiff contends that Glisson acted as a

securities broker and/or dealer without registering with the Commission in

violation of Section 15(a)(1) of the Securities Exchange Act of 1934 (“Exchange

Act”), 15 U.S.C. § 78o(a)(1), and in that capacity purchased and sold, and offered

to purchase and sell, and otherwise effected transactions in the deregistered

securities of CMKM Diamonds, Inc. (“CMKM”). Glisson’s purchases and sales of

unregistered securities of CMKM violated Section 5 of the Securities Act of 1933

(“Securities Act”), 15 U.S.C. § 77e.

In 1999, CMKM registered its securities with the Commission to allow them

to be listed and traded on a national securities exchange. As a publicly traded

company, CMKM was subject to the periodic reporting requirements of Section

13(a) of the Exchange Act, which are designed to provide the investing public with

current and accurate information about an issuer so that investors may make

informed decisions. However, in 2005, the Commission revoked CMKM’s

registration because it failed to file the periodic reports required by the Section

13(a) of the Exchange Act, and deregistered all classes of CMKM’s securities.

Glisson learned in November 2005 that CMKM stock had been deregistered

and delisted. Glisson understood that CMKM stock was not tradeable and he

could not buy it on the open market anymore. His CMKM holdings were deemed


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worthless. Beginning in December 2005, Glisson began operating as an

unregistered broker and/or dealer of CMKM stock under the name “Deli Dog.”

Glisson bought and sold CMKM stock for his own account as part of regularly

conducted business, and arranged and effected transactions in CMKM for third

parties. In mid-2006, when the SEC and Wisconsin state authorities contacted

Glisson about his activity in CMKM shares, Glisson briefly stopped his activity.

However, Glisson resumed his business in CMKM shares in September 2006 until

CMKM’s transfer agent refused to transfer certificates in April 2007. In 2010,

when CMKM appointed a new transfer agent, Glisson resumed his activities in

CMKM stock.

In conducting his business in CMKM securities, Glisson used the “Deli

Dog” name throughout 2005 through 2007. However, in late 2006, purportedly

because of a pending divorce, Glisson began using a Bank of America account of

his then girlfriend, and later wife, Thidarat Tungwongsathong

(“Tungwongsathong”), for his CMKM business. In late 2006 and early 2007,

Glisson “parked” CMKM stock and other assets with Tungwongsathong because

of the pending divorce. In 2010, Glisson resumed his business in CMKM stock

under the Deli Dog, and again used Tungwongsathong in an effort to conceal his

involvement.

During the period from December 2005 through May 2007, Glisson was

responsible for the sale and transfer of over 37 billion shares of CMKM securities,

including a single 7 billion share transaction involving Tungwongsathong. During

this same period, Glisson received gross proceeds from sales of CMKM stock of at

least $4.398 million, and expended approximately $1.4 million purchasing CMKM

stock, resulting in ill-gotten gains from his illegal broker-dealer business in

unregistered shares of CMKM of at least $2.98 million.


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The Commission seeks a final judgment: (1) permanently enjoining Glisson

from future violations of Section 5 of the Securities Act and Section 15(a)(1) of the

Exchange Act; (2) ordering Glisson to disgorge his ill-gotten gains of at least $2.98

million and prejudgment interest thereon calculated using the interest rate provided

in 26 U.S.C. § 6621; (3) ordering Glisson to pay a civil penalty pursuant to Section

20(d) of the Securities Act, 15 U.S.C. § 77t(d), and Section 21(d)(3) of the

Exchange Act, 15 U.S.C. § 78u(d)(3); and (4) permanently barring Glisson from

participating in an offering of a penny stock pursuant to Section 20(g) of the

Securities Act, 15 U.S.C. § 77t(g).

B. Defendant’s Contentions

Defendant Glisson contends that there is no factual or legal basis for the

Plaintiff's contention that Glisson was in the business of providing securities broker

or dealer services and was therefore required to register as such with the SEC

under Section 15(a)(1) of the Securities Exchange Act of 1934 - - which is the

"linch-pin" underlying the Plaintiff's technical broker-dealer and securities

"registration" claims against Glisson. The Plaintiff is not alleging any fradulent or

deceptive action or conduct by Glisson.

Glisson was a private investor buying and selling CMKM securities for his

own account with other CMKM shareholders on a one-on-one basis. Glisson had

no relationship to CMKM or any of its officers, directors or affiliated persons.

Glisson never held himself out to any one as being a broker-dealer or any kind of

investment advisor, and he never provided any such services to any one. None of

the securities that Glisson bought or sold were "deregistered" securities under

Section 12 of the Exchange Act as a result of the revocation by the SEC of

CMKM's registration of its classes of securities under the Exchange Act. After

such revocation (or delisting), all shares of CMKM stock previously issued and


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outstanding remained validly issued and outstanding, fully paid and non-

assessable; and otherwise "free trading" shares in private transactions between and

among CMKM stockholders.

Glisson's offer and sale of CMKM stock was also exempt from registration

under Section 5 of the Securities Act of 1933 by virture of applicable exemptions

for persons who are not acting as the issuer, underwriter or dealer for such

securities offering (which is the reason Plaintiff seeks to classify the Defendant as

a securities "dealer" for purposes of this action).

The Plaintiff's contentions try to create the illusion that Glisson acted in a

deceptive manner which was not the case (the Complaint makes no such

allegations or claims). The Plaintiff's descriptions of the magnitude of Glisson's

trading in CMKM are all inflated and deceptive (and need to be understood in

context including that there were at least 703 Billion – that’s 703,000,000,000 –

shares of CMKM stock issued and outstanding during the relevant time). As an

investor (not a dealer), Glisson made a profit as a result his purchases and sales of

CMKM stock over a multi-year period, but such activity did not violate any

Federal securities laws because Glisson was not in the business of providing

services as a securities dealer. He was a private investor trading for his own

account, and he made some money.

There is no basis for the injunctive or other relief sought by the Plaintiff. In

light of the technical nature of the Plaintiff’s broker-dealer non-registration claim,

the monetary relief sought by the Plaintiff, including disgorgement of “ill gotten”

gains, prejudgment interest and high level fines (based on intentional or reckless

wrongdoing), are extreme, excessive and inappropriate.

///

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II.

Statement of jurisdiction: This Court has jurisdiction over this action

pursuant to Sections 20(b), 20(d)(1) and 22(a) of the Securities Act, 15 U.S.C. §§

77t(b), 77t(d)(1) & 77v(a) and Sections 21(d)(1), 21(d)(3)(A), 21(e) and 27 of the

Exchange Act, 15 U.S.C. §§ 78u(d)(1), 78u(d)(3)(A), 78u(e) & 78aa. Defendant

Glisson, directly or indirectly, made use of the means or instrumentalities of

interstate commerce, of the mails, or of the facilities of a national securities

exchange in connection with the transactions, acts, practices, and courses of

business alleged in this Complaint. Specifically, Glisson offered to buy and sell

shares of CMKM securities in interstate commerce; Glisson communicated with

purchasers and sellers of CMKM securities in interstate commerce; and Glisson

consummated the purchase and sale of CMKM securities in interstate commerce

using the mails and the wire transfer facilities of banking institutions.

III.

The following facts are admitted by the parties and require no proof:

1. During 2005 through October 2006, Glisson was a resident of

Janesville, Wisconsin. At the time, Glisson was married to Alma Padilla. Glisson

was divorced from Alma Padilla on April 12, 2007.

2. During 2005 through October 2006, Padilla owned, or co-owned with

Glisson, a restaurant located in Janesville, Wisconsin named the “Deli Dog

House.” While working as an assembly line worker at General Motors, Glisson

worked part-time at the Deli Dog House in 2005 through August 2006. After

Glisson’s retirement from General Motors in August 2006, he worked full-time at

the Deli Dog House restaurant in Janesville until October 2006.

3. Glisson started using “[email protected]” as his email


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address in 2001, and has continued to use this address into 2011.

4. In October 2006, Glisson separated from Alma Padilla and moved to

Las Vegas, Nevada. Glisson resided in Nevada from October 2006 through at least

January 2007. Glisson lived in at 2200 S. Fort Apache Road, Apt. 2017, Las

Vegas, Nevada.

5. In October 2006, Glisson was introduced to Thidarat

Tungwongsathong (“Tungwongsathong”) at a Starbucks in Las Vegas, Nevada.

Tungwongsathong was a Thai national who had lived in the United States during

various periods prior to 2006, and was living in Las Vegas when she met Glisson.

When Tungwongsathong met Glisson, she was not working.

6. Shortly after meeting in October 2006, Glisson and Tungwongsathong

began dating. In November 2006, Tungwongsathong moved into Glisson’s

apartment located at 2200 S. Fort Apache Road, Apt. 2017, in Las Vegas.

7. While residing in Nevada in late 2006, Glisson rented a mailbox

located at a UPS store at the address 9030 West Sahara Avenue, Box 141, Las

Vegas, Nevada, where he received his mail, including mail relating to transactions

in CMKM securities.

8. In January 2007, when he was in California, Glisson rented a mailbox

located at a UPS store to receive his mail, including mail relating to transactions in

CMKM securities, at the address 555 North El Camino Real, San Clemente,

California.

9. In the period from January 2007 through April 2007, Glisson and

Tungwongsathong traveled, vacationed, and then moved to Florida by April 2007.

10. In or around April 2007, Glisson moved to Naples, Florida, where he

resided with Tungwongsathong at 4893 Pepper Circle, Naples, Florida. On May 7,

2007, Glisson married Tungwongsathong in Naples, Florida. Tungwongsathong


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has resided at the Pepper Circle address continually since April 2007. Glisson has

lived at both the Pepper Circle address and at 27973 Pinecrest Lane, Bonita

Springs, Florida.

11. Glisson rented a mailbox in Florida to receive his mail, at the address

3823 Tamiami Trail East, #567, Naples, Florida 34112-6224.

12. Glisson has one sibling named Luther Webster, who resides in

Romeoville, Illinois. Luther’s spouse is named Betty Webster. Glisson has two

nephews, Charles K. Webster and Glenn A. Webster. Glisson has one son named

Allan Ray Glisson (deceased), and one daughter Marcy Lynn Glisson.

13. CMKM was at all relevant times a Nevada corporation headquartered

in Las Vegas that reported it acquired and developed mining properties in North

and South America. From 1999 through October 28, 2005, CMKM’s stock was

registered with the Commission pursuant to Section 12(g) of the Exchange Act and

was quoted on the “OTC Pink Sheets.” During this period of time, individuals

could and did buy and sell shares of CMKM through registered brokers such as

Ameritrade and E-Trade.

14. During the period 2005 through April 9, 2007, 1st Global Stock

Transfer LLC (“1st Global”) was the transfer agent for CMKM stock.

15. On March 14, 2005, CKMK filed a report with the SEC on Form 8-K,

pursuant to the provisions of the Exchange Act, which among other things, stated

that there were 703,518,875,000 shares of CMKM common stock issued and

outstanding to approximately 2,032 shareholders of record. (Exhibit 400.)

16. Sometime after April 2004, Glisson became aware of CMKM through

the Internet.

17. Sometime after April 2004, Glisson became a CMKM shareholder by

purchasing CMKM securities in his account with Ameritrade.


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18. Glisson monitored the performance of his CMKM securities via the

Internet and CMKM press releases.

19. Since around April 2004, Glisson visited and participated in Internet

“chat rooms” that discussed CMKM and its business, and he met people online

who owned or were interested in CMKM through his participation in various

CMKM chat rooms.

20. During 2005 through 2007, Glisson used the screen name “Deli Dog”

or “Deli” when visiting and participating in chat rooms relating to CMKM.

21. From December 2005 through April 2007, Glisson bought and sold

CMKM stock in transactions with individuals in the United States, Canada, and

Europe, and Glisson obtained proceeds from the sale of such CMKM stock.

22. During the period from December 2005 through May 2006, Glisson

sometimes used written agreements to set forth the terms of his purchases of

CMKM stock, which were titled “Stock Sell-Purchase Agreement.” Also during

this period, Glisson had some sellers execute letters waiving all rights to any

dividends or cash settlements associated with the CMKM stock he was purchasing

from them.

23. Glisson sometimes paid for his purchase of CMKM stock using wire

transfer facilities.

24. For the period between December 2005 through April 2007, when

Glisson was contacted by a prospective purchaser of CMKM stock, Glisson

typically provided such prospective purchasers with (1) his contact information, (2)

a price schedule for CMKM securities setting prices of between $0.0003 to

$0.00025 per share depending on the number of shares being purchased, and (3)

payment instructions including wire transfer information and an address for

mailing payment.


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25. After Glisson received a communication from a person who wanted to

purchase CMKM securities, Glisson required payment before consummating the

transaction.

26. Typically, after receiving payment, Glisson sent a letter of instruction

to the transfer agent to cancel one certificate and issue new certificates to the

purchasers of such stock per Glisson’s letter of instruction. The transfer agent

usually was asked to send the newly issued certificates to Glisson, or to hold them

for pick-up.

27. From December 2005 through April 2007, Glisson sent instructions to

1st Global using Federal Express or U.S. Mail overnight services. 1st Global

charged Glisson a fee of between $16.50 and $17.50 for each certificate that

Glisson requested be cancelled, and between $16.50 and $17.50 for each new

certificate that Glisson had issued.

28. When Glisson received the CMKM stock certificates from the transfer

agent, he made a copy and then sent the stock certificates to the buyers. Glisson

also filled out a CMKM Task Force registration form for each new certificate, and

when he got a large amount of such forms, Glisson put the CMKM Task Force

registration forms into an envelope and shipped them to the CMKM Task Force.

29. The CMKM Task Force recorded owners of CMKM certificates in an

effort to confirm the CMKM shares that were validly issued and outstanding.

30. Exhibits 4-1 to 4-22 and 35-1 to 44 are letters of instruction Glisson

sent to 1st Global Stock Transfer for purposes of purchases and/or sales of CMKM

stock.

31. As shown by Exhibits 35-1 to 35-44, between December 9, 2005 and

May 11, 2006, Glisson sent 45 letters of instruction to 1st Global to issue CMKM

certificates to persons purchasing CMKM stock. These letters of instruction


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resulted in the issuance of approximately 204 certificates for CMKM stock to

persons other than Glisson. (See Exhibits 35-1 to 35-44.)

32. In December 2005, Glisson had an interest in accounts at Blackhawk

Community Credit Union (“Blackhawk”), Account No. ##8307 where Glisson was

the primary on such account held jointly with Alma Padilla (“8307 Account”).

The 8307 Account was closed on May 11, 2006, and Account No. ##7650 was

opened that same day as Glisson’s separate account (“7650 Account”).

33. Glisson made or caused to be made deposits and withdrawals into the

8307 Account, and, at various times and for various reasons, to the other accounts

at Blackhawk in which his wife held an interest.

34. In late 2006 through at least May 2007, Tungwongsathong had two

accounts at Bank of America (“BofA”): (1) Interest Checking Account, Account

No. #### #### 3830 (“BofA 3830 Account”); and (2) Balance Rewards Money

Market, Account No. #### #### 9145 (“BofA 9145 Account”).

35. Glisson tried to make a profit when he bought and/or sold CMKM

securities.

36. In late 2005 and early 2006, Glisson calculated profit and/or loss on

purchases and sales of CMKM shares and recorded these calculations on Deli Dog

House memo pads.

37. Except as alleged in the Complaint in this action, Glisson never had

any kind of regulatory history (no cease and desists, investigations, complaints

including regulatory proceedings, judgments, injunctions) involving any securities

of any company.

38. During the period at issue from 2005 through 2007, Glisson bought

and sold CMKM stock in interstate commerce, and used means and

instrumentalities of interstate commerce to effect such transactions.


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39. Glisson has never registered, or applied to be registered, with the SEC

as a securities broker or dealer.

40. Glisson has never been employed by a registered broker or dealer.

41. During the time period relative to the Commission’s Complaint in this

action, Glisson was not an officer or director of CMKM.

42. The Commission’s action against Glisson does not allege any

violations of the antifraud provisions of the federal securities laws.

IV.

The following facts, though not admitted, will not be contested at trial by

evidence to the contrary:

A. Plaintiff’s Facts Not Admitted and Not Contested

1. On March 3, 2005, the Commission issued an Order of Suspension of

Trading pursuant to Section 12(k) of the Securities Exchange Act of 1934, which

suspended trading in the securities of CMKM Diamonds, Inc., a/k/a Casavant

Mining Kimberlite International, Inc., for a period from March 3, 2005 through

March 16, 2005. The Order recited that questions had been raised “about the

adequacy of publicly available information concerning, among other things,

CMKM Diamonds’ assets and liabilities, mining and other business activities,

share structure and stock issuances, and corporate management. Since the fiscal

year ending December 31, 2002, CMKM Diamonds has been delinquent in its

periodic filing obligations under Section 13(a) of [the Exchange Act]. The

Commission is concerned that CMKM Diamonds may have unjustifiably relied on

a Form S-8 to issue unrestricted shares. The Commission is also concerned that

CMKM Diamonds and/or certain of its shareholders may have unjustifiably relied

on Rule 144(k) of the [Securities Act] in conducting an unlawful distribution of its


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securities that failed to comply with the resale restrictions of Rules 144 and 145 of

the Securities Act.” (See Exhibits 401 & 402.)

2. On March 16, 2005, the Commission issued an Order Instituting

Administrative Proceeding and Notice of Hearing Pursuant to Section 12(j) of the

Securities Exchange Act of 1934 in the Matter of CMKM Diamonds, Inc.,

Respondent. (Exhibit 403.)

3. On July 12, 2005, an administrative law judge issued an Initial

Decision in the Matter of CMKM Diamonds, Inc., which after reciting factual and

legal findings, ordered that “pursuant to Section 12(j) of the Securities Exchange

Act of 1934, the registration of each class of securities of CMKM Diamonds, Inc.

is hereby REVOKED.” (emphasis in original). (Exhibit 404.)

4. On October 28, 2005, the Commission issued an Order which made

final the initial decision of the administrative law judge. The October 28, 2005

Order stated: “Notice is hereby given that the initial decision of the administrative

law judge has become a final decision of the Commission with respect to CMKM

Diamonds, Inc. The order contained in that decision revoking the registration of

the securities of CMKM Diamonds, Inc. is hereby declared effective.” Thus, the

registration of each class of CMKM securities was revoked. (Exhibit 5.)

5. At all times subsequent to October 28, 2005, CMKM has not had a

registration statement filed and declared effective under the Securities Act or the

Exchange Act.

V.

The following are the issues of fact to be tried and determined upon trial.

(each issue of fact must be stated separately and in specific terms).

///


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A. Plaintiff’s Contested Facts

1. Glisson first purchased CMKM securities in his Ameritrade account

sometime in 2004. After his first purchase, Glisson sold CMKM securities in his

Ameritrade account when the price went up, and purchased CMKM securities in

his Ameritrade account when the price went down. Glisson tried to “flip the

stock,” selling when the stock went up a little bit, and buying when the stock went

back down.

2. Glisson met Urban Casavant, the Chief Executive Officer of CMKM,

on several occasions in 2004 and 2005, in Las Vegas and Chicago, at IHRA race

functions. For the Chicago CMKM function in 2004, Glisson catered the food for

that weekend.

3. At some point in 2005, Ameritrade stopped executing transactions in

CMKM securities. After Ameritrade stopped executing transactions in CMKM

securities, Glisson opened an account at E-Trade and began trading CMKM in his

E-Trade account. Subsequently, in 2005, E-Trade stopped executing trades in

CMKM securities.

4. In or around November 2005, Glisson learned that CMKM’s

registration was revoked and it was delisted from trading. Glisson understood that

when CMKM was delisted that CMKM securities were not tradeable. They could

not be bought and sold on the open market anymore.

5. Glisson learned that CMKM’s registration was revoked on the day it

was posted, through the Internet.

6. After CMKM’s registration was revoked and CMKM securities were

delisted, Glisson could not buy or sell CMKM through his accounts at Ameritrade

or E-Trade. CMKM securities could not be bought or sold on any national

exchange. Glisson’s CMKM holdings were deemed worthless as far as he knew.


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7. Beginning in December 2005, through at least April 2007, Glisson

bought and sold CMKM securities for his own account as part of a regularly

conducted business activity, and brokered transactions in CMKM securities for

third parties as part of a regularly conducted business activity. Glisson operated as

an unregistered securities broker and/or dealer who made a market in unregistered

CMKM securities. Glisson used the Internet as a means of identifying buyers and

sellers. Glisson used means and instrumentalities of interstate commerce to effect

transactions in CMKM stock.

8. In December 2005, Glisson contacted 1st Global, which was

CMKM’s transfer agent, and asked if the firm was willing to perform transfer

agent services for him with respect to purchases and sales of CMKM stock.

Glisson spoke to Helen Bagley, whom he knew as the owner of 1st Global. In

response to Glisson’s request, 1st Global agreed to cancel and re-issue CMKM

stock certificates in accordance with Glisson’s instructions.

9. Glisson did not consult with an attorney for advice about whether it

was legal to purchase and sell CMKM stock before he began to engage in

transactions in CMKM stock in December 2005. Glisson did not consult with an

attorney for advice about whether it was legal to purchase and sell CMKM at any

time thereafter through at least August 2007.

10. Beginning in December 2003 through at least August 2007, Glisson

visited Internet chat rooms where CMKM was discussed. Glisson used the alias

“Deli Dog” when visiting various chat rooms. Glisson found buyers and sellers of

CMKM securities through his visits to various chat rooms from December 2005

through April 2007.

11. Glisson went to the chat room Pal Talk, which has multiple “rooms.”

Glisson regularly visited Pal Talk rooms called “Pro CMKX” and “The Belgium’s


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Room,” and other chat rooms, where he exchanged posts about CMKM. Glisson

visited another chat room named “Pro Board,” where he also used the alias “Deli

Dog.” Glisson also visited a chat room named “Willy Wizard’s Underground,”

where he used the alias “Deli Dog” and participated in chats relating to CMKM

securities.

12. In the Internet chat rooms, Glisson posted that he was buying and

selling CMKM stock, and posted his telephone number. Persons who wanted to

talk to Glisson about the purchase and sale of CMKM stock usually called Glisson

or sent him an email to inquire about his interest in and the terms of any such

transaction.

13. During the period between December 2005 and at least August 2007,

Glisson talked to CMKM shareholders every day. Every day, Glisson met with

CMKM shareholders face to face, on the computer, on the telephone. Everywhere

Glisson went he met with CMKM shareholders. When Glisson gathered with other

CMKM shareholders they talked about CMKM shareholders, meetings, and about

the company.

14. People who wanted to sell their CMKM shares contacted Glisson

through Pal Talk, Internet, e-mail, and telephone. Glisson posted his telephone

number on the Internet and made it known that he was willing to purchase CMKM

shares. There was a board called the “66 Board” that Glisson called “bashers.”

These were people who wanted to sell their CMKM stock. Glisson purchased

stock from people on the “66 Board.”

15. During the period from December 2005 through April 2007, Glisson

typically offered to buy CMKM stock for “trip one,” or $0.0001 per share.

However, Glisson also paid “trip two” ($0.0002) up to “trip five” ($0.0005) for

deregistered CMKM stock during this period.


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16. Before buying deregistered CMKM stock in 2005-2007, Glisson

verified with 1st Global that the certificate was valid.

17. During the period from December 2005 through May 2006, Glisson

used written agreements to set forth the terms of his purchases of CMKM stock,

which were titled “Stock Sell-Purchase Agreement.” (See, e.g., Exhibits 309, 310,

311, 312, 313, 314, 319, 321, 322, 325, 327, 328, 329.) Also during this period,

Glisson had some sellers execute letters waiving all rights to any dividends or cash

settlements associated with the CMKM stock he was purchasing.

18. After verifying that the certificate was valid, Glisson instructed the

seller to send him the certificate and Glisson sent the money, either by cashier’s

check or by wire. Glisson wired the money from whatever financial institution he

was working out of at the time, either Blackhawk or Bank of America.

19. Glisson charged a $50 fee for each CMKM certificate that he sold,

during all relevant periods, including December 2005 through April 2007, and

2010.

20. In December 2005, there were approximately five accounts at

Blackhawk Community Credit Union (“Blackhawk”) associated with either

Glisson, Padilla, or Deli Dog House. In May 2006, Glisson closed one of the

accounts and opened a new account. Of these accounts, transactions related to

CMKM securities occurred in three accounts: (1) Account No. ##8307, primary

account holder Marco Glisson, held jointly with Alma Padilla (“8307 Account”);

(2) Account No. ##3788 held in the name of Alma Padilla (“3788 Account”); and

(3) Account No. ##7650 held in the name of Marco Glisson (“7650 Account”).

21. Glisson closed the 8307 Account in May 2006 because he was

separating from his wife, Padilla, who was listed as a joint owner of the account.

Glisson opened the 7650 Account on the same date that he closed the 8307 Account.


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22. Glisson directed deposits and withdrawals into the 8307 Account,

3788 Account, and 7650 Account, relating to purchases and sales of CMKM

securities.

23. Beginning in December 2005 through at least November 2006,

Glisson instructed persons who purchased CMKM stock from him to wire funds to,

at various times, the 3788 Account, the 8307 Account, and after May 2006, the

7650 Account. In accordance with Glisson’s instructions, individuals who

purchased CMKM securities from Glisson during this period wired funds into the

accounts Glisson specified, or sent checks to Glisson which were then deposited

into one of the three accounts.

24. Exhibit 16, prepared by Blackhawk, shows wire transfers into and out

of the 3788 Account, 8307 Account, and 7650 Account, during the period from

December 2, 2005 through January 22, 2007.

25. Most of the incoming wire transfers shown on Exhibit 16 are from

persons who purchased CMKM shares from Glisson. Exhibit 16 lists

approximately 497 wire transfers into the three accounts, which total

$1,960,844.60. These incoming wire transfers are proceeds from Glisson’s sale of

CMKM shares.

26. Glisson used funds from the three accounts included in Exhibit 16 to

purchase CMKM shares from third parties. Exhibit 16 lists approximately 56

separate wire transfers out of the three accounts, which total $1,522,632.00.

27. Tungwongsathong was not employed while she resided in Las Vegas.

28. In August 2006, Tungwongsathong opened two bank accounts at

Bank of America in Las Vegas: (1) the BofA 3830 Account, and (2) the BofA

9145 Account, which were designated as “Individual” accounts.

29. In or around November 2006, Tungwongsathong designated Glisson


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as Payable on Death (“POD”) beneficiary of both accounts. At about the same

time, Tungwongsathong changed the address for the account statements to the

address of Glisson’s apartment in Las Vegas, at 2200 S. Fort Apache Rd., Apt.

2017, Las Vegas, Nevada. (Exhibit 49.) Shortly after Tungwongsathong changed

the designation and address on her accounts, Glisson transferred $105,000 from his

7650 Account at Blackhawk to the BofA 9145 Account.

30. In November 2006, Glisson saw an article in the Janesville Gazette

entitled “Woman Reports Fraud,” which referenced Glisson’s transactions in

CMKM stock.

31. In the period after Glisson met Tungwongsathong in 2006 and 2007,

Tungwongsathong performed clerical work for Glisson in connection with his

CMKM transactions, such as dropping off and picking up mail.

32. In late 2006, Glisson transferred CMKMK shares to

Tungwongsathong, and then he sold those securities. Tungwongsathong did not

ask Glisson to sell the CMKM stock held in her name. Glisson thought they had

too many CMKM shares and it would be best to sell some of the shares they had,

and so Glisson decided to sell some of the shares held in Tungwongsathong’s

name. Around January 2007, Glisson had 11 billion (11,000,000,000) shares of

CMKM stock.

33. Glisson used Tungwongsathong’s name to conduct his unregistered

securities business and hold assets in order to avoid large tax liabilities that he

owed to the IRS.

34. Beginning in November 2006, Glisson instructed persons who

purchased CMKM stock from him to make payments to Tungwongsathong by

check or money order, or to wire funds to Tungwongsathong. In accordance with

Glisson’s instructions, individuals who purchased CMKM securities from Glisson


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during this period sent payments as Glisson specified. These payments were

deposited into the BofA 9145 Account, which was POD Glisson.

35. Beginning in or about November 2006, Glisson instructed persons to

whom he sold CMKM stock to write checks payable to Tungwongsathong for their

purchases. Upon receipt of those checks, Glisson caused the checks to be

deposited into the BofA 9145 Account, which was POD Glisson.

36. Between November 2006 through May 2007, numerous deposits were

made into the BofA 9145 Account by Glisson, or at his direction, of checks and

money orders that were received through the mail from people who were

purchasing CMKM stock from Glisson. (See, e.g., Exhibits 49, 50, 51, 57, 58, 59,

60, 61, 62, 63, 64, 65, 66, 68, 69, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79, 82, 85, 86,

87, 88, 89, 90, 91, 92, and 93.) In addition, at Glisson’s direction, at least two

people who purchased CMKM securities from Glisson were instructed by him to

wire funds into the BofA 9145 Account. (See, e.g., Exhibit 68.)

37. From November 17, 2006 through June 12, 2007, total deposits into

the BofA 9145 Account are $2,437,881.18. (See, e.g., Exhibits 49, 51, 57, 68, 75,

79, 82.)

38. At least from December 2005 through May 2006, and September

2006 through April 2007, Glisson regularly communicated with the transfer agent

for CMKM, 1st Global, through the mails and using the telephones, for the purpose

of transferring CMKM shares to his purchasers. (See, e.g., Exhibits 4-1 to 4-22;

Exhibits 35-1 to 35-44.) During part of this period, Glisson also regularly dropped

off and picked up certificates from 1st Global’s offices.

39. Glisson’s letters of instruction to 1st Global during the period from

December 2005 through May 2006 include transactions where Glisson arranged

CMKM stock transactions between individuals, as well as instances where Glisson


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sold his own shares from his inventory.

40. As shown by Exhibits 4-1 to 4-22, between October 16, 2006 and

January 16, 2007, Glisson sent 22 letters of instruction to 1st Global to issue

CMKM certificates to persons purchasing CMKM stock from Glisson and/or for

whom Glisson arranged CMKM stock transactions. These letters of instruction

resulted in the issuance of approximately 1,366 certificates for CMKM stock to

persons other than Glisson and Tungwongsathong. (See Exhibits 4-1 to 4-22.)

41. From December 2005 through May 2006, and from September 2006

to May 2007, Glisson regularly communicated with purchasers and sellers of

CMKM stock using the Internet, telephones, and the mails. (See, e.g., Exhibits 4-

3, 12, 13, 18, 20, 21, 23, 24, 25, 26, 29, 30, 31, 32, 33, 34, 36, 38, 39, 40, 41, 42,

43, 44, 45, 157-261, 307-330.)

42. In September 2006, Glisson entered CMKM related Internet chat

rooms and posted messages stating that he would not cease his purchases and sales

of CMKM securities absent a court order.

43. In or around April 2007, 1st Global stopped performing transfer agent

services for CMKM, effectively halting transfers of CMKM shares through the

cancellation and issuance of CMKM certificates. Glisson was informed that 1st

Global would no longer perform transfer agent services for him.

44. Between December 2005 and May 2007, Glisson received gross

proceeds from sales of CMKM stock of at least $4,398,725.78.

45. Between December 2005 and May 2007, Glisson expended

approximately $1,417,632 to purchase CMKM stock.

46. Between December 2005 and May 2007, Glisson netted at least

$2,981,093.78 from his sales of CMKM securities.

47. In 2008, Glisson and Tungwongsathon physically separated and


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Glisson established a separate residence at 27973 Pinecrest Lane, Bonita Springs,

Florida. However, Glisson continued to use Tungwongsathong’s name and

accounts to conduct business and hold assets.

48. In 2010, Glisson resumed his activities as an unregistered dealer in

CMKM securities, and sold CMKM securities for his own account as part of a

regularly conducted business activity. Glisson used means and instrumentalities of

interstate commerce to effect transactions in CMKM stock.

49. In 2010, Glisson continued to use “Deli Dog” as his alias when he

posted in Internet chat rooms about CMKM, and used the Deli Dog email address

when communicating with people who wanted to buy CMKM stock from him.

50. In April 2010, CMKM contracted with Transfer Online to perform

transfer agent services for CMKM stock, which allowed for the cancellation and

issuance of CMKM securities held in certificate form.

51. In connection with his 2010 CMKM sales, Glisson corresponded via

email with prospective purchasers of CMKM securities. (See Exhibits 127 and

140.) Glisson sent, or caused to be sent, communications to CMKM’s new transfer

agent, Transfer Online, which contained instructions for the transfer of CMKM

shares to third parties. (See, e.g., Exhibits 97 to 110.)

52. In 2010, Tungwongsathong had three bank accounts at Sun Trust Bank

in Florida: (1) Account No. #########8392 (“ST 8392 Account”); (2) Account

No. #########8651 (“ST 8651 Account”); and (3) Account No. #########2437

(“ST 2437 Account”). Glisson was designated as a Payable on Death (“POD”)

beneficiary on each of the accounts. The ST 8392 Account and ST 8651 Account

were both active as of May 2008. The ST 2437 Account was opened in or around

July 15, 2010. The address on the statements for all three accounts was 3823

Tamiami Trail East, #567, Naples, Florida 34112-6224, which was a rented


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mailbox Glisson used to receive his mail. (See Exhibits 406-1 to 406-6.)

53. For most of his sales of CMKM stock in 2010, Glisson directed

purchasers to make payments to Tungwongsathong.

54. Glisson deposited, or caused to be deposited, proceeds from 2010

sales of CMKM stock into the ST 8651 Account.

55. During the period from April 14, 2009 through April 13, 2010, there

was very little activity in the ST 8651 Account. Account statements show a

beginning balance as of April 14, 2009, in the amount of $1,157.26, and an ending

balance as of April 13, 2010 of $129.98. During the year April 14, 2009 through

April 13, 2010, total monthly deposits into the account were never more than

$350.00.

56. Beginning with the statement for period April 14, 2010 through May

13, 2010, through at least October 14, 2010, there was substantial activity in the ST

8651 Account that was related to Glisson’s dealing in CMKM securities. Between

April 14, 2010 and October 14, 2010, total deposits into the ST 8651 Account were

approximately $1,626,399.05. A substantial amount of those deposits were from

Glisson’s dealing in deregistered CMKM stock.

57. On or about September 15, 2010, bank records show that $359,900

was withdrawn in “over-the-counter withdrawals” from the 8651 Account.

Between September 16 and September 30, 2010, additional withdrawals were

made from the 8651 Account, each under $10,000, until the 8651 Account was

closed on September 30, 2010.

58. In 2010, Glisson regularly used the Internet, telephones, and mail to

communicate with purchasers of CMKM securities. (See, e.g., Exhibits 127 and 140.)

59. In 2010, Glisson regularly communicated with the new transfer agent

for CMKM, Transfer Online, using the mails, Internet, and telephone, to transfer


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CMKM shares to those who purchased from him.

60. In or around April 2010, Glisson admitted to a third party: that he sold

over $200,000 of CMKM stock in a single week; he wanted to “dump” some of his

CMKM stock while there was some excitement about a lawsuit that had been filed

by some CMKM shareholders; that he was in the business of selling CMKM

securities; and that he needed a place to “park” $400,000.

61. In late 2006, Glisson “parked” large amounts of CMKM stock with

Tungwongsathong because he was in the process of divorcing Padilla.

62. In late 2006, Glisson transferred a large amount of cash from his

account at Blackhawk to Tungwongsathong’s BofA 9145 Account.

63. During the period 2005-2007, Glisson posted in Internet chat rooms

and expressed the opinion to potential purchasers of CMKM that it was the stock

of a lifetime and a great opportunity, or that once they bought and the shares were

registered with the CMKM Task Force, they just had to sit back and wait for the

assets to be distributed.

64. During the period 2005-2007, Glisson told prospective purchasers that

time may be running out because a cash payout might happen in the next 30 to 60

days, or that time was running out, or that he was getting low on shares. Glisson

told prospective purchasers in early 2006 to expect a payout in May or June.

65. During the period 2005-2007, Glisson told prospective purchasers that

the more CMKM shares they purchased, the better price he would give them.

66. Some of the people to whom Glisson sold CMKM stock in 2005-2007

were people whom Glisson did not know and never met.

67. Some of the people from whom Glisson purchased CMKM shares were

people whom Glisson did not deal with directly. For example, Glisson purchased

shares held in the name of a third party, Monte Verde Holdings and/or Rendal


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Williams, whom Glisson did not know and to whom he never spoke. Glisson

purchased the Monte Verde/Rendal Williams shares from Steven Brewer. Glisson

knew that Rendal Williams was the officer of a joint venture partner of CMKM.

68. On two separate occasions, in connection with the Commission’s

requests for the production of documents, Glisson has claimed that he was unable

to produce documents because of computer problems. Glisson claimed that his

computers malfunctioned which made it difficult or impossible to retrieve

responsive documents. Glisson also claimed that his computers were stolen which

made it impossible to produce responsive documents. With regard to the stolen

computers, Glisson never filed a police report reporting a stolen computer.

69. In 2007, Glisson and Tungwongsathong purchased shares in

Wordsmith Media, Inc. (“Wordsmith”). On or about August 13, 2010, Wordsmith

announced that it had received approval from the Financial Industry Regulatory

Authority (“FINRA”) to quote its common stock on the “OTC Pink Sheets” under

the ticker symbol WDIS.

70. At all times from December 2005 through 2010, there was no

registration statement in effect for any of the stock bought and sold by Glisson.

71. In 2005 or 2006, Glisson filled out forms to register to buy and sell

CMKM securities in various states. Glisson received the forms from someone he

met over the Internet, and sent them back to the individual. Glisson does not know

if the forms were ever filed. Glisson communicated with this individual by

telephone and e-mail.

72. On May 2, 2003, CMKM filed a registration statement on Form S-8,

pursuant to the provisions of the Securities Act of 1933, registering 1,060,000,000

shares of common stock. (Exhibit 399.)

///


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B. Defendant’s Contested Facts

1. Glisson was introduced to CMKM as a possible investment

opportunity in approximately April 2004; and, thereafter, he bought some CMKM

stock using his Ameritrade account which he had opened in Janesville, Wisconsin.

2. When Glisson first became acquainted with CMKM in 2004, he

thought CMKM stock could be the “chance of a life time” investment for him and

his family.

3. All of Glisson’s trading in CMKM stock in 2004-2005 utilizing his

account at Ameritrade occurred before the SEC revoked CMKM’s registration

under Section 12(g) of the Securities Exchange Act of 1934 on October 28, 2005,

after which time Ameritrade would no longer execute trades involving CMKM

stock for Glisson.

4. The offer, purchase and/or sale of stock of companies which are not

(or no longer) registered under Section 12(g) of the Securities Exchange Act of

1934 does not violate the registration provisions of Section 5 of the Securities Act

of 1933 if such transactions are conducted on a direct basis by and between

individual investors in private transactions (not involving a public offering of such

securities).

5. When Glisson first became acquainted with and started buying

CMKM stock, and thereafter, he was working full-time as an assembly line worker

in GM’s plant in Janesville, Wisconsin, and was working part time (6-8 hours per

day) in a fast food “Deli Dog House” restaurant owned and operated by Glisson

and this then wife Alma Padilla in Janesville.

6. Glisson had no background, training or experience in the securities

industry.

///


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7. Prior to purchasing CMKM stock, Glisson had almost no experience

investing in stocks or bonds.

8. Glisson’s purchase of CMKM stock was really his first interest and

investment in any publicly traded stock.

9. During the period covered by the Complaint in this action, CMKM

was the only public company stock owned by Glisson.

10. Glisson was never an officer, director or controlling person of

CMKM.

11. Other than as a shareholder of CMKM, Glisson never had any

business or other relationship with CMKM and/or CMKM’s management or

related persons including John Edwards, Urban Casavant, Brian Dvorak, Ginger

Gutierrez or James Kinney.

12. Glisson never purchased any shares of CMKM stock from CMKM or

any officer, director or controlling shareholder of CMKM.

13. During the time period relevant to this action, CMKM’s Articles of

Incorporation as filed by the State of Nevada authorized the issuance of 800 Billion

(800,000,000,000) shares of CMKM stock.

14. Glisson understands that substantially more than 800 Billion shares of

CMKM stock were actually issued and outstanding during the period of time that

he was buying and selling CMKM stock, maybe as much as a Trillion shares.

15. In order for Glisson to have ever owned one (1) percent or more of

CMKM’s reported issued and outstanding shares of stock during the period

covered by this action, he would have had to own (or record and/or beneficially)

more than 7 Billion (7,000,000,000) shares of CMKM stock.

16. Glisson’s personal ownership of CMKM stock was always less than

one-percent (1%) of CMKM’s total issued and outstanding shares of stock.


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17. During the period of time when CMKM stock was trading on the OTC

“Pink Sheets” (August 2003– April 2005), volume of trading in CMKM stock

frequently exceeded one Billion shares - - and sometimes exceeded two Billion

shares - - per day.

18. During the five year period ended 2007, approximately 40,000 people

bought CMKM stock.

19. Following 1st Global’s resignation as CMKM’s stock transfer agent in

April 2007, CMKM did not appoint a successor transfer agent until it appointed

Transfer Online, Incorporated as its new stock transfer agent in April 2010.

20. From April 2007 until April 2010 (a three year period), CMKM had

no stock transfer agent, and CMKM stockholders including Glisson could not

register for transfer or otherwise transfer shares of CMKM stock on CMKM’s

stock transfer books and records.

21. All of the CMKM stock purchased and owned by Glisson was validly

issued and outstanding shares of CMKM stock as indicated on the books and

records of CMKM’s independent transfer agents (1st Global and, subsequently,

Transfer Online).

22. 1st Global served as CMKM’s independent stock transfer agent in

2004 and continuing until April 2007 (and Transfer Online served as CMKM’s

independent stock transfer agent from April 2010 to the present time).

23. Glisson worked with the CMKM Task Force, which was trying to

certify the validity of all outstanding shares of CMKM stock, to ensure that all

shares represented by certificates he purchased and held were in fact validly issued

and outstanding as represented by such certificates.

24. Bill Frizzell, a CMKM executive, assured Glisson in an e-mail on

April 5, 2007 that, if he held certificates for CMKM stock issued by 1st Global


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Stock Transfer, they will be recognized by CMKM.

25. Glisson never purchased and sold any shares of CMKM stock on or

utilizing the services of any national securities exchange (except for the shares he

purchased in 2004-2005 using his Ameritrade account).

26. In December 2005 and thereafter, all of Glisson’s purchases and sales

of CMKM stock were directly with the seller and buyer, respectively, of such

stock.

27. Glisson never held himself out to any one or otherwise provided any

services as a securities broker, dealer or investment advisor.

28. Glisson never owned or operated a business which provided securities

broker and/or dealer services.

29. Glisson did not extend or arrange for credit to be extended to persons

who bought or sold CMKM stock from or to him.

30. Glisson did not lend CMKM stock to anyone.

31. Glisson did not hold money in any account for persons who bought or

sold CMKM stock from or to him.

32. Glisson did not hold or otherwise provide “safe keeping” services for

the securities owned by persons who bought or sold CMKM stock from or to him.

33. Glisson did not provide investment advice to persons who bought or

sold CMKM stock from or to him.

34. Glisson did not accumulate and report information concerning the

price at which other persons were trading (buying or selling) shares of CMKM

stock to any of the persons who bought or sold CMKM stock from or to him.

35. Glisson did not perform underwriting services for the issuance of

securities by any issuer or any person.

36. Glisson never acted as a specialist on any organized securities


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exchange or trading system.

37. Glisson did not make discretionary decisions as an agent for persons

who were interested in buying or selling CMKM stock from or to him concerning

such transactions.

38. Glisson did not open or carry any securities accounts as an agent for

any person.

39. Professionals in the securities markets did not engage in any

transactions whereby they bought or sold CMKM stock or any other securities

from or to Glisson.

40. Glisson never gave any person who bought or sold CMKM stock from

or to him any business card indicating that Glisson was a securities broker, dealer

or investment advisor.

41. Glisson never used any letter head stationary indicating that he was a

securities broker, dealer or investment advisor.

42. Glisson never paid for any form of print media (newspaper,

magazines, bill boards, flyers) advertisement indicating that he was providing

securities broker or dealer services or providing any kind of investment advice.

43. Glisson never communicated using the internet or any means of mass

marketing, advertising or otherwise indicating that he was in the business of

providing broker or dealer services or providing any kind of investment advice.

44. Glisson never bought or sold shares in any public company (other

than CMKM) directly from or to any person or entity.

45. Glisson did not hold himself out as anyone who engaged in buying

and selling securities at a regular business location.

46. Glisson had no regular place of business/location where persons who

were interested in buying or selling CMKM stock came to deal with Glisson.


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47. Glisson never acted as a broker or agent or otherwise effectuated

transactions in CMKM stock for the account of any other person or entity in return

for a broker’s fee or other similar consideration for professional services.

48. Glisson never had any company, any office, business location/address,

any telephone number, any letterhead/business card, any employees, any furniture,

fixtures or equipment, any solicitation brochures or other written material or

otherwise conducted any business activity that could be reasonably characterized

as being in the securities business as a broker, dealer or otherwise.

49. Glisson was never employed by or otherwise worked for any

securities broker, dealer or investment advisor.

50. Glisson never intended to or did “make a market” (provide liquidity

and thus support and stabilize the public trading market) for CMKM stock.

51. Glisson never worked with or otherwise assisted any registered

securities broker-dealer to promote, offer to sell or sell any CMKM stock.

52. Glisson never engaged in any activity with CMKM for purposes of

issuing, trading or inducing or attempting to induce the purchase or sale of any

shares of CMKM stock.

53. Glisson never engaged in any activity with any securities broker or

dealer, or any issuer including CMKM, for purposes of issuing, trading, or

inducing or attempting to induce the purchase or sale of any shares of CMKM (or

any “penny stock”).

54. If Glisson's trading activity in CMKM stock did not result in him

being in the business of providing securities "broker" or "dealer" services, then his

trading activities in CMKM stock, after the time that CMKM's registration

statement under the Securities Exchange Acts was revoked by the SEC on October

28, 2005, would not have violated any Federal securities laws, rules or regulation.


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55. Glisson’s sales of CMKM stock never involved, in whole or in part,

any unsold allotment of securities in the public or other distribution of CMKM

securities by CMKM or any underwriter of such securities for CMKM.

56. Glisson’s trading in CMKM stock was infrequent and sporadic; for

example, during the (i) December 2005 through January 2007 period covered by

the SEC’s Complaint, actual purchases and/or sales of stock took place on only

18% of the days covered by such period (75 out of 420 days).

57. During the expanded period December 2005 through April 2007

referenced in the SEC’s Complaint, purchases and/or sales of CMKM stock by

both Glisson and Tongwongsathong took place on only 17% of the days in such

period (87 out of 510 days).

58. During the December 2005 through November 2006 period referenced

in the SEC’s Complaint, purchases and/or sales of CMKM stock by Glisson took

place on only 16% of the days in such period (57 out of 365 days).

59. Glisson never regularly (daily, almost every day, routinely or

systematically) purchased and/or sold CMKM stock.

60. Glisson never bought and sold any securities of any public company

stock including CMKM stock on a regular, daily basis over any extended (5-10

days or more) period of time.

61. All of Glisson's purchases and sales of CMKM stock in 2004, 2005,

2006, 2007 (and 2010) were for his own investment account and personal benefit.

62. The total number of times (days) that Glisson bought and/or sold

CMKM for his own investment account in the three (3) years referenced in the SEC’s

Complaint following the revocation of CMKM’s registration under Section 12(g) of

the Securities Exchange Act of 1934 is as follows: 2005 – 6; 2006 – 55; and 2007 –

4 - - totaling 75 days out of the total 1,095 days in such three year period.


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63. In 2010, Glisson never purchased any CMKM stock, and he sold

CMKM stock on only six-seven (6-7) days in 2010.

64. From and after April 2007 through April 1, 2010 (approximately 3

years), Glisson did not buy or sell any CMKM stock.

65. At least from December 2005 through May 2006, and September

2006 through April 2007, Glisson communicated with the transfer agent for

CMKM, 1st Global for the purpose of transferring CMKM shares to his

purchasers. (See, e.g., Exhibits 4-1 to 4-22; Exhibits 35-1 to 35-44). These letters

to 1st Global directed the total transfer (purchases and sales) of over 22 billion

shares of CMKM stock during such twelve month period of time which

represented approximately three percent (3%) of CMKM's total issued and

outstanding shares of stock during such period of time - - and a miniscule amount

of the total number of CMKM shares traded (purchases and sales) in the market for

CMKM stock during such period of time. See Exhibits 400 and 534-535.

66. As shown by Exhibits 35-1 to 35-44, between December 9, 2005 and

May 11, 2006, Glisson sent 45 letters of instruction to 1st Global to issue CMKM

certificates to persons purchasing CMKM stock. These letters of instruction

resulted in the issuance of approximately 204 certificates for CMKM stock to

persons other than Glisson during such six month period of time. The total number

of shares transferred by these letters was 5,722,561,979, representing less than one-

percent (.008) of the total number of shares of CMKM stock issued and

outstanding during such period of time. (See Exhibits 35-1 to 35-44; and Exhibits

400 and 534-535).

67. As shown by Exhibits 4-1 to 4-22, between October 16, 2006 and

January 16, 2007, Glisson sent 22 letters of instruction to 1st Global to issue

CMKM certificates to persons purchasing CMKM stock from Glisson. These


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letters of instruction resulted in the issuance of approximately 1,366 certificates for

CMKM stock to persons other than Glisson and Tungwongsathong. The

total number of shares transferred by these letters (including to Glisson's family

and friends where indicated) during such four month period of time was

17,635,622,033, representing approximately two and one-half percent (2.5%) of

the total number of shares of CMKM stock issued and outstanding during such

period of time - - and a miniscule amount of the total number of CMKM shares

traded (purchases and sales) in the market for CMKM stock during such period of

time. (See Exhibits 35-1 to 35-44; and Exhibits 400 and 534-535).

68. Prior to May 2005, Glisson never bought any CMKM stock as a result

of contacts he made using the internet.

69. Prior to December 2005, Glisson never sold any shares of CMKM

stock.

70. After April 1, 2010, Glisson never purchased any CMKM stock.

71. Glisson never both bought and sold any shares of CMKM stock in

2010.

72. Glisson has never had any signature power over, or any current

ownership interest in, any bank account in the name of Thidarat

Tungwongsathong.

73. When they were married, Glisson did not have signatory power over

Alma Padilla’s personal bank accounts at Blackhawk Community Credit Union in

Janesville, Wisconsin.

74. Glisson always acted on his own, as a private investor, in his

purchasing or selling shares of CMKM stock.

75. All purchases and sales of CMKM stock by him were for his own

account and benefit.


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76. From the outset. it was Glisson’s intention to try to accumulate as

many shares of CMKM stock as he could as an investment for retirement; and,

later on, he only sold shares when there was an opportunity to do a transaction

which would provide him with additional funds to use to purchase more CMKM

shares than he had sold for such purpose.

77. In buying CMKM shares in 2004-2006, Glisson was never trying to

make a profit from such individual transactions but, rather, he was trying to

increase his holdings of CMKM stock with the intention and hope that such

investment would increase in value over the long term.

78. Glisson’s objective to accumulate shares of CMKM stock continued

up to a point in time in late 2006 or early 2007 when he realized just how many

shares he had purchased and owned at which point in time he thought it would be

prudent for him to pare down the number of shares of CMKM stock which he

owned.

79. Glisson frequently lost money on his CMKM stock transactions when

he sold shares for less than he had paid for them - - typically when he lost track of

what he had paid for the shares he was selling which sometimes was as much as

$.0005 per share.

80. Through internet “chat rooms” visited by persons interested in

CMKM stock, Glisson met fellow shareholders and other CMKM “believers” (and

some “disbelievers”), and he became friends with some of such persons.

81. One stock investing internet site (Stockwatch.com) reporting on the

CMKM story said, said, “ Whether by design or chance, CMKM has managed to

attract a remarkably large number of naïve, excitable, imaginative and intensely

loyal shareholders, many of whom brought relatives, friends, co-workers and other

acquaintances into the stock. Indeed. CMKM seems to have tapped into a


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promoter’s dream, a growing, proselytizing vanguard of believers zealously

searching out potential converts for the promotion.”

82. Most all of the persons who approached Glisson to express their

interest in selling or buying CMKM stock knew some one who knew Glisson and

they telephoned Glisson or sent him an e-mail.

83. The people who came to Glisson to buy or sell CMKM stock knew

Glisson from some source other than their participation with Glisson in some

internet chat room.

84. Glisson never used the internet to advertise or otherwise solicit the

purchase or sale of CMKM stock with him.

85. Prospective purchasers or sellers of CMKM stock who dealt with

Glisson came to him to buy or sell CMKM stock - - not for broker-dealer services

or any kind of investment advice.

86. Glisson sometimes tried to assist persons who approached him and

told Glisson they wanted to sell or buy CMKM stock.

87. Glisson never solicited persons to buy or sell CMKM stock from or to

him.

88. Glisson persuaded family and friends to invest in CMKM stock.

89. Starting in the 4th Quarter of 2005, Glisson made gifts of a substantial

number of CMKM stock (approximately 678,536,000) which he owned to family,

friends and other persons so they could benefit from owing CMKM stock.

90. Glisson also made a gift of approximately 32,000,000 shares of

CMKM stock to his girlfriend Thidarat Tongwongsathong in late 2006 so she

could benefit from owning shares of CMKM stock.

91. Later, in 2010, a Trust which had received shares from Glisson,

conducted the “Just In Time” charitable gifting program to persons who were


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facing difficult circumstances.

92. In January 2007, Ms. Tungwongsathong purchased approximately 9.3

billion shares of CMKM stock from a CMKM shareholder named Steve Brewer - -

which shares (gifted and purchased) of CMKM stock were registered in her name

and maintained as her separate property.

93. Prior to meeting Glisson, Tungwongsathong had obtained her M.B.A.

degree from Missouri State University, and she had been working in various

business positions in the United States.

94. Since Glisson’s “delidoghouse” e-mail address had been used and was

convenient for purposes of CMKM communications, Thidarat Tungwongsathong

some times used such e-mail account/address when she communicated with

persons concerning her purchase or sale of CMKM stock.

95. Glisson did not have any ownership interest in the shares of CMKM

stock owned by Tungwongsathong, and he never exercised any ownership or

control over any such shares of stock and he never received any of the proceeds of

the CMKM stock registered to and sold by Tongwongsathong.

96. From time to time, Glisson some times assisted Tungwongsathong

with her purchase or sale of CMKM stock owned and registered to her, but that did

not mean he was the owner or shared ownership with her or received any of the

proceeds from the sale of such stock - - all of the proceeds from which were

deposited into bank account(s) owned exclusively by her.

97. Tungwongsathong made the decision if and when she wanted to buy

or sell CMKM stock owned by and registered to her, not Glisson.

98. Glisson never had any joint ownership, or any signatory power or

control, over any of Thidarat Tungwongsathong’s bank accounts, including her

account(s) at the Bank of America opened in Las Vegas, Nevada.


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99. Except for his trading CMKM stock through his account at

Ameritrade, all of Glisson’s transactions in CMKM stock during the 2005-2007

period referenced in the SEC’s Complaint were on a one-on-one (person-to-

person) basis with the sellers and buyers of such stock.

100. None of such transactions by Glisson in CMKM stock during such

period of time were conducted on or using the facilities of any national or other

securities exchange.

101. None of Glisson's transactions in CMKM stock were conducted by

Glisson purporting to act as an issuer, underwriter or dealer in securities.

102. During the 2005-2007 period, CMKM never filed a registration

statement under Section 5 of the Securities Act of 1933, so none of Glisson’s

transactions in CMKM stock during such period took place following the filing of

any such registration statement by CMKM.

103. Since CMKM never conducted any registered offering of any of its

securities in the 2005-2007 period, none of Glisson’s transactions during such

period of time, where he bought or sold any CMKM stock, ever took place within

45 days following the offer and sale of CMKM stock to the public or any one

acting as an underwriter for CMKM stock in any such public offering.

104. Glisson’s transactions in CMKM stock never involved, in whole or in

part, any unsold allotment of securities in the public distribution of CMKM stock

by CMKM or any underwriter of such securities for CMKM.

105. As far as Glisson knows, the revocation by the SEC of CMKM’s

registration statement under Section 12(g) of the Securities Exchange Act of 1934

did not affect the legal validity of outstanding shares of CMKM stock (no such

outstanding shares were “deregistered”); and all outstanding shares remained

validly issued and outstanding, fully paid and non-assessable.


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106. As far as Glisson knows, having made specific inquiries to CMKM’s

stock transfer agent(s), none of the shares of CMKM stock which he ever owned

was “deregistered” stock and all such shares of stock and the certificates therefore

were validly issued and outstanding on CMKM stock transfer books and records.

107. As far as Glisson knows, all of the shares of stock of CMKM owned

by Glisson were “free trading” shares.

108. None of the shares of CMKM stock owned by Glisson were the

subject of any restriction on transfer issued by CMKM, and none of the certificates

for shares of CMKM stock owned by Glisson carried any legend restricting the

sale and transfer of such shares or otherwise notifying Glisson (or any transferee)

that such shares were not “free trading” shares.

109. As far as Glisson knows, including having inquired of 1st Global

Stock Transfer (and Transfer Online) no “stop “transfer” instructions were ever

issued by CMKM, or otherwise maintained by CMKM’s stock transfer agent(s), in

respect of the certificates or shares of CMKM stock which he bought, sold or

otherwise owned.

110. On and after October 28, 2005, when CMKM’s registration statement

under the Securities Exchange Act of 1934 was revoked by the SEC, for CMKM’s

failure to keep its ‘34 Act reporting information current, neither CMKM or its

stock transfer agent(s) attempted to put any kind of restrictive legend on

outstanding certificates held by CMKM stockholders including Glisson and they

did not issue any kind of “stop transfer” instructions in respect of such outstanding

shares of CMKM stock - - including when new certificates were issued covering

such shares of previously outstanding stock.

111. At no time after October 28, 2005, did the SEC make any kind of

public release or statement advising that CMKM shareholders were no longer


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capable of buying or selling CMKM stock without violating the Federal securities

laws.

112. CMKM’s transfer agent(s) never advised Glisson that there was any

reason he should refrain from buying or selling CMKM stock for any reason.

113. CMKM’s stock transfer agent(s), 1st Global (and Transfer Online)

never refused to register the transfer of shares of CMKM stock owned by Glisson

or advised him that there was any prohibition or limitation of any kind on his

purchase, sale and/or transfer of such shares.

114. Glisson looked to 1st Global (and Transfer Online) to advise him as to

any legal questions that might pertain to the shares of CMKM stock which he was

buying or selling.

115. Transfer Online, when they started acting as CMKM’s stock transfer

agent in April 2010 and then learned about the SEC’s lawsuit against Glisson, sent

a written communication to the SEC inquiring if there was any reason that Transfer

Online should cease providing regular stock transfer services to Glisson in respect

of CMKM stock registered to him; but, according to Transfer Online, the SEC

never responded to Transfer Online’s inquiry or otherwise advised Transfer Online

to cease providing regular stock transfer services for Glisson’s CMKM stock.

116. The SEC has never initiated any action to prevent CMKM’s stock

transfer agents from transferring shares (and registering such transfers) of CMKM

stock on the CMKM’s stock transfer books and records.

117. During the course of the SEC’s investigation concerning Glisson

commencing in 2006 resulting in the filing of this action against Glisson in 2009,

Glisson repeatedly asked the SEC Staff to please state in writing to him, if they

believed it was the case, that his transactions in CMKM stock actually violated any

Federal securities laws, rules or regulations; and the SEC never sent Glisson


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(including his attorneys) any such notice, statement or opinion.

118. Glisson told the SEC Staff on more than one occasion prior to the

filing of this injunctive action that, since they would not state that they believed he

was doing anything wrong in buying and selling, CMKM stock, he intended to

retain the flexibility to continue buying or selling CMKM stock; but that he would

immediately stop such activity if and when any court or other similar authority

advised him that such investment activity constituted a violation of the Federal

securities laws.

119. At no time during the SEC’s investigation did Glisson’s securities

attorney, Terry D. Nelson, Esq., of Foley and Lardner in Milwaukee, Wisconsin,

tell him that his purchasing and/or selling CMKM stock constituted a violation of

the Federal securities laws.

120. If CMKM’s transfer agent or any one else including the SEC Staff had

ever told Glisson that he was actually violating any securities laws by buying and

selling CMKM stock he would have immediately stopped such activity.

121. During the course of the SEC’s investigation of Glisson’s activity in

relating to CMKM stock (2006-2009), the SEC Staff provided him with written

notice that the initiation and pendency of the investigation did not mean that the

SEC including the Staff had made any kind of determination that Glisson had

actually violated any Federal securities laws.

122. Transfer Online charged Glisson ($25 per cert) the same amount for

requested stock transfers (cancelling the old certificates and issuing new

certificates) as they charged any other stockholder - - not the higher amount that

Transfer Online charged securities brokers who submitted requested stock

transfers.

123. Sometimes to try and save the stock transfer agent’s fee, Glisson


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would hold a certificate for shares he had purchased/owned and submit it later

when he was requesting the stock transfer for shares he had subsequently sold.

124. CMI (Casavant Mining, Inc.) is a company affiliated with CMKM

(both companies were under the control of the Casavant brothers).

125. CMI has never filed a registration statement with the SEC under either

the Securities Exchange Act of 1933 or the Securities Exchange Act of 1934, and

the shares of CMI have never been listed on or quoted for trading on any national

securities exchange.

126. CMI is not, and has never been, a publicly traded company.

127. Glisson never engaged in any activity with CMI or any securities

broker or dealer for CMI or otherwise for purposes of issuing, trading or inducing

or attempting to induce the purchase or sale of any shares of CMI.

128. Whenever Glisson purchased or sold CMKM stock, he incurred out-

of-pocket expenses associated with such stock transactions including without

limitation transportation (air freight) expenses and fees paid to CMKM’s stock

transfer agent(s).

129. In order to try to compute the “profit” or “gain” that Glisson made

buying and selling CMKM stock, like any investor, Glisson would need to

compute the gross proceeds from his sales of CMKM stock (including losses

incurred in any such transactions), reduce the gross proceeds by the cost of the

shares that Glisson had purchased then resold, then reduce the resulting amount

further by computing the related costs and expenses incurred and paid to third

parties as a result of such trading (such as brokerage commissions if any, transfer

agent fees/expenses, shipping costs/expenses, etc.) and further reduce the resulting

amount by any Federal and state tax obligation due and owing in respect of each

individual transaction.


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130. Glisson does not have the financial wherewithal to pay the substantial

money damages the Plaintiff is seeking in this case.

131. Glisson has no intention of buying or selling any CMKM stock in the

future.

132. Glisson never has in the past and has no intention of working with any

issuer, broker, dealer or promoter in connection with the sale of any “penny stock”

in the future.

133. Glisson is not the current registered or beneficial owner of any shares

of CMKM stock.

134. Glisson has no more CMKM stock.

135. Glisson does not own any securities of any public company.

136. Glisson is retired, and living in Florida.

137. Glisson has no intention of entering or otherwise conducting in the

future any business which involves providing securities broker or dealer services

and/or purchasing, offering and/or selling the securities of any public company in

any unregistered or registered offering and/or sale of any such securities.

VI.

The following are the issues of law to be tried and determined upon trial.

(Each issue of law must be stated separately and in specific terms)

A. Plaintiff’s Statement of Issues of Law

1. Whether defendant Glisson violated Section 15(a) of the Exchange

Act by effecting transactions in the securities of CMKM in interstate commerce

while not registered as a broker or a dealer in accordance with the requirements of

the federal securities laws, specifically Section 15(b) of the Exchange Act.


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2. Whether defendant Glisson violated Sections 5(a) and 5(c) of the

Securities Act by selling, and offering to buy and sell, or delivering after sale, in

interstate commerce, securities of CMKM, while no valid registration statement

pertaining to CMKM was in effect and no exemption from registration applied.

3. Whether defendant Glisson, acting as an unregistered broker or

unregistered securities dealer, violated Sections 5(a) and 5(c) of the Securities Act

by selling, and offering to buy and sell, or delivering after sale, in interstate

commerce, securities of CMKM, while no valid registration statement pertaining to

CMKM was in effect and no exemption from registration applied.

4. Whether, if the Commission establishes Glisson’s violation of Section

15(a) of the Exchange Act, and/or Sections 5(a) and 5(c) of the Securities Act, the

Commission is entitled to the following relief:

a. a permanent injunction prohibiting Glisson from engaging in

future violations of the violated provisions,

b. disgorgement of Glisson’s ill-gotten gains, with prejudgement

interest thereon;

c. a civil penalty pursuant to Section 20(d) of the Securities Act

and Section 21(d)(3) of the Exchange Act; and

d. a penny stock bar pursuant to Section 21(d)(6)(A) of the

Exchange Act.

///

///

///

///

///

///


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B. Defendant’s Statement of Issues of Law (including fact and law)

1. Was there any thing wrong (any violation of Federal securities laws, rules

and regulations) with Glisson and other CMKM shareholders continuing to buy

and sell CMKM stock among themselves after the SEC revoked CMKM’s

registration of its securities under Section 12(g) of the Securities Exchange Act of

1934?

2. Was Glisson in the business of providing securities broker or dealer

services requiring his registration under Section 15(a) of the Securities Exchange

Act of 1934?

3. Is the determination as to whether or not Glisson was in the business of

providing securities broker/dealer services for purposes of Section 15 of the

Securities Act of 1934 as alleged by the SEC in this case (the “trader” versus

“dealer” distinction) properly made using the criteria set forth in the SEC’s own

General Release [Sec.Ex.ActRel, 46,745, 78 SEC Dock., 21348, 2143 (2002)]

directed at and providing guidance in respect of such distinction and

determination?

4. Is expert testimony required for purposes of determining whether Glisson

was in the business of providing securities broker or dealer services as defined

under applicable Federal securities laws?

5. Can any one be found to have been a securities broker (in the business of

providing brokerage services) on the basis of such person's involvement in a single

instance/transaction during the last seven year period of allegedly having provided

"broker like" services as the Plaintiff has alleged in this case?

6. Are the statutes cited by the Plaintiff in its Complaint alleged to

constitute or provide a basis upon which Glisson can be found to have violated

such laws, vague and ambiguous (registration as a broker/dealer) so as to be


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unenforceable and/or directly relevant to the issue of reasonable likelihood that

Glisson will violate any such laws at any time in the future?

7. Can the number of shares involved, and the number of transferees, in and

of themselves determine whether a person, who is engaged in buying and selling

securities for such person's own account, is no longer a private "investor or "trader"

and has been turned into a securities dealer for purposes of Section 15(a)(1) of the

Securities Exchange Act of 1934?

8. Did Glisson offer and sell CMKM securities in a public offering

requiring the filing of a registration statement under the Securities Act of 1933

covering the offering and sale of CMKM securities by Glisson?

9. Did Glisson have the ability to cause a registration statement to be filed

by CMKM covering the offering and sale of CMKM stock by Glisson?

10. Was the offer and sale of CMKM securities by Glisson exempt from

registration under Section 5 of the Securities Act of 1933 by virtue of one or more

exemptions including Section 4(1) and 4(3)(A) and (B) of the Securities Act of

1933?

11. Did Glisson hold himself out to be a broker/dealer in CMKM stock

and/or did any person who bought CMKM stock from Glisson rely upon him to

provide broker/dealer services or any kind of investment advice in connection with

their decision to buy CMKM stock from Glisson?

12. Did Glisson actually provide any broker or dealer services to any one?

13. If Glisson is found to have violated the Federal securities laws as a

result of the technical and complex Section 15 “unregistered broker/dealer” and

related Section 5 registration claims alleged by the SEC, is there a basis for the

Court to conclude that, unless permanently enjoined, it is likely that Glisson will

violate such registration requirements in the future, including where Glisson (i) had


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no securities regulatory history prior to investing in CMKM stock, (ii) where

CMKM stock is the only public company stock Glisson ever bought and sold, (iii)

where Glisson was not aware that he was required to register as a broker/dealer

before he traded CMKM stock and no one advised to the contrary, (iv) where

Glisson has indicated that he has no intention to purchase or sell any public

company stock in the future, (v) where Glisson has no current financial ability to

purchase/sell the stock of any publicly traded company, (vi) where the basis for the

SEC’s action is highly technical and complex in nature (failure to comply with the

broker/dealer registration requirement) and involved no fraud or deceptive act or

practice by Glisson or any one he was associated with, and/or (vii) where Glisson

has no background, training or experience in the securities industry and Glisson is

a retired auto worker living in Florida?

14. Was Glisson’s failure to register as a broker/dealer under the Securities

Exchange Act of 1934 a result of his reliance on advice of counsel so that it cannot

be concluded that such violation will be repeated by Glisson any time in the future

following any actual determination in this case that such registration was actually

required?

15. Is there a jurisdictional basis (the involvement with [other than] Glisson

of a broker/dealer in the offer and sale of “penny stock” securities by Glisson) for

the imposition of a “penny stock bar” as required by Sections 3(a)(18) and

15(b)(6)(c) of the Securities Exchange Act of 1934 as the basis for any such bar?

16. Is there a basis to conclude that, unless enjoined by the Court, it is likely

that Glisson will engage in unlawful “penny stock” transactions in the future

separate and distinct from the “unregistered broker/dealer” claims asserted in the

Complaint in this action?

17. Does Glisson have any legally recognizable and enforceable interest in


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the shares of CMKM stock owned and registered in the name of his then girlfriend

now wife, who was not even identified by name in any of the allegations set forth

in the Complaint and who is not a party to this action, which shares were

subsequently sold and the proceeds deposited into such person’s individual bank

account and otherwise retained as her own property, so that the Plaintiff is entitled

to any relief in respect of such shares, proceeds from the sale thereof or otherwise;

and does any such determination in favor of the Plaintiff in this case implicate such

person’s due process rights to such property?

18. Is the disgorgement remedy and the amount sought by the SEC

appropriate given the facts and circumstances of this case, namely (i) in respect of

sales by both Glisson and his former girlfriend, now wife, for their individual

accounts as sought by the Plaintiff, (ii) where the amount of disgorgement is based

upon gross sales proceeds without taking into account the other economic aspects

involved in determining the profit or gain that Glisson actually received from the

sale of CMKM stock, (iii) where the lack of broker/dealer registration by Glisson

did not cause or otherwise result in any loss or harm to the people who bought

CMKM stock from Glisson, (iv) where no person who bought CMKM stock from

Glisson requested that Glisson return what they paid to Glisson in consideration of

the return of the stock that Glisson purchase, sold or transferred to such persons,

(v) where Glisson never received any of the proceeds realized from the sale of

CMKM stock his wife bought or otherwise acquired before they were married or

afterward, (vi) where Glisson does not retain any of the proceeds from any of his

sales of CMKM stock, (vii) where Glisson has no financial capability to pay such

requested disgorgement amount or prejudgment interest, and (viii) where no

further disincentive is needed to persuade Glisson to comply with the applicable

broker/dealer registration requirements once there is a determination of the


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broker/dealer registration issue in this case?

19. Is any of the gross proceeds disgorgement amount sought by the

Plaintiff actually a penalty as opposed to being merely remedial?

20. Is the award of prejudgment interest justified and otherwise appropriate

in this “technical/complex violations” registration (non-fraud/deceit) case?

21. Is the imposition of a “third-tier” fine/penalty against Glisson justified

and permissible in light of the lack of any allegation of fraud, deceit, manipulation

or reckless disregard for a regulatory requirement alleged by the Plaintiff in the

Complaint (or proven at trial)?

22. Is the SEC’s broker/dealer registration requirement under Section

15(a)(1) of the Securities Exchange Act of 1934, as it applies to the facts of this

case and Glisson, clear enough that Glisson can be reasonably found to have

recklessly disregarded any such actual requirement, including where the SEC Staff

failed and refused to advise Glisson that they had concluded, as a result of their

investigation, that Glisson was actually and in fact in violation of such requirement

and where Glisson’s own securities attorney could not reach a conclusion that such

broker/dealer registration was actually required by law?

23. Is the monetary relief requested by the Plaintiff, including

disgorgement, prejudgment interest and third-tier penalties excessive given the

nature of the Plaintiff’s allegations and claims against Glisson?

///

///

///

///

///

///


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VII.

(a) The following joint exhibits are stipulated into evidence in this case and

may be so marked by the clerk:

Joint Exhibit List

(Exhibits Stipulated as Admissible into Evidence)

Exhibit No.

Description

4-1 December 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 70987-71086 (100 certs) representing 999,999,900 CMKM shares (MG 1)

4-2 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 09430, 09502, 11270, 11343, 11650, 11712 representing 10,843,232 CIM shares (MG 2)

4-3 April 5, 2007 email from Bill Frizzell re “bonfied certs” [sic] (MG 3)

4-4 December 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 86813 representing 25,979,901 CMKM shares (MG 4)

4-5 November 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 11479 representing 6,656,000 Casavant International Mining Corporation shares (MG 5)

4-6 October 19, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 16214 representing 500,000,000 CMKM shares (MG 6-11)

4-7 October 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 16214, reallocating 90,000,000 shares from Marco Glisson to 17 individals (MG 12-13A)


4-9 November 1, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 17601 representing 500,000,000 CMKM shares (MG 23-32)

4-10 November 1, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 17602 representing 500,000,000 CMKM shares (MG 33-38)


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4-11 November 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 17602 reallocating 258,000,000 shares from Marco Glisson to 29 individuals and 80 million remaining with Glisson and Thidarat Tungwongsathong (MG 39-43)

4-12 January 25, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 87477 & 87478 representing 100,000,000 CMKM shares (MG 44-48)

4-13 January 17, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 87325 representing 500,000,000 CMKM shares (MG 49-54)

4-14 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 86597, 86698, 87247 & 87244 representing 3,210,000,000 CMKM shares (MG 55-56)

4-15 January 8, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 86839, 86940, 16720, 56002, 87149, 87147 & 87146 representing 271,500,000 CMKM shares (MG 57-63)

4-16 January 2, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 87044 representing 801,000,000 CMKM shares (MG 64-69)

4-17 December 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 73311, 86224, 86840 & 86841 representing 209,000,000 CMKM shares (MG 70-73)

4-18 December 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 16465, 16492 & 16133 representing 2,300,000,000 CMKM shares (MG 74-100)

4-19 November 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 47006, 47003 & 16569 representing 5,000,000,000 CMKM shares (MG 101-132)

4-20 November 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 77011, 78567, 80699, 85963 representing 1,107,299,000 CMKM shares (MG 133-157)


4-22 November 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 79173, 79784 & 79799 representing 500,000,000 CMKM shares (MG 167-177)

5 In the Matter of CMKM Diamonds, Inc. -- Order Dismissing Review Proceeding and Notice of Finality (SEC Rel. No. 52694 / October 28, 2005 / AP-3-11858)


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12 December 15, 2005 letter from Judith A. Behrens to Marco Glisson re purchase and sale of Certificate No. 21447 for 185 million shares of CMKX Diamonds, Inc., to be purchased by and reissued to James L. McQueen (190/436)

13 December 19-20, 2005 email string between Jim McQueen and Marco <[email protected]> re: “Thanks for your Patience” (161/436 & 162/436)

14 December 17, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson (189/436) re certificate no. 21447 representing 250 million shares (189/436)

18 December 6, 2005 letter from Samuel H. Seymour to Marco Glisson re sale and purchase of 30 million shares CMKX Diamonds, Inc. for $15,000.00 (256/436)

20 December 15, 2005 email from Marie Loch to <[email protected]> re: “our conversation” (160/436)

21 December 19, 2005 letter from Robert Loch & Marie Loch to Marco Glisson re sale and purchase of certificate nos. 30144 and 30145 representing 19,999,998 shares of CMKM Diamonds, Inc. for $4,000.00 (183/436)

22 December 20, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 30144 representing 9,999,999 CMKM shares (166/486)

23 March 8, 2006 email from Reg D. Barrow to <[email protected]> re: “CMKX wire info” (93/436)

24 April 25, 2006 email from Reg D. Barrow to <[email protected]> re: “Stock Sell Purchase Agreement” for sale of 303 million shares CMKM for $US36,000.00 (43/436)

25 May 4, 2006 email from Still Waters Revival Books (Reg D. Barrow) to <[email protected]> re: “Stock Sell Purchase Agreement (May 3, 2006)” for sale of 401,000,004 shares CMKM for $US68,000.00 (133/436)

26 March 29, 2006 email from Steven Brewer to <[email protected]> re: “CMKX CERT” (285/436)

27 January 25, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson (326/436) re certificate no. 29079 representing 9,999,999 CMKM shares (326/436)

28 March 29, 2006 Blackhawk Community Credit Union Wire Transfer Request in the amount of $46,125.00 from Marco Glisson, account number ##8307 for the benefit of Steven M. Brewer & Kerry L. Brewer (264/436)

29 March 4, 2006 email from Edwin Banks to <[email protected]> re: “CMKM certificates” (89/436)

30 March 24-25, 2006 email string Email from Edwin Banks to


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<[email protected]> re: “CMKM certificates” (88/436)

31 March 25, 2006 Fax from Edwin J. Banks to Marco Glisson re CMKX Sale & Purchase Agreement with attached “Legal Agreement to Transfer Ownership in Shares of CMKM Diamonds, Inc.” between seller Marco Glisson and buyer Edwin W. Banks (291/436 through 293/436)

32 March 30, 2006 Fax from Edwin J. Banks to Marco Glisson re CMKX Sale & Purchase Agreement with attached “Legal Agreement to Transfer Ownership in Shares of CMKM Diamonds, Inc.” between seller Marco Glisson and buyer Edwin W. Banks (294/436 through 296/436)

33 April 7, 2006 Fax from Edwin J. Banks to Marco Glisson re CMKX Sale & Purchase Agreement with attached “Legal Agreement to Transfer Ownership in Shares of CMKM Diamonds, Inc.” between seller Marco Glisson and buyer Edwin W. Banks (288/436 through 290/436)

34 April 25, 2006 Legal Agreement to Transfer Ownership in Shares of CMKM Diamonds, Inc. between seller Marco Glisson and buyer Edwin W. Banks (300/436 &301/436)

35-1 December 9, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 21477 representing 30,000,000 shares CMKM (MG 1/90)








35-9 December 21, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 19897 representing 50,000,000 shares CMKM (MG


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9/90)



35-12 January 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 31064 representing 37,000,000 shares CMKM (MG 12/90)

35-13 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29085 and 29086 representing 19,999,998 shares CMKM (MG 13/90)

35-14 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29082, 29083, and 29084 representing 29,999,997 shares CMKM (MG 14/90)

35-15 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29089, 29090, 29091, 29092, 29093, 29094, and 26073 representing 63,500,010 shares CMKM (MG 15/90)

35-16 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 29087 representing 9,999,999 shares CMKM (MG 16/90)

35-17 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 16103 representing 150,000,000 shares CMKM (MG 34/90)





35-22 February 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 68990 representing 100,000,000 shares CMKM (MG


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39/90)



35-25 March 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 51046 representing 40,000,000 shares CMKM (MG 42/90)



35-28 March 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 63228, 73313, 73314, 73315 representing 61,992,285 shares CMKM (MG 45/90)


35-30 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 32761 to 32793 = 33 and 74906 =1 for a total of 34 certificates representing 305,000,000 shares CMKM (MG 47/90)




35-34 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 73312 representing 100,000,000 shares CMKM (MG 65/90)


35-36 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25169 to 25177 and 25208 to 25238 and 78922 representing 401,999,899 shares CMKM (MG 67/90)


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35-38 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25178 to 25190 and 25249 to 25276 and 25355 to 25380 and 25400 to 25430 plus 25635 and 79174 representing 990,499,759 shares CMKM (MG 69/90 & 70/90)

35-39 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 62465 representing 46,500,000 shares CMKM (MG 71/90)


35-41 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 78566 representing 200,000,000 shares CMKM (MG 73/90 & 74/90)

35-42 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 22270 and 27484 to 27489 and 21710 and 21712 to 21719 and 21721 to 21729 and 21732 and 21734 to 21741 and 21720 and 22169 to 22174 representing 401,000,004 shares CMKM (MG 75/90)


35-44 May 11, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 32794 to 32801 and 32823 and 32825 and 32827 to 32842 and 32844 and 32846 to 32850 and 32852 and 33571 representing 303,000,000 shares CMKM (MG 77/90 & 78/90)

36 February 9-10, 2006 email string between Susan O’Connor and <[email protected]> re: “CMKX Stocks” (15/436)

37 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 49164 representing 85,000,0000 shares CMKM (384/436 & MG 33/90)

38 January 12-13, 2006 email string between Stephanie Walker and <[email protected]> re: “10,000,000 Shares of CMKX” (10/436 through 12/436)

39 May 9, 2006 email string between Warren Dufner and <[email protected]> re: “stock certificates” (128/436)

40 April 20-21, 2006 email string between Fred Maltase and <[email protected]> re: “certs/New Deal” (40/436 & 41/436)

41 March 29, 2006 Stock Sell-Purchase Agreement between Rendal Williams and Marco Glisson (237/436)


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42 April 5, 2006 Stock Sell-Purchase Agreement between Rendal Williams and Marco Glisson (34/436)

43 December 19, 2005 letter from Leor Zolman re CMKM cert. 19897 (187/436)

44 November 22, 2006 email string between [email protected] and <[email protected]> re: “Are You Selling Shares?/Mailing Info/Funds Info” (no bates number; two pages)

45 April 17, 2007 email from <[email protected]> to [email protected] (no bates number; one page)

165 December 15, 2005 email to <[email protected]> re: “CMKX Shares” (159/436)

166 December 15, 2005 email to <[email protected]> re: “our conversation” (160/436)


168 December 19-20, 2005 email string with <[email protected]> re: “Thanks for your Patience” (161/436 & 162/436)

169 December 29, 2005 email string with <[email protected]> re: “Larry and Kirsten Ryan” (163/436)


171 January 13, 2006 email string with <[email protected]> re: “10,000,000m Shares of CMKX” (10/436 & 11/436)

172 January 14, 2006 email to <[email protected]> re: “Dan Weber Certificate Information” (13/436 & 14/436)

173 January 17, 2006 email to <[email protected]> re: “CMKX Certificates” (126/436)

174 January 24, 2006 email to <[email protected]> re: “CMKX Certs 1/23/06” (124/436)

175 January 24, 2006 email to <[email protected]> re: “ABADGOODGIRL’s Purchase Order LOL” (123/436)

176 February 5, 2006 email to <[email protected]> re: “(no subject)” (148/436)

177 February 6, 2006 email to <[email protected]> re: “5,000,000M Shares of CMKX” (117/436)


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178 February 7, 2006 email string with <[email protected]> re: “CMKX SHARES” (116/436)

179 February 9, 2006 email to <[email protected]> re: “CMKX Shares for Spud $2100 Worth…Thanks Deli” (115/436)

180 February 9, 2006 email to <[email protected]> re: “CMKX Information” (113/436)

181 February 9, 2006 email to <[email protected]> re: “Info from Koolmoney” (112/436)

182 February 9-10, 2006 email string with <[email protected]> re: “info” (111/436)

183 February 9-10, 2006 email string with <[email protected]> re: “CMKX Stocks” (15/436 through 20/436)

184 February 11, 2006 email to <[email protected]> re: “CMKX Stock” (110/436)

185 February 15, 2006 email to <[email protected]> re: “CMKX forever !!!” (109/436)

186 February 16, 2006 email to <[email protected]> re: “sale of cmkm” (108/436)

187 February 20, 2006 email to <[email protected]> re: “CMKX Shares (Friend of STAN)” (107/436)

188 February 21, 2006 email to <[email protected]> re: “more shares” (101/436)

189 February 23, 2006 email to <[email protected]> re: “hey deli” (105/436)

190 February 23, 2006 email string with <[email protected]> re: “Second 100,000,000 Shares of CMKX” (21/436)

191 February 24, 2006 email to <[email protected]> re: “CMKX 2nd round” (104/436)

192 February 25, 2006 email to <[email protected]> re: “CMKX” (103/436)

193 February 27, 2006 email to <[email protected]> re: “CMKX” (102/436)

194 February 27, 2006 email to <[email protected]> re: “stock” (101/436)

195 February 28, 2006 email to <[email protected]> re: “new buyer”


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(100/436)

196 February 28, 2006 email to <[email protected]> re: “Next New Guy” (99/436)

197 March 1, 2006 email to <[email protected]> re: “CMKX cert” (98/436)

198 March 6, 2006 email to <[email protected]> re: “CMKX” (97/436)

199 March 7, 2006 email to <[email protected]> re: “CMKX” (96/436)

200 March 8, 2006 email to <[email protected]> re: “CMKX WIRE INFO” (93/436)

201 March 10, 2006 email to <[email protected]> re: “cmkx shares” (92/436)

202 March 12, 2006 email to <[email protected]> re: “CMKX” (25/436 & 26/436)

203 March 17, 2006 email to <[email protected]> re: “cmkx shares 2” (91/436)

204 March 22, 2006 email to <[email protected]> re: “cmkx forever 1” (90/436)

205 March 25, 2006 email to <[email protected]> re: “cmkm 2m” (27/436)

206 March 25, 2006 email to <[email protected]> re: “somers” (87/436)

207 March 25, 2006 email to <[email protected]> re: “cmkx certs” (86/436)

208 March 25, 2006 email to <[email protected]> re: “CMKX” (28/436 & 29/436)



211 March 30, 2006 email to <[email protected]> re: “2 certs” (83/436)

212 March 30, 2006 email to <[email protected]> re: “cmkx forever 3” (30/436 & 31 /436)

213 April 5, 2006 email to <[email protected]> re: “Cert Contacts” with attached “Stock Sell-Purcahse Agreement” (32/436 through 34/436)

214 April 7, 2006 email string with <[email protected]> re: “Bank Info” (81/436)


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215 April 8, 2006 email string with <[email protected]> re: “cmkx shares/Bank Info” (79/436 & 80/436)

216 April 10, 2006 email to <[email protected]> re: “Share Information-Urgent” (35/436)

217 April 10, 2006 email to <[email protected]> re: “certs” (78/436)

218 April 11, 2006 email to <[email protected]> re: “Transfer Made” and attachment (37/436 & 38/436)

219 April 11, 2006 email to <[email protected]> re: “CMKX Shares” (76/436)

220 April 13, 2006 email to <[email protected]> re: “Stocks” (75/436)

221 April 13, 2006 email to <[email protected]> re: “cert #” (74/436)

222 April 15, 2006 email to <[email protected]> re: “Per our conversation” (72/436)

223 April 17, 2006 email to <[email protected]> re: “CMKX Forever 5” (71/436)

224 April 17, 2006 email to <[email protected]> re: “per our conversation” (70/436)

225 April 19, 2006 email to <[email protected]> re: “info” (69/436)

226 April 20-21, 2006 email string with <[email protected]> re: “certs/ New Deal” (40/436 & 41/436)

227 April 21, 2006 email to <[email protected]> re: “(no subject)” (67/436)

228 April 21, 2006 email to <[email protected]> re: “CMKX Shares for Mom” (66/436)

229 April 21, 2006 email to <[email protected]> re: “Wire done on 5 mil” (157/436)

230 April 23, 2006 email to <[email protected]> re: “CMKX stock” (156/436)

231 April 23, 2006 email to <[email protected]> re: “CMKX” (155/436)

232 April 25, 2006 email to <[email protected]> re: “Wiring Funds” (154/436)

233 April 25, 2006 email string with <[email protected]> re: “Wiring Funds / Bank Info” (44/436 & 45/436)


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234 April 25, 2006 email to <[email protected]> re: “FAX Information” (46/436 & 47/436)

235 April 26, 2006 email to <[email protected]> re: “Stock” (151/436)

236 April 26, 2006 email to <[email protected]> re: “Hey Marco/DeliDog my info” (153/436)

237 April 27, 2006 email to <[email protected]> re: “Joe” (48/436 & 49/436)

238 April 27, 2006 email to <[email protected]> re: “List” (148/436)

239 April 28, 2006 email to <[email protected]> re: “Deli….It’s Buffet/Personal Info” (147/436)

240 April 28, 2006 email to <[email protected]> re: “CMKX shares…/ bank info” (50/436 through 53/436))

241 April 28, 2006 email to <[email protected]> re: “5 million shares” (145/436)

242 April 29, 2006 email to <[email protected]> re: “(no subject)” (144/436)

243 April 28-29, 2006 email string with <[email protected]> re: “INES / CMKX SHARES” (54/436 & 55/436)

244 April 30, 2006 email to <[email protected]> re: “CMKX shares” (143/436)

245 April 30, 2006 email to <[email protected]> re: “CMKX shares” (51/436 through 60/436)

246 May 1, 2006 email to <[email protected]> re: “1 mill [sic] cert needed” (142/436)

247 May 1, 2006 email to <[email protected]> re: “per Vinnie CMKX” (140/436)

248 May 1, 2006 email to <[email protected]> re: “CMKX Shares for Sale” (139/436)

249 May 2, 2006 email to <[email protected]> re: “Cert list” and attachments (63/436 through 65/436)

250 May 2, 2006 email to <[email protected]> re: “charsyph deal” (138/436)

251 May 3, 2006 email to <[email protected]> re: “CMKX shares” (137/436)


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252 May 3, 2006 email to <[email protected]> re: “CMKX shares / Bank info” (61/436 & 62/436)

253 May 3, 2006 email to <[email protected]> re: “Names of shareholders to be!” (127/436)

254 May 3, 2006 email to <[email protected]> re: “Last person to sign up!” (135/436)

255 May 3, 2006 email to <[email protected]> re: “charsyph deal # 2” (134/436)

256 May 4, 2006 email to <[email protected]> re: “cmkx” (1/436)

257 May 5, 2006 email to <[email protected]> re: “cmkx forever # 5” (132/436)

258 May 7, 2006 email to <[email protected]> re: “cmkx” (130/436)

259 May 9, 2006 email string with <[email protected]> re: “stock certificates” (128/436)

260 April 26, 2006 fax from W. Bodenmiller to Marco Glisson re: “30,000,0000 CMKM Share Purchase” (302/436 & 303/436)

261 May 2, 2006 fax from Carolyn O’Neill to Marco Glisson re: “Wire payment” (279/436 & 280/436)

262 Marco Glisson profit and loss calculation for transactions involving 30,000,000 shares CMKX from certificate no. 21477 (195/436 through 199/436)

263 Marco Glisson profit and loss calculation for transactions involving 25,000,000 shares CMKX from certificate no. 24677 (172/436 & 173/436)








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271 Marco Glisson profit and loss calculation for transactions involving 29,999,998 shares CMKX from certificate nos. 29082, 29083 (359/436 through 362/436)


273 Marco Glisson profit and loss calculation for transactions involving 63,500,001 shares CMKX from certificate nos. 29089, 29090, 29091, 29092, 29093, 29094, 26073 (371/436 through 374/436)

274 Marco Glisson profit and loss calculation for transactions involving 19,999,999 shares CMKX from certificate no. 29085, 29086 (367/436 through 370/436)


276 Marco Glisson memorandum re cost for 100,000,000 shares CMKX from certificate no. 18128 (363/436 through 366/436)

277 Marco Glisson profit and loss calculation for transactions involving 9,999,999 shares CMKX from certificate no. 29088 (332/436)




281 Marco Glisson memorandum regarding transfer of 250,000,000 CMKM shares from Alma Padilla to Marco Glisson at no charge (175/436 through 179/436)

282 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 51105 representing 55,000,000 CMKM shares (435/436)



285 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 47953 representing 8,000,000 CMKM shares (428/436)

286 March 27, 2006 1st Global Stock Transfer Letter of Instruction from Marco


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Glisson re certificate no. 42453 representing 5,000,000 CMKM shares (426/436)



289 March 29, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 23069 representing 250,000,000 CMKM shares (392/436 & 393/436)

290 March 31, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 24954 to 24983 = 31 and 25000 to 25010 = 10 for total of 41 certificates representing 409,999,959 CMKM shares (402/436)


292 April 6, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25011 to 25030 = 20 and 25159 to 25168 = 10, 77834, 77815, for a total of 32 certificates representing 316,999,929 CMKM shares (403/436)

293 April 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 23061 representing 275,000,000 CMKM shares (404/436)

294 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25292 to 25321 = 30 and 78569 = 1 for total of 31 certificates representing 316,999,929 CMKM shares (394/436)





299 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re changes to allocations from certificate no. 78566 (423/436)


307 December 27, 2006 letter from Leor Zolman re CMKM stock certificates # 31064 and 14291 (251/436)


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308 December 30, 2005 letter from Steven M. Brewer re CKMK stock certificates # 26973, 29082 through 29094 (309/436)

309 January 24, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Eiji Toda and Sakae Toda re CMKM certificate nos. 21183, 31759, and 42453 representing 15,000,000 shares CMKM, and also 75,000 shares Casavant International Mining (“CIM”) (252/436)

310 January 29, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Donald Gardner re 85,000,000 shares CMKM and 928,520 shares CIM (217/436)

311 February 2, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Donald Gardner re 85,000,000 shares CMKM represented by certificates no. 49164 and 928,250 shares CIM (243/436)

312 February 7, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Eric Bever re 55,000,000 shares CMKM represented by certificate no. 51105 and 828,160 shares CIM, and attached Bank and Account Wiring Instructions Information (281/436 & 282/436)

313 February 9, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Shamsunder Gatupa and Ravitha Lingampally re 150,000,000 shares CMKM represented by certificate no. 16103 and 3,800,000 shares CIM, attached Bank and Account Wiring Instructions Information, and CKMK certificate no. 16103 (275/436 through 278/436)

314 February 15, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Thomas More Spencer and Laurae Valentine re 200,000,000 shares CMKM from certificate no. 17783 (representing 405,000,000 shares) and right for Glisson to sell the additional 205,000,000 shares and/or CIM and/or Entourage shares (230/436)

315 February 21, 2006 letter from George Delo re CMKM certificate no. 58659 (253/436)

316 February 24, 2006 letter from Perry Hampton re CMKM certificate no. 51046 (271/436)

317 February 24, 2006 letter from Jeff Finerman re CMKM certificate no. 43488 (267/436)

318 February 27, 2006 letter from Dwayne L. Wells re CMKM certificate no. 59621 (272/436)

319 February 27, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Thomas More Spencer and Laurae Valentine re 495,500,000 shares CMKM represented by certificate no. 19671 and attached Bank and Account Wiring Instructions Information (283/436 & 284/436)

320 March 1, 2006 letter from Christopher Cook re CMKM certificate no. 47953 (273/436)


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321 March 3, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Charles Rose re 12,500,000 shares CMKM represented by certificate nos. 48968 and 48969 (255/436)

322 March 8, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Reginald D. Barrow re 297,000,000 shares CMKM represented by certificates nos. 32761 to 32973 (33 certificates) and duplicate letter with handwritten number “780 468-1096” (242/436 & 274/436)

323 March 23, 2006 letter from Jeff Finerman re CMKM certificate no. 23069 and CIM certificate no. 7358 (241/436)

324 March 26, 2006 letter from Scott Kinelski re CMKM certificate no. 53297 (240/436)

325 March 29, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Rendal Williams re CMKM stock certificate nos. 24954 to 24983 and 2500, 25002 to 25010 (237/436)

326 April 5, 2006 letter from Jeff Finerman re CMKM certificate no. 23061 and CIM certificate no. 7357 (238/436)

327 April 5, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Rendal Williams re CMKM stock certificate nos. 25011 to 25030 and 25159 to 25168 (220/436)

328 April 13, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Rendal Williams re CMKM stock certificate nos. 25292 to 25321 and 25169 to 25177 and 25208 to 25238 (228/436)

329 April 25, 2006 Stock Sell-Purchase Agreement between Marco Glisson and Reginald D. Barrow re 303,000,000 shares CMKM represented by 34 certificates (225/436)

330 May 1, 2006 letter from Leor Zolman re CMKM stock certificate no. 62465 (234/436)

343 Account Card and related documents for Marco Glisson at Blackhawk Community Credit Union, Account No. ##7650 (“7650 Account”) (4782-4786

344 Monthly Account Statements, 7650 Account, Blackhawk Community Credit Union for the period from May 11, 2006 through March 31, 2007 (1149-1179)

345 Wire transfer detail for 7650 Account (1349-1693)

346 Money orders purchased from 7650 Account payable to 1st Global Stock Transfer (1283-1284, 1288-1297, 1300-1304, 1306, 1309-1311, 1320, 1330-1334)

350 Certificate of Irrevocable Trust for “The Marco Glisson 2006 Irrevocable Trust” (4821-4835)


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352 Checks drawn on 7650 Account at Blackhawk Community Credit Union (1281-1311)

386 Form SS-4, Application for Employer Identification Number for The Marco Glisson 2006 Irrevocable Trust, signed by Marco Glisson, dated May 11, 2006 (4836)

389 May 30, 2006 check from Baird payable to Marco Glisson, 3823 Tamiami Trl E # 567, Naples FL 34112 (4850xlvi)

390 March 4, 2006 CMKM Certificate No. 74906 issued to Marco Glisson, for 8,000,000 shares CMKM common stock (4844)

391 March 4, 2006 CMKM Certificate No. 74976 issued to Marco Glisson for 22,145,450 shares CMKM common stock (4845)

392 January 1, 2006 CMKM Certificate No. 42458 issued to Marco Glisson for 3,000,000 shares CMKM common stock (4846)

393 January 12, 2006 CMKM Certificate No. 47018 issued to Marco Glisson for 80,000 shares CMKM common stock (4847)

394 January 12, 2006 CMKM Certificate No. 47019 issued to Marco Glisson for 8,000,000 shares CMKM common stock (4848)

395 January 19, 2006 CMKM Certificate No. 49892 issued to Marco Glisson for 7 shares CMKM common stock (4849)

400 Certified Copy of Current Report on Form 8-K dated February 5, 2004, received by the Commission on March 14, 2005 under the name CMKM Diamonds, Inc., File No. 333-53808, pursuant to the provisions of the Securities Exchange Act of 1934 (numbered 1-28)

401 March 3, 2005 Order of Suspension of Trading issued by the Securities and Exchange Commission In the Matter of CMKM Diamonds, Inc. a/k/a Casavant Mining Kimberlite International, Inc. (1 page)

403 March 16, 2005 Order Instituting Administrative Proceeding and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, issued by the Securities and Exchange Commission In the Matter of CMKM Diamonds, Inc., Respondent (3 pages)

404 July 12, 2005 Initial Decision in the administrative proceeding captioned In the Matter of CMKM Diamonds, Inc. (14 pages)

405 October 28, 2005 Order in the administrative proceeding captioned In the Matter of CMKM Diamonds, Inc. (1 page)

407 December 9, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 21477 representing 30,000,000 CMKM shares (08cv437-CMKM-0064552)


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411 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 27391 representing 27,000,000 CMKM shares (08cv437-CMKM-0072777)




415 January 20, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29089, 29090, 29091, 29092, 29093, 29094 and 26073 representing 9,999,999 CMKM shares (08cv437-CMKM-0074913)

416 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29085 and 29086 representing 9,999,999 CMKM shares (08cv437-CMKM-0074914)


418 January 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 29082, 29083 and 29084 representing 9,999,999 CMKM shares (08cv437-CMKM-0074916)




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424 December 15, 2005 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 23157 representing 77,000,000 CMKM shares 425(08cv437-CMKM-0077362)











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437 January 30, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 47018, 49890, 49891 and 49892 representing 159,647,008 CMKM shares (08cv437-CMKM-0080660)


439 February 2, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 47020 representing 40,000 CMKM shares (08cv437-CMKM-0084937)

440 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 49164 representing 85,000,000 CMKM shares (08cv437-CMKM-0084938-9)

441 February 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 16103 representing 150,000,000 CMKM shares (08cv437-CMKM-0084940)







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447 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 47953 representing 8,000,000 CMKM shares (08cv437-CMKM-0093379)











458 March 3, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate representing 500,000 CMKM shares (08cv437-CMKM-0095192)

459 April 6, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25011 to 25030, 25159 to 25168, 77834 and 77815 representing 316,999,929 CMKM shares (08cv437-CMKM-0099340)


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460 April 6, 2006 email from [email protected] to leslie at 1st Global Stock Transfer Letter re: Second Change for Cert. No. 23061 Just Came Late Night (08cv437-CMKM-0099341)

461 April 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 23061 representing 275,000,000 CMKM shares (08cv437-CMKM-0099342)

462 March 31, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 24954 to 24983 and 25000 to 25010 representing 409,999,959 CMKM shares (08cv437-CMKM-0099906)










472 March 7, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 63228, 73313, 73314 and 73315 representing 61,992,285 CMKM shares (08cv437-CMKM-0101382)


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473 March 10, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 32761, 32762, 32763, 32764, 32765, 32766, 32767, 32768, 32769, 32770, 32771, 32772, 32773, 32774, 32775, 32776, 32777, 32778, 32779, 32780, 32781, 32783, 32784, 32785, 32786, 32787, 32788, 32789, 32790, 32791, 32792, 32793 and 74906 representing 305,000,000 CMKM shares (08cv437-CMKM-0101565)


475 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25292 to 25321 and 78569 representing 301,999,899 CMKM shares (08cv437-CMKM-0102882)

476 April 12, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25292 to 25321 representing 316,999,929 CMKM shares (08cv437-CMKM-0102883)


478 April 24, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25169 to 25177, 25208 to 25238 and 78922 representing 401,999,899 CMKM shares (08cv437-CMKM-0103324)





483 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25178 to 25190, 25249 to 25276, 25355 to 25380, 25400 to 25430, 25635 and 79174 representing 990,499,759 CMKM shares (08cv437-CMKM-0104486-7)



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485 May 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 78566 representing 200,000,000 CMKM shares (08cv437-CMKM-0105731-2)

486 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 78566 representing 200,000,000 CMKM shares (08cv437-CMKM-0105733)


488 May 8, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 22270, 27484 to 27489, 21710, 21712 to 21719, 21721 to 21729, 21732, 21734 to 21741, 21720 and 22169 to 22174 representing 401,000,004 CMKM shares (08cv437-CMKM-0105867)


490 April 28, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate nos. 25178 to 25190, 25249 to 25276, 25355 to 25380, 25400 to 25430, 25635 and 79174 representing 990,499,759 CMKM shares (08cv437-CMKM-0105894)





495 October 10, 2006 note from Marco Glisson to 1st Global Stock Transfer re: Patricia D. Kalous certificate representing 58,000,000 CMKM shares (08cv437-CMKM-0109238)

496 September 12, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 64550 representing 150,000,000 CMKM shares (08cv437-CMKM-0109907)

497 September 5, 2006 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 89596 representing 58,000,000 CMKM shares


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(08cv437-CMKM-0109912)

498 September 14,2 006 letter from Marco Glisson to 1st Global Stock Transfer (08cv437-CMKM-0109902)

499 May 16, 2006 email from delidoghouse to Leslie at 1st Global Stock Transfer re: 2 return certs wed 5/17/06 (08cv437-CMKM-0107861)

503 January 19, 2007 1st Global Stock Transfer Letter of Instruction from Marco Glisson re certificate no. 87523 representing 7,677,750,000 CMKM shares (no bates number, one page)

515 Letter from SEC (Leslie A. Hakala) to Marco Glisson dated June 12, 2006 Re: In the Matter of CMKM Diamonds, Inc. LA-3028, enclosing among other things, SEC Form 1662 (5-04)-

518 Letter from the SEC (Leslie A. Hakala) to Marco Glisson dated March 15, 2007 Re: In the Matter of CMKM Diamonds, Inc. LA-3028, enclosing among other things, SEC Form 1662 (5-04)

523 CMKM (Casavant Mining Kimberlite International, Inc.) Registration Statement on Form 15 filed with the SEC pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Commission File No. 000-30551)

527 CMKM stock certificate No. 7527 dated January 19, 2007 for 7,000,000,000 shares registered to Thidarat Tungwongsathong

533 SEC Complaint in this Action SEC v. Marco Glisson, Case No. 2:09-cv-00104-LDG-GWF

(b) As to the following additional exhibits the parties have reached

stipulations stated:

Exhibit No.

Description Stipulation

141 Declaration of Marco Glisson in Support of His Opposition to SEC’s Motion for Summary Judgment, dated November 13, 2009 (no bates number, 28 pages)

Stipulate to authenticity but not admissibility

510 SEC General Release (guidance) on the Dealer-Trader Distinction, SEC Securities Exchange Act Release No. 46,745, 78 SEC Docket, 2143 (2002)

Plaintiff stipulates to authenticity but not admissibility; object that lack of foundation and relevance

516 SEC Enforcement Manual Plaintiff has not seen the particular document being offered by defendant, but will likely stipulate to the authenticity of its manual; however, plaintiff reserves


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objections to foundation and relevance

519 SEC Supplemental Information For Persons Required to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (SEC 1662 (5-04)

Plaintiff stipulates to authenticity of its form, but objects to the extent this is cumulative of Defendant’s Exhibit 518, and on relevance grounds

521 SEC Order Directing Private Investigation And Designating Officers To Take Testimony of Investigation dated March 2, 2005 In the Matter of CMKM Diamonds, Inc., a/k/a Casavant Mining Kimberlite International, Inc. (LA-3028)

Plaintiff stipulates to the authenticity of its Order, but objects on foundation and relevance grounds

(c) As to the following exhibits, the party against whom the same will be

offered objects to their admission upon the grounds stated:

(1) Set forth defendant’s objections to plaintiff’s exhibits

Plaintiff’s Exhibits

(and Defendant’s Objections thereto)

Exhibit No.

Description Objection

4-0 August 20, 2007 Cover Letters for Marco Glisson Document Production (177 pages labeled MG 1 to MG 177)

No foundation, relevancy, foundation

8 July 7, 2006 letter from Terry Nelson, Foley & Lardner LLP, to Leslie Hakala, U.S. Securities and Exchange Commission, re: In the Matter of CMKM Diamonds, Inc., LA-3028. (no bates number, two pages)

No foundation, relevancy, foundation

9 June 6, 2006 letter from Terry Nelson, Foley & Lardner LLP, to Gregory Kipfer, Bureau of Registration and Enforcement, Division of Securities, Department of Financial Institutions, Madison, WI, re: Marco Glisson (MG 80/90 through MG 82/90)

No foundation, relevancy, no foundation, hearsay

15 Blackhawk Credit Union, Account Documents for Marco Glisson, Table of Contents (no bates numbers)

Authenticity, no foundation, relevancy, hearsay, vague and ambiguous including as to time


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and joint authority designation

16 “Wire Transfers Into and Out From Account ##8307, ##3788, ##7650, 1/5/05 – 4/25/07,” from Blackhawk Credit Union (26-33)

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous

17 December 16, 2005 Blackhawk Community Credit Union Wire Transfer Request in the amount of $72,000.00 from Alma Padilla, account number ##3788 for the benefit of Behrens International Group LLC (181/436)

Authenticity, no foundation, relevancy, hearsay

19 December 2, 2005 Blackhawk Community Credit Union Wire Transfer Request in the amount of $1,200.00 from Alma Padilla, account number ##3788 for the benefit of Samuel H. Seymour & December 6, 2005 Blackhawk Community Credit Union Wire Transfer Request in the amount of $13,800.00 from Alma Padilla, account number ##3788 for the benefit of Samuel H. Seymour (199/436 & 198/436)

Authenticity, no foundation, relevancy, hearsay

46 November 20, 2005 article from the Janesville Gazette titled: “Woman reports fraud” (no bates number; one page)

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and unduly prejudicial

47 Bank statement for BofA 3830 Account and BofA 9145 Account for the period 08-07-06 through 08-14-06 (SEC-LA-3028-CMKM0064852 -54)

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and beyond scope of the complaint

48 Bank statement for BofA 3830 Account and BofA 9145 Account for the period 10-13-06 through 11-10-06 (SEC-LA-3028-CMKM0064862-64)




50 November 16, 2006 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $950.00 (SEC-LA-3028-CMKM0064996-97)


51 Bank statement for BofA 3830 Account and BofA 9145 Account for the period 12-12-06 through 01-11-07 (SEC-LA-3028-

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and beyond scope of


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CMKM0064869-72) the complaint

52 February 2, 2007 check drawn on BofA 9145 Account in the amount of $1,000.00 payable to Wordsmith Media; memo: “Richard Saporito (10,000 shares)” (SEC-LA-3028-CMKM0064906)


53 March 15, 2007 check drawn on BofA 9145 Account in the amount of $3,000.00 payable to Wordsmith Media; memo: “Joseph Kormos Shares” (SEC-LA-3028-CMKM0064910)


54 June 12, 2007 check drawn on BofA 9145 Account in the amount of $5,654.00 payable to Ross Title & Escrow, Inc.; memo: “Regency Woods # 103H” (SEC-LA-3028-CMKM0064918)


55 June 13, 2007 check drawn on BofA 9145 Account in the amount of $1,251.50 payable to 1st Global Stock Transfer; memo: “Cert # 12181” (SEC-LA-3028-CMKM0064921)


56 May 4, 2008 email from nucfed to Leslie Hakala re: “Marco Glisson” (no bates number; one page)

Authenticity, foundation, hearsay, relevancy and vague and ambiguous



58 January 12, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $7,550.00 (SEC-LA-3028-CMKM0065000-02)




60 January 16, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 account in the amount of $7,735.00 (SEC-LA-3028-CMKM0065007, 009-17)



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65 February 5, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $4,900.00 (SEC-LA-3028-CMKM0065073-76)








69 February 12, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $4,700.00 (SEC-LA-3028-



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CMKM0065086, 088-90)

70 March 1, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $80,300.00 (SEC-LA-3028-CMKM0065136-47)
















78 April 6, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and beyond scope of


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$18,500.00 (SEC-LA-3028-CMKM0065229-47)

the complaint



80 May 11, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $300,000.00 (SEC-LA-3028-CMKM0065287-88)


81 June 19, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $147,300.00 (SEC-LA-3028-CMKM0065299-301, 65282, 65276, 65302)




83 June 5, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $2,576.20 (SEC-LA-3028-CMKM0065293-95)


84 May 5, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account nt in the amount of $50,000.00 (SEC-LA-3028-CMKM0065289-90)


85 April 12, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $58,450.00 (SEC-LA-3028-CMKM0065248-64)


86 April 23, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account ount in the amount of $12,000.00 (SEC-LA-3028-CMKM0065265-67)


87 April 26, 2007 Bank of America deposit ticket and related documents for deposit

Authenticity, no foundation, hearsay, relevancy, vague and


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into BofA 9145 Account in the amount of $3,150.00 (SEC-LA-3028-CMKM0065268-70)

ambiguous and beyond scope of the complaint

88 April 26, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $7,750.00 (SEC-LA-3028-CMKM0065271-75, 77-81, 83-84)


89 May 11, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $7,500.00 (SEC-LA-3028-CMKM0065285-86)








93 July 2, 2007 Bank of America deposit ticket and related documents for deposit into BofA 9145 Account in the amount of $2,445.00 (SEC-LA-3028-CMKM0065310-15)


95 April 30, 2010 email string between Aaron at Transfer Online and Kevin West at CMKM Diamonds re: “Transfer request over 500 million” (OST 00228-9)

Authenticity, foundation, relevancy, hearsay, vague and ambiguous, beyond the scope of the Complaint (admissibility if any should be limited solely to reasonable likelihood of future violations)

96 May 11, 2010 email string between Aaron at Transfer Online and Kevin West at CMKM Diamonds re: “cert #87527 for 7 billion shares” (OST 00274)

Authenticity, foundation, relevancy, hearsay, vague and ambiguous, beyond the scope of the Complaint (admissibility if any should be limited solely to


82

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26

reasonable likelihood of future violations)

97 April 16, 2010 Transfer Online, Inc. Transaction Invoice and related records for cancellation of CMKM certificate no. 87822, in the name of Thidarat Tungwongsathong, and issuance of certificate no. T 1054, in the name of Marco Glisson, for 303 million shares CMKM (OST 00891, 93-94)


98 December 7, 2010 Transfer Online Invoice Summaries for Allen Ray Glisson, Marco Glisson, and Thidarat Tungwongsathong (OST 00001-3)


99 April 16, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 425 million CMKM shares (OST 00895)


100 April 15, 2010 Transfer Online Letter of Instruction re certificate no. 87881 representing 425 million shares CMKM (OST 00898-901)


101 April 22, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 50 million CMKM shares (OST 00911)


102 April 21, 2010 Transfer Online Letter of Instruction re certificate no. T 1129 representing 50 million shares CMKM (OST 00912-14)


103 CMKM Diamonds, Inc. Stock Certificate for 50,000,000 shares (OST 00915-16)

Authenticity, foundation, relevancy, hearsay, vague and ambiguous, beyond the scope of the Complaint (admissibility if any


83

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6

7

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19

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23

24

25

26

should be limited solely to reasonable likelihood of future violations)

104 September 3, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 533,800,00 CMKM shares (OST 01649-52)


106 “Just in Time” List” (OST 00320-47) Authenticity, foundation, relevancy, hearsay, vague and ambiguous, beyond the scope of the Complaint (admissibility if any should be limited solely to reasonable likelihood of future violations)

107 Transfer Online CMKM Daily Journal (OST 00486-547)


108 August 6, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 1,032,000,000 CMKM shares (OST 01296-304)


109 July 28, 2010 Transfer Online Letter of Instruction re certificate no. T 2016 representing 1,000,000,000 shares CMKM (OST 01318-53)


110 August 5, 2010 email from DeliDogHouse to Aaron White re: “Final Amendment (3) for Cert T-2016” (OST 00210-13)


127 Production by Thidarat Tungwongsathong and Marco Glisson on January 10, 2011 of emails to <[email protected]> regarding CMKM shares transactions in

Foundation, relevancy, hearsay, vague and ambiguous and beyond the scope of the Complaint (admissibility if any should be


84

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26

2010 (numbered A1-340) limited solely to reasonable likelihood of future violations)

129 April 15, 2010 Irrevocable Stock/Bond Power Form re 425 million shares CMKM from Thidarat Tungwongsathong to Transfer Online (OST 00896-00897)

Foundation, relevancy, hearsay, beyond the scope of the Complaint (admissibility if any should be limited solely to reasonable likelihood of future violations)

130 May 3, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 3,219,000,000 CMKM shares and related documents (OST 00932-00955)


131 July 22, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 46 million CMKM shares and related documents (OST 01151-01164)


132 July 30 – August 3, 2010 email string between <[email protected]> and Aaron White re: “Misprinted certificates” and “Cancel item # 244 on Cert T-2016” (OST 01354-01356)


133 August 5, 2010 email string between <[email protected]> and Aaron White re: “Final Amendment (3) for Cert T-2016” and attachments (OST 00210-00213)


134 Checks from Thidarat Tungwongsathong drawn on SunTrust Bank payable to Transfer Online

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and beyond scope of the complaint (admissibility if any should be limited solely to reasonable likelihood of future violation)

135 July 26, 2010 email exchange among Aaron White and others at Transfer Online, [email protected] and “Desperado” re: CMKM-2012” (OST 00278-00281)


136 July 22 through August 3, 2010 email exchange among Aaron White and others at Transfer Online and DeliDogHouse re: “CMKX Order T-2018 7B Shares” (OST 00204-00207)



85

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26

137 July 26 through July 30, 2010 email exchange among Aaron White and others at Transfer Online, “Desperado,” and Deli Dog (OST 00157-00163)


138 July 29, 2010 email from Wanda Isenhour to Aaron White at Transfer Online, cc’d to <[email protected]> re: “Conversation Between Haley & Sheila Regarding CMKM Shares” (OST 00124-00135)


140 Production by Marco Glisson on January 11, 2011 of emails to <[email protected]> regarding CMKM shares transactions in 2010 (numbered A341-A499)


142 April 20, 2010 Transfer Online, Inc. transaction invoice billed to Marco Glisson relating to reissuance of 303,000,000 CMKM shares (OST 00903-04)


143 April 21, 2010 Transfer Online Letter of Instruction re certificate no. T 1054 representing 303,000,000 shares CMKM (OST 00905-08)


144 April 23, 2010 Transfer Online, Inc. transaction invoice billed to Marco Glisson relating to reissuance of 100,000,000 CMKM shares (OST 00926)




146 April 23, 2010 Transfer Online, Inc. transaction invoice billed to Marco Glisson relating to reissuance of 100,000,000 CMKM shares (OST 00921)





86

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25

26

148 September 13, 2010 email from DeliDogHouse to Myrna at Transfer Online re: “Cert # T-2704/ Item #29 Mistake /9/14/10 Tues 10:30 AM” (OST 01739)


149 September 16, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 1,000,000,000 CMKM shares (OST 01721-23)


150 September 24, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 1,000,000,000 CMKM shares and related documents (OST 01565-01578)


151 September 14, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 2,007,000,000 CMKM shares and related documents (OST 01705-01720)


152 August 30, 2010 Transfer Online, Inc. transaction invoice billed to Thidarat Tungwongsathong relating to reissuance of 744,000,000 CMKM shares (OST 01613-01615)


153 August 26, 2010 Instructions to Transfer Online, Inc. for transfer of 637,900,000 CMKM Diamonds shares (OST 01623-01626)


154 August 26, 2010 email from DeliDogHouse to Aaron at Transfer Online re: “Amendment 1 for Cert # T-3556 / 22 names only” and attachments (OST 00035-00039)


155 August 27, 2010 email from DeliDogHouse to Aaron at Transfer Online re: “Amendment 2 for Cert 3 T-3556” and attachments (OST 00040-00045)


156 August 31 to September 2, 2010 email string between DeliDogHouse and Transfer Online re: “Amendment (4) for Cert # 3556 only 23 names”; and “Amendment 5 or 1 on Cert # 3762 Now I Think” and



87

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26

attachments (OST 00185-00191)

157 July 29-30, 2010 email string between DeliDogHouse, Transfer Online, and CFLNC, Inc. re “Conversation Between Haley & Sheila Regarding CMKM Shares” and attachments (OST 00436-00470)


158 August 10, 2010 email string between DeliDogHouse and Transfer Online re: “Info” (OST 00550-00551)


159 September 14-16, 2010 email string between DeliDogHouse and Transfer Online re: “CMKX Cert # T-2704 Amendment (1)” and attachments (OST 00392-00396)


160 July 30, 2010 email string between Transfer Online, CFLNC, Inc., cc’d to DeliDogHouse re: “Conversation Between Haley & Sheila Regarding CMKM Shares” (OST 00471-00472)


161 August 5, 2010 email string between DeliDogHouse and Transfer Online re: “The Load List” and “Final Amendment (3) for Cert T-2016” (OST 00585-00586)


162 September 28, 2010 email from DeliDogHouse to Transfer Online re: “300M Shares Cert and About 50 Names for Fri. 10/01/10” (OST 00015)


163 August 31, 2010 email from DeliDogHouse to Transfer Online re: “Amendment (4) for Cert # 3556 Only 23 Names” and attachments (OST 00080-00085)


164 August 10, 2010 email string between DeliDogHouse and Transfer Online re: “Info” (OST 00550-00551)


301 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period December 31, 2005 to January 27, 2006 (202/436 through 204/436)

Foundation, relevancy, hearsay, vague and ambiguous including as to time and content


88

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302 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period January 28, 2006 through February 24, 2006 (205/436 through 207/436)


303 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period February 25, 2006 through March 31, 2006 (208/436 through 210/436)


304 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period April 1, 2006 through April 28, 2006 (211/436 & 212/436)


305 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period April 29, 2006 through May 26, 2006 (213/436 & 214/436)


306 Marco Glisson TD Ameritrade account statement for accounting ending with 424 for period May 27, 2006 to June 30, 2006 (215/436 & 216/436)


331 Signature Card and related documents for Alma B. Padilla at Blackhawk Community Credit Union, Account No. ##3788, dated October 17, 2002 (“3788 Account”) (3808-3811)

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous and beyond scope of the Complaint

332 Monthly Account Statements, 3788 Account, Blackhawk Community Credit Union, for the period from 10/01/05 through 3/31/06 (3846-3852)


333 3788 Account Transaction Summary prepared by Blackhawk Community Credit Union for the period from 1/2/2004 through 5/5/06 (3865-3875)


334 Checks deposited into the 3788 Account related to CMKM stock (4014-4015, 4037)


335 Money order drawn on the 3788 Account payable to 1st Global relating to cert 74907 CMKX (4657)



89

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336 Wire transfer detail for 3788 Account (4714-4726)


337 Signature Card and related documents for Marco Glisson and Alma B. Padilla at Blackhawk Community Credit Union, Account No. ##8307 (“8307 Account”) (2-3)


338 Monthly Account Statements, 8307 Account, Blackhawk Community Credit Union for the period from October 1, 2005 through May 31, 2006 (84-93, 34-35)


339 8307 Account Transaction Summary prepared by Blackhawk Community Credit Union for the period from 1/2/2004 through May 11, 2006 (120-136)


340 Joint Account Transaction Summary prepared by Blackhawk Community Credit Union for the period from May 1, 2006 through May 11, 2006 (94-95)


341 Wire transfer detail for 8307 Account (6-7, 802-969)


342 Money orders purchased from 8307 Account payable to 1st Global Stock Transfer (633, 636-648, 650-51, 655-660, 667-669, 672-676, 684-685, 687, 689-690, 697, 699-700, 702-709, 713-718, 720-722, 728-729, 735, 739, 745-749, 751, 754-759, 765-767, 774-776, 778-780, 786-787, 789, 795-796, 798-800)


347 Wire Transfer Recap by Individual for 7650 Account, 3788 Account, and 8307 Account prepared by Blackhawk Community Credit Union (4809-4817)


348 Wire Transfer Recap Sorted Chronologically for 7650 Account, 3788 Account, and 8307 Account prepared by Blackhawk Community Credit Union (4803-4808)


349 Wire Transfer Activity by Individual prepared by Blackhawk Community Credit



90

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26

Union (14-25) ambiguous and beyond scope of the Complaint

351 Articles of Organization, Limited Liability Company, State of Wisconsin, The Deli Dog House, LLC (919-924)

Foundation, relevancy, hearsay

353 Deposits into 8307 Account at Blackhawk Community Credit Union (338-345, 348-351, 360-361, 370-371, 374-377, 382-383, 396-399, 402-404, 413-415, 426-429)


354 December 13, 2005 Blackhawk Community Credit Union Wire Transfer Information, 3788 Account in the amount of $23,000 to Behrens International Group LLC (171/436)


355 December 14, 2005 Blackhawk Community Credit Union Wire Transfer Information, 3788 Account in the amount of $4,000 to Tracy A. Butcher (174/436)


356 December 19, 2005 Blackhawk Community Credit Union Wire Transfer Information, 3788 Account in the amount of $4,000 to Robert Loch (184/436)


357 December 23, 2005 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $12,500 to Michael Wright (287/436)


358 January 6, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $19,100 to Michael Wright (306/436)


359 January 13, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $4,800 to Michael Wright (313/436)


360 January 13, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $17,600 to Gordon Brown (249/436)


361 January 24, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $2,060 to Eiji Toda (248/436)



91

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362 February 8, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $6,600 to Eric Bever (312/436)


363 February 10, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $19,500 to Ravitha Lingampally/Shamsunder Gatupa (231/436)


364 February 16, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $24,000 to Thomas M. Spencer & Laurae Valentine and wiring instructions for Spencer and Valentine (269/436 & 270/436)


365 February 21, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $5,200 to Michael Wright (305/436)








369 February 27, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $24,600 to Thomas A. Spencer and Laurae Valentine (219/436)


370 March 3, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $19,460 to Thomas A. Spencer and Laurae Valentine (266/436)


371 March 3, 2006 Blackhawk Community Credit Union Wire Transfer Information,



92

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26

8307 Account in the amount of $292,000 to Michael Wright (265/436)

ambiguous and beyond scope of the Complaint

372 March 3, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $1,500 to Charles Rose (259/436)


373 March 8, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $33,700 to Reg D Barrow (314/436)


374 March 23, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $39,000 to Michael Wright (261/436)


375 March 28, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $20,000 to Michael Wright (262/436)


376 March 29, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $46,125 to Steven M. Brewer & Kerry L. Brewer (264/436)


377 April 4, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $40,000 to Michael Wright (263/436)


378 April 5, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $33,750 to Steven M. Brewer-Kerry L. Brewer (239/436)


379 April 10, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $30,000 to Steven M. Brewer/Kerri Brewer and March 29, 2006 email from Steven Brewer to “delidog 1 house” re: CMKX CERT (304/436) & 285/436)


380 April 13, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $40,000 to Steven M. Brewer/Kerri Brewer (235/436)



93

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381 April 25, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $36,000 to Reg Barrow (222/436)


382 April 26, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $89,100 to Steven M. Brewer and March 28, 2006 email from Steven Brewer to “delidog 1 house” (286/436 & 287/436))


383 April 26, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $10,000 to Thomas M. Spencer and Laurae Valentine and “Bank and Account Wiring Instructions Information” for Thomas M. Spencer and Laurae Valentine (226/436 & 227/436)


384 May 1, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $6,750 to Michael Wright (221/436)


385 May 11, 2006 Blackhawk Community Credit Union Wire Transfer Information, 8307 Account in the amount of $2,250 to Michael A. Wright (236/436)


387 Authorization to Obtain Online EIN signed by Marco Glisson and Luther A. Webster, for Oshins & Associates LLC (4837)


388 Bank of America Cashier’s Check, purchased by Luther Webster, payable to The Marco Glisson 2006 Irrevocable Trust, in the amount of $22,000, dated May 11, 2006


396 Blackhawk Community Credit Union Money Orders payable to Ameritrade from various individuals (4602, 4606, 4607, 4608, 4609, 4610)

Authenticity, foundation, relevancy, hearsay

398 Complaint filed April 7, 2008 captioned Securities and Exchange Commission v. CMKM Diamonds, Inc., et al, Case No. 08-CV-437-LRH-RJJ (27 pages)

No foundation, relevancy, hearsay, unduly prejudicial


94

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26

399 Certified Copy of Registration Statement on Form S-8, received by the Commission on May 2, 2003, under the name Casavant Mining Kimberlite International, Inc., File No. 333-104924, pursuant to the provisions of the Securities Act of 1933 (numbered 1-22)

Relevancy, foundation, hearsay, and beyond scope of the Complaint

397 Checks drawn on Tungwongsathong’s BofA 9145 Account payable to 1st Global Stock Transfer (no bates numbers, 6 pages)


402 March 3, 2005 Securities and Exchange Commission Litigation Release, No. 51305, re CMKM Diamonds, Inc. (Pink Sheets symbol “CMKX”) (2 pages)

Relevancy; hearsay

406-1 Sun Trust Certification for bank records produced in response to a subpoena from the Commission (LC1-000001-3)


406-2 Signature Card and statements for Sun Trust Account #########8392, in the name of Thidarat Tungwongsathong POD to Marco Glisson (LC1-000004-7)

Authenticity, no foundation, hearsay, relevancy, vague and ambiguous including as to POD, may call for a legal conclusion and beyond scope of the complaint (admissibility if any should be limited solely to reasonable likelihood of future violation)

406-3 Signature Card and statements for Sun Trust Account #########2437 in the name of Thidarat Tungwongsathong (LC1-000008-12)


406-4 Signature Card and statement for Sun Trust Account #########8651 in the name of Thidarat Tungwongsathong POD to Marco Glisson (LC1-000013-27)



95

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26

406-5 Account statements for the period from April 14, 2009 through April 13, 2010 for the Sun Trust Account No. #########8651, in the name of Thidarat Tungwongsathong POD to Marco Glisson (LC1-000028-39)


406-6 Account statements for the period from April 14, 2009 through April 13, 2010 for the Sun Trust Account No. #########8651, in the name of Thidarat Tungwongsathong POD to Marco Glisson (LC1-000040-53)


500 Declaration of Robert Carmichael in Support of Motion for Summary Judgment Against Marco Glisson dated January 26, 2010 (Docket No. 35-1)

No foundation, hearsay, no notice and/or opportunity to cross examine for purposes of trial

501 April 30, 2007 letter from Bob Carmichael, Director, Internal Audit, Blackhawk Community Credit Union to Finola Manvelian, SEC, with attachments (3 pages)

Authenticity, no foundation, hearsay, no notice and/or opportunity to cross examine for purposes of trial

502 June 1, 2006 letter Bob Carmichael, Director, Internal Audit, Blackhawk Community Credit Union to Leslie Hakala, SEC, with attachments (5 pages)


504 January 19, 2007 1st Global Stock Transfer journal entry for transfer of certificates nos. 87523 and 16462 representing 8,277,750,000 CMKM shares (no bates number, one page)

Authenticity, no foundation, hearsay

504 January 19, 2007 1st Global Stock Transfer Item Log Cover Sheet, for CMKM Diamonds (no bates number, one page)

Authenticity, no foundation, hearsay

505 August 31, 2007 Declaration of Custodian of Records, Bank of America, re: Thidarat Tungwongsathong (SEC-LA-CMKM0064840-41)


506 January 19, 2007 email from [email protected] to [email protected] re: CMKX Info/ Mailing Info (included in string sent to

Authenticity, no foundation, hearsay, vague and ambiguous


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24

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26

Leslie Hakala on January 19, 2007) (no bates numbers, two pages)

507 Certification from Sun Trust Bank concerning bank records, dated February 17, 2011 (LC1 000001)


508 Summary Chart(s) of Blackhawk and BofA bank transactions

Objection, no charts/information available; all rights reserved

509 Summary Chart(s) of 2005-2007 CMKM Stock Purchases and Sales by Glisson

Objection, no charts/information available; all rights reserved

524 Bank ofAmerica Signature Cards for BofA 3830 Account and BofA 9145 Account dated 8/5/2006 (SEC-LA-3028-CMKM006484848-51)

Objection, no copies of exhibits provided to Glisson; all rights reserved

525 Sun Trust Production of Records for Account Nos. #########8384 and #########8644, in the name of Marco Glisson POD to Thidarat Tungwongsathong (LC2 000001-55)


526 Sun Trust Production of Records for Account Nos. #########8651 and ######### other accounts held in the name of Thidarat Tungwongsathong


(2) Set forth plaintiff’s objections to defendant’s exhibits

Defendant’s Exhibits

(and Plaintiff’s Objections thereto)

Exhibit No.

Description Objection

511 Transfer Online communication to the SEC in 2010 inquiring as to whether there was any cause for concern from the SEC's viewpoint relating to such transfer agent's transferring shares CMKM stock submitted by Glisson

Authenticity; foundation; hearsay; document not produced by defendant

512 CMKM Articles of Incorporation (Nevada) as amended

Authenticity; foundation, relevance; hearsay; document not produced by defendant

513 Report by CMKM’s stock transfer agent, Transfer Online, as to the total number of shares of CMKM stock issued and outstanding as of April 1, 2010 and as of

Authenticity; foundation, relevance; hearsay


97

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22

23

24

25

26

current date

514 “Thank You” letters from recipients of shares of CMKM stock donated or otherwise gifted by Glisson Trust to such persons

Authenticity, foundation, hearsay, relevance; failure to identify or produce during discovery

517 E-Mail communications from Bill Frizzell dated April 5, 2007 re: bonfied certs

Authenticity; foundation; relevance

520 Sept. 2006 CMKM Stock Sales (Chart) By Marco Glisson

Authenticity; foundation; hearsay; completeness

522 List of persons who received free shares of CMKM stock from Marco Glisson (starting with Patricia D. Kalous who received 47,000,000 shares for free).

Authenticity; foundation; hearsay; relevance

528-532 Glisson summary exhibits/charts (to be developed after Glisson receives Plaintiff’s summary exhibits)

All objections reserved

534 Trading Information for CMKM Stock OTC Pink Sheets During 2002-2007 Period

Authenticity; foundation; hearsay; relevance; document not produced by defendant

535 Stock Transfer Information Re CMKM from 1st Global Stock Transfer for 2005-2007 Period

Authenticity; foundation; hearsay; relevance; document not produced by defendant

536 Published article on “Day Trading” Document not produced by defendant, all objections reserved

(d) Depositions:

(1) Plaintiff will offer the following depositions, if the witnesses

are not otherwise available for live testimony: (Indicate the name of deponent and

identify portions to be offered by pages and lines and the party or parties against

whom offered)

Thidarat Tungwongsathong (offered against defendant Glisson)

4:22-5:21

6:10-21

7:12-8:14

10:12-14

12:23-13:4


98

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24

25

26

16:17-22:6

25:10-14

26:6-21

27:11-28:1

34:8-19

38:19-23

39:19-40:2

40:8-19

42:15-17; 42:22-43:4

45:5-13

46:1-11

49:5-13

50:5-11

54:10-55:9

57:16-24

58:1-20

60:2-61:6

66:5-6; 66:9-11; 66:24-67:4

70:16-71:4

78:13-16

83:9-10; 83:13-19

88:9-13

93:10-19

95:4-21; 95:24-96:9

98:3-7

109:13-21


99

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

26

110:22-111:6

112:9-19; 112:21-113:18

115:2-7; 115:10-15; 115:18-116:22

118:15-21

119:14-20

121:5-123:9

123:21-125:3; 125:7-8

130:12-132:23

137:17-139:24

141:21-22

142:5-17

144:11-20

148:10-14

149:4-13; 149:15-150:1

150:17-151:11

154:13-155:11; 155:12-156:12

159:2-8

160:22-161:13

162:13-22

163:4-7; 163:14-25

164:2-3; 164:14-165:4

166:10-167:4

168:12-19

179:22-180:8

181:8-21

202:11-203:10


100

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

213:2-23

216:25-217:15

224:22-225:21

233:13-234:7

237:7-20

Jason Perry (offered against defendant Glisson)

3:20-4:21

10:1-15

11:12-25

12:11-13:18

17:4-18

18:6-21

21:25-23:7

24:4-10; 24:19-25:13

26:3-8

27:6-28:9

30:16-24

31:23-32:11

33:8-19; 33:25-35:6

35:13-36:19

36:23-37:4

38:8-23

39:1-24

40:1-2; 40:6-11; 40:15-22; 40:25

41:4-42:15


101

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

42:24-43:12

43:16-22

44:2-7; 44:12-45:11

46:5-9

47:7-10

48:6-11

49:22-50:3

51:2-5; 51:15-20

53:4-5; 53:8-10; 53:12-14

54:9-13

55:1-3

57:7-58:3

58:6-9

59:25-60:14

60:20-23

61:1-22

63:19-23

64:1-14

65:3-66:5

66:10-15

78:15-24

84:2-20

113:3-24

115:12-116:14; 116:20-117:9

122:24-123:7; 123:20-124:11

126:13-20; 126:23-25


102

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

127:8-20

128:3-6

129:2-8

130:9-14

154:14-19

166:14-16

174:3-5; 174:7-20

181:8-15

188:3-190:9

197:22-198:7

199:15-200:2

203:16-204:1

205:9-13

209:3-19

Aaron White (offered against defendant Glisson)

6:1-18

8:21-9:21

11:24-12:21

13:4-9

14:3-9

15:2-21

16:6-18:6

19:17-20:24

21:1-22:7

24:11-25:25


103

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27:15-28:23

29:7-30:15

32:11-33:22

34:19-25

35:9-25

36:9-37:14

40:24-41:20

41:24-42:21

46:15-24

47:2-3; 47:5-7; 47:11-20; 47:22-48:14

48:17-20; 48:22; 48:25-49:8

49:10-13; 49:16-17; 49:19; 49:22-24

50:1-4; 50:6-12; 50:15-52:11

52:13-24

53:2-5; 53:7-17; 53:19

54:1-55:15

59:10-24

60:2-7; 60:10-16; 60:19-22

61:13-16; 61:19

62:2-63:16

65:11-24

78:22-79:13

79:20-80:11

80:22-81:8

81:10-14

82:1-9; 82:11-14; 82:17-20; 82:23-83:6


104

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

83:6; 83:8

85:1-8

86:18-87:7

88:7-89:18

89:21

104:15-18; 104:20-105:8

112:21-113:20

(2) Defendant will offer the following depositions: (Indicate the

name of deponent and identify portions to be offered by pages and lines and the

party or parties against whom offered)

Thidarat Tungwongsathong (1-10-11)

5: 12-13

16: 23-24 (Exhibit 47)

19: 23-25 (Exhibit 49)

20: 6-20

20: 24-25; 21:1-13

26: 6-23

27: 11-25; 28:1 Exhibit 55)

35: 5-5-25; 36: 1-20; 37:1-16

37: 17-25; 38: 1-25; 39: 11-25; 40: 1-25: 41: 1-9

42: 1-25; 43:1-4

47: 8-10 and 22-23; 48:1-25

49: 5-13; 50: 5-11; 51: 10-24; 52: 3-9

53: 14-23

54: 1-23; 55:1-6


105

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

26

67: 2-4; 69: 3-4

70: 16-25; 71: 1-4

84: 10-25; 85: 1-9

91: 11-17; 92: 11-16

93: 6-24; 94: 14-23 and 24-25; 95:1-2

94: 4-25; 96: 1-9; 97: 1-25

98: 11-16

102: 15-19

104: 6-13; 105: 6-17; 106: 10-14 and 17-23

109: 13-21

110: 22-25

112: 9-14 and 21-13; 113: 6-8

115: 2-25; 116: 1-22

117: 15-24; 118: 1-5

119: 14-20

121: 5-23

121: 24-25; 122: 1-23 123: 4-9

123: 17-25; 124: 1-12 and 20-25

125: 10-13 and 21-22

126: 2-8 and 9-14 and 15-18

127: 11-13 and 20-23

132: 10-23

139: 15-25; 140:1-11

142: 5-17; 143: 9-14

144: 11-25; 145:1-11; 148: 1-4 (Exhibit 100)

148: 1-20


106

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

26

155: 12-25; 156: 1-21; 157: 3-5 and 15-23; 158: 7-25

159: 1-25; 160: 1-25; 160: 19-25; 161: 1-13 and 22-25; 162: 1-12

165: 5-25; 166: 1

166: 2-25; 167:4

168: 12-25; 169: 1-4

171: 17-21

181: 13-21

191: 21-23; 192:5-7

197: 23-25; 198: 1-16

199: 5-18

202: 1-10 (Exhibit 133)

202: 14-25 (Exhibit 134); 203: 1-12

205: 19-25; 206: 1-3 and 23-25; 207: 1-2 and 1-17

208: 5-10

219: 18-16

By Witnesses Attorney:

249: 5-15

249: 16-25; 250: 1-7

Jason M. Perry (1-25-11)

3: 22-25; 4:1

4: 8-21

7: 6-25; 8: 1-25; 9: 1-25; 10: 1-25; 11: 1-25; 12: 1-11; 13: 9-22

12: 11-25; 13:1-6 and 9-15

24: 4-10

27: 6-21


107

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

28: 2-9; 33: 8-9

29: 14-25; 30:1-5 and 10-15

40: 15-19; 41: 4-11 and 18-22

57: 2-6

By Glisson’s Attorney:

67: 2-25; 68: 1-25; 69: 1-21; 70: 4-14; 71-9-16; 72: 3-6 and 15-21

72: 22-25; 73: 1-25; 74: 1-25; 75: 1-25; 76: 1

76: 19-25; 77:1-6

77: 7-25; 78: 1-5 and 7-11

81: 8-16

81: 18-24; 82: 18-20

87: 8-25; 88: 1-7

89: 1-24

95: 11-12

107: 11-22; 110: 18-25; 111: 1

114: 9-25; 115: 1-10

116: 12-14 and 20-25; 117: 1-11 and 22-25

122: 5-9

129: 19-24; 130: 15-23 and 24-25; 131: 1

131: 9-22

132: 17-20

133: 14-25; 134: 1-25; 135: 1-18; 135: 24-25; 136: 1-25; 137: 1-25;

138: 1-17; 147: 23-25; 148: 1-3 and 4-25; 149: 10-14; 150: 25; 151: 1-25;

152: 1-8; 180: 3-25

142: 1-10

145: 13-19


108

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2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

145: 20-25; 146: 1-12

153: 14-23

153: 24-25; 154: 1-13

157: 2-25; 158: 1-2

158: 24-25; 159: 1-7

164: 2-25; 165 1-25; 166: 1-25; 167: 1

168: 3-15

168: 16-25

173: 4-10; 12-23

179: 20-22

181: 4-24; 182: 3-20

183: 7-24 and 25

184: 1-24

185: 10-25; 186: 1-20

187:: 6-20

188: 10-23

190: 23-25:

191: 5-25; 192: 1-25; 1-11

194: 4-7

194: 9-25; 195: 1-10

194: 12-25; 195: 1-25; 196: 1-18

202: 9-19

203: 16-25; 204: 1-18

205: 9-13 and 14-24

206: 21-25; 207: 1-13

207: 14-16


109

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2

3

4

5

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8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

208: 4-13

Aaron White (1-6-2011)

6: 1-3

12: 7-16

14: 3-9; 15: 15-21

16: 6-15

22: 8-22

26: 9-25; 27: 1-8

36: 15-25; 37:1-7 (Exhibit 97)

40: 24-25; 41: 1-2

41: 3-20

43: 18-25; 44: 1-25; 45: 1-3

55: 13-15 (Exhibit 99)

57: 4-13

57: 16-20

78: 2-20

82: 2-14

96: 15-25; 97: 1-20

97: 21-25; 98: 1-2

98: 5-25; 99: 1-7

102: 4-9

105: 6-18; 106: 1-13

107: 1-12 and 13 -22

107: 24-25; 1-16

110: 5-13


110

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23

24

25

26

111: 22-25; 112: 1

112: 2-11

112: 21-25; 113: 1-20

114: 3-11; 115: 12-25; 116: 1-10

(e) Objections to Depositions:

(1) Defendant objects to plaintiff’s depositions as follows:

Glisson objects to the portions of the depositions designated above for the

reasons and the basis stated at the time of the deposition(s) - - Plaintiff did not

include herein above references to the applicable objection(s) as part of its

designation (page/line).

Glisson objects to the portions of the deposition of Thirdart

Tungwongsathong which exceeded the Court's order permitting such additional

(out of time) discovery which order expressly limited the SEC's questions to

matters pertaining to transactions and events in 2010 pertaining to trading in

CMKM stock (which objection was stated at the time of the deposition, was

repeatedly disregarded by the Plaintiff necessitating instructions to the witness

consistent with the Court's order. Glisson also reserves his right to interpose the

spousal privilege objection pertaining to the Plaintiff's questioning of this witness

(his wife).

Glisson also objects, as noted for the record during the course of the subject

deposition, to the use of the deposition testimony of Jason M. Perry for the reason

that such witness looked at notes and other items included in his personal file

immediately prior to the deposition for purposes of providing testimony at the

deposition but failed and refused when asked, notwithstanding the ready

availability of such notes/file, to make such notes/file available to Glisson's


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26

counsel for review and possible use in cross-examining such witness at the time of

the deposition.

Plaintiff took the deposition of Jason Perry following the end of regular

discovery in this case, and Defendant was not aware of Mr. Perry as a potential

witness in the case and did not have the opportunity to subpoena him or his

employer for the subject File during the course of discovery in this case.

(2) Plaintiff objects to defendant’s depositions as follows:

Response to defendant’s general objections: Defendant’s general

objection to the use of Tungwongsathong’s deposition is irrelevant and lacks

merit. Plaintiff did not designate portions of Tungwongsathong’s deposition

about which defendant objects, and therefore his general objections are

meaningless and should be overruled. However, the Commission contends that its

questions put to Tungwongsathong concerning bank accounts and stock

transactions were relevant to Glisson’s 2010 transactions in CMKM stock, and the

instructions by defense counsel not to answer were improper and impeded the

legitimate discovery efforts by plaintiff.

Defendant Glisson’s general objection to the use of Mr. Perry’s deposition

testimony on the basis that Perry supposedly failed to turn over his notes to

defense counsel during Perry’s January 25, 2011 deposition is factually and

legally baseless. Mr. Perry neither reviewed nor referred to any notes at any time

during his January 25, 2011 deposition, and stated as such under oath. Mr. Perry

did not have any notes with him during his January 25, 2011 deposition. At no

time during discovery did defense counsel make any attempt to subpoena any

documents from Mr. Perry, or from his employer Edward Jones. Defendant’s

general objections to the admissibility of the Perry deposition should be overruled.


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26

Plaintiff’s Specific objections to Defendant’s Designations of the

Thidarat Tungwongsathong Deposition:

Page 37, line 1: Object that designation is incomplete. This is an answer to

a question that is not designated and therefore lacks foundation. Page 36, lines

24-25 should be added to provide foundation for the designated answer.

Page 38, line 25: Object that designation is incomplete. This is a question

that is not answered and therefore provides no relevant or admissible evidence.

Page 39, lines 1-2 should be added to complete the designation.

Page 69, lines 3-4: Objection that designation is incomplete. This is part of

a question and as such does not contain relevant or admissible evidence.

Page 84, line 10 through 85, line 9: Objection that designation is

incomplete and not relevant. The designation consists largely of colloquy

between Glisson’s attorney and the witness which is not relevant or admissible. In

addition, the designation includes an objection by defense counsel which

presumably is being withdrawn by the designation of the answer to the question;

the objection is inadmissible and irrelevant.

Page 93, lines 6-8: Objection that the testimony is irrelevant. In response

to a pending question, defense counsel interposes a speaking objection, which is

not admissible, and the witness’s response is unclear. The evidence is more

confusing than probative and should be excluded.

Page 93, lines 23-23: Objection that the testimony is irrelevant, confusing,

and cumulative. The witness did not provide a yes or no answer, and it is unclear

what is meant by “uh-huh.”

Page 94, lines 24 to Page 95, line 2: Objection that counsel’s objection is

inadmissible because it is not evidence. The question and answer on page 95,

lines 1-2 are confusing and cumulative, and therefore not relevant.


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12

13

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16

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23

24

25

26

Page 98, lines 11-16: Objection that this evidence is cumulative of the

testimony previously designated by defendant at page 40, lines 16-19, and

therefore is irrelevant and inadmissible.

Page 112, lines 21-13: Objection that no such lines exist and the

designation is irrelevant.

Page 115, lines 2-25: Object only to the extent the designation includes

objections by defense counsel within the designation, and note that otherwise this

passage was designated by plaintiff. By designating the questions and answers,

counsel is waiving the objections. The objections are inadmissible and irrelevant

and should be excluded, specifically page 115, lines 8-9 and 16-17.

Page 117 lines 15-24, Page 118, lines 1-5: Object to the designation of

defense counsel’s objection and the statement by the witness asking for

clarification of the question following the objection, all of which is not relevant or

admissible evidence. Object to page 118, lines 1-5 on the grounds that the

question is vague and the answer is non-responsive. Defense counsel moved to

strike the answer as non-responsive at the deposition. See page 118 lines 7-9.

Page 167, line 4: Object that the designation is incomplete in that it

contains an answer and no question. Plaintiff has designated the entire question

and answer.

Page 199, lines 5-18: Object that designation is incomplete in that the

question is not included, and defense counsel interposed an objection to the

question. The resulting testimony is incomplete and therefore more confusing

than probative, and irrelevant, and should be excluded.

Page 208, lines 5-10: Object that the designation includes an objection that

is irrelevant and inadmissible. Object that the question calls for a legal conclusion

which the witness is not qualified to provide and therefore is inadmissible.


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19

20

21

22

23

24

25

26

Page 219, lines 18-16: Object that the designation is irrelevant colloquy by

the Court reporter that is inadmissible.

Page 249, line 5 through 250, line 7: Object to the question by defense

counsel, also representing the witness, asking for “further clarification of prior

testimony” as being leading, vague, and ambiguous, and the answer is

unintelligible and confusing, and therefore inadmissible. Object to the questions

concerning the date of a particular sale of stock as they are not evidence, but

speculation by the witness which is inadmissible.

Plaintiff’s Specific Objections to Defendant’s Designations of the Jason

Perry Deposition:

Page(s) 77:25-78:2: Objection. Calls for legal conclusion regarding effect

of stock deregistration, incomplete hypothetical, lacks foundation.

Page 81:18-2: Objection. Compound, vague and ambiguous as to

“suitability form.”

Page 87:15-16: Objection. Argumentative, Compound.

Page 89:14-15: Objection. Calls for legal conclusion regarding facts

constituting the offense of money laundering.

Page 110:18: Objection. Incomplete designation, designation should extent

to 111:1.

Page 114:8-10: Objection. Calls for legal conclusion regarding propriety of

sales of unregistered stock, incomplete hypothetical.

Page 114:16-17: Objection. Calls for legal conclusion regarding propriety

of sales of unregistered stock, incomplete hypothetical.

Page 114:22-23: Objection. Calls for legal conclusion regarding propriety

of sales of unregistered stock, incomplete hypothetical.


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8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

Page 115:3-6: Objection. Calls for legal conclusion regarding propriety of

sales of unregistered stock, incomplete hypothetical.

:15: Objection. Calls for legal conclusion regarding propriety of

sales of unregistered stock.

Page 117:4-8: Objection. Mischaracterization of witness’s prior testimony

regarding conversations with Marco Glisson.

Page 117:22-23: Objection. Witness lacks foundation to opine as to

Glisson’s reasons for using the word “dump” in relation to his sales of

unregistered CMKM stock, calls for speculation regarding Glisson’s reasons for

using the word “dump” in relation to his sales of unregistered CMKM stock.

Page 129:17-20: Objection. Lacks foundation as witness is being asked to

testify as to Glisson’s intent, calls for speculation, compound.

Page 130:15-16, 20: Objection. Lacks foundation as witness is being asked

what Glisson meant when he used the word “seller,” calls for speculation

regarding Glisson’s use of the word “seller.”

Page(s) 133:14-25. 134-136:3: Objection. There are no questions to, nor

answers from, the witness within this designation. Rather, this is a discussion

amongst counsel that does not constitute relevant or admissible evidence.

Page(s) 146:8-10: Objection. Incomplete hypothetical.

Page(s) 165:12-14: Objection. Compound.

Page(s) 165:23: Objection. Lacks foundation, calls for speculation

regarding Marco Glisson’s intent.

Page(s) 168:22, 24: Objection. Lack foundation.

Page 173:4-7, 12-14, 21: Objection. Lack foundation, call for speculation.

Witness is being asked to opine as to knowledge of individuals that Marco Glisson

communicated with, as well as intensity Glisson’s interest in CMKM.

Case 2:09-cv-00104-LDG-GWF Document 66 Filed 04/15/11 Page 116 of 127

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Page 182:15-18: Objection. Lacks foundation, calls for legal opinion

regarding implications of stock ownership.

Page 187:6-10: Objection. Calls for legal opinion regarding legality of

securities transactions, mischaracterizes witness’s testimony, vague and

ambiguous as to “securities transaction.”

Page 187:14, 16-17, 19: Objection. Calls for legal opinion regarding

legality of securities transactions, mischaracterizes witness’s testimony, vague and

ambiguous as to “securities transaction.”

Page 191:15-16, 21-23: Objection. Call for legal conclusions/opinions

regarding what constitutes a “market maker”, lack foundation.

Page 192:4-6, 15-16, 21-22: Objection. Call for legal conclusions

regarding what activities are sufficient to support a finding that an individual is a

“market maker,” lacks foundation.

Page 194:22-24: Objection. Call for legal conclusions regarding what

activities are sufficient to support a finding that an individual is a broker or dealer,

lacks foundation.



lacks foundation.



lacks foundation.

Page 205:19-21: Objection. Unintelligible, lacks foundation.

///

///

///


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Plaintiff’s Specific Objections to Defendant’s Designations of the Aaron

White Deposition:

Page 26, lines 9-25, page 27, lines 1-8: Object that designation is

incomplete, and further object to statements by defendant Marco Glisson (page

26, line 13) and defense counsel (page 26, line 16) suggesting answers to the

witness. The designation is incomplete because the question begins on line 8.

The comments by Glisson and defense counsel are not admissible evidence,

consist of speculation and lack foundation, and should be stricken. Because of the

incomplete designation and the confusion caused by Glisson and defense counsel,

the designation should be excluded.

Page 43, 18-25, page 44, lines 1-25, page 45, lines 1-3: Objection that

designation is incomplete because a complete answer is not being designated for

the last question. Plaintiff objects that page 45, lines 4-6 should be included for

completeness.

Page 57, lines 16-20: Object because the designation is incomplete.

Defense counsel interposed an objection as the witness was responding, and fails

to include the complete response. Plaintiff objects that page 57, lines 25, and page

58, lines 1-6 should be included for completeness.

Page 82, line 10: Object that defense counsel’s objection is not admissible

and irrelevant, and should be stricken. Since defense counsel is designation the

question and answer, the objection should be deemed to be withdrawn.

Page 96, lines 15-25: Object to the form of the question as overbroad and

lacking foundation at page 96, lines 15-19. In fact, the witness’s answer shows

misunderstanding when he begins: “Well, I mean, that depends on what you’re

looking for there.”

Page 97, line 21-25 and Page 98, lines 1-2: Object that the question calls


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for a legal conclusion, lacks foundation, and is inadmissible lay opinion

testimony. Witness is not an expert in what constitutes being a broker, and his

opinion is irrelevant. There is no foundation for the criteria the witness may be

using to assess who is a broker. The testimony is irrelevant and should be

excluded.

Page 107, lines 1-12 and 13-22: Object to question as irrelevant, lack of

foundation, and leading. There is no foundation for the question concerning

whether the SEC gave instructions to the transfer agent regarding transfers, or the

follow-up question about “concern” of the SEC that Transfer Online “might be

violating any laws.” There is no obligation by the SEC to express concern about

possible violations of the securities laws, and no legal obligation for the SEC to

advise a transfer agent concerning transfer of securities. The questions

presuppose a duty on the SEC that does not exist, and therefore lack foundation

and are irrelevant. Finally, there is no basis for defense counsel to ask leading

questions of this third party witness.

Page 107, lines 24-25, 1-16: Object that the designation is incomplete.

Assuming defendant is designating page 108, lines 1-16, object that the first two

questions in this designation are overbroad, lack foundation, and are leading. The

first question asking about whether Glisson “was going to violate any law” (page

107, line 24 to page 108, line 2) is overbroad and lacks foundation as to what that

means, since it could include money laundering, tax evasion, securities fraud, and

a host of possible violations of federal and state law. The witness lacked any

foundation to respond to the question. The second question is leading and

irrelevant.

Page 111, lines 22-25, page 112, line 1: Object that the question is leading,

lacks foundation, overbroad, and is irrelevant. The question does not identify any


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issuer. Even assuming the witness understood the question was directed only at

CMKM, the question lacks foundation because it presupposes that the SEC had

some obligation to advise Transfer Online concerning the transfer of “any

particular shares or certificates for shares.” There is no foundation that the SEC

has any such obligation or the question is relevant to these proceedings.

Page 115, lines 12-25, page 116, lines 1-10: Object that the designation is

incomplete as it omits both part of the first question and the witness’s answer to

the last question in the designation. Further object that the question calls for

speculation, inadmissible lay opinion testimony, and lacks foundation. The

questions requests that the witness “infer” from receipt of a subpoena to appear as

a third party witness, which calls for speculation. The witness responds to the

question from defense counsel that “You’re asking me to go way beyond my

scope.” The witness’s answer establishes that the question is overbroad and lacks

foundation. The second question is similarly overbroad and vague, and defendant

fails to designate the answer, at page 116, lines 14-16, in which the witness states

that he has no experience one way or the other. The question and answer elicit no

relevant or admissible evidence and should be excluded.

VIII.

The following witnesses may be called by the parties upon trial:

(a) State names and addresses of plaintiff’s witnesses.

1. Marco Glisson 27973 Pinecrest Lane Bonita Springs, FL 34135 2. Thidarat Tungwongsathong 4973 Pepper Circle Naples, FL 34113


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3. Jason Perry c/o Christopher Haines, Associate Regulatory Counsel Edward Jones 1245 JJ Kelley Memorial Drive St. Louis, MO 63131

4. Aaron White Account Executive, Transfer Online, Inc. 512 SE Salmoon Street Portland, OR 97214

5. Roger Boudreau (summary witness) Securities and Exchange Commission 5670 Wilshire Boulevard, Suite 1100 Los Angeles, CA 90036

6. Robert Carmichael

Janesville, WI

7. Alma Padilla 382 Rockport Rd. Janesville, WI 53548 8. Custodian of Records Ameritrade 4211 South 102nd Street Omaha, NE 68127 9 Custodian of Records E-Trade P.O. Box 484 Jersey City, NJ 07303

10. Custodian of Records Bank of America P.O. Box 3609 Los Angeles, CA 90051

11. Custodian of Records Sun Trust Bank 7455 Chancellor Drive Orlando, FL 32809 12. Custodian of Records Blackhawk Community Credit Union

P.O. Box 1366 Janesville, WI 53547

13. Terry D. Nelson, Esq. Foley & Lardner 150 East Gilman Street Madison, WI 53703-1481


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14. Custodian of Records U.S. Securities and Exchange Commission 5670 Wilshire Blvd., Suite 1100 Los Angeles, CA 90036 15. Thomas J. Ciarimboli 7777 W. 91st St., #E-2141 Playa Del Ray, CA 90293 16. Witnesses designated by defendant

(b) State names and addresses of defendant’s witnesses.

1. Marco Glisson

c/o Robert H. Bretz, Esq. 578 Washington Blvd., # 843 Marina del Rey, CA 90292

2. Thidarat Tungwongsathong

c/o Robert H. Bretz, Esq. 578 Washington Blvd., # 843 Marina del Rey, CA 90292

3. Terry D. Nelson, Esq.

Foley & Lardner 150 East Gilman Street Madison, WI 53703-1481

4. Al Hodges, Esq.

Hodges and Associates 4 East Holly Street, Suite 202 Pasadena, California 91103-3900

5. William Percy 78 Indian Trail Andover, New Jersey 6. Joseph Ray Overman 643 Barham Rd. Reidsville, N.C. 27320 7. Shelia Morris

108 Wescoe Court Mooresville, N.C. 28117

8. Jack Miyler 401 E. Main Galesburg, Illinois 61401


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9. Connie Miyler 401 E. Main Galesburg, Illinois 61401 10. SEC Personnel (including Paris Wynn, Esq.)

5670 Wilshire Blvd., 11th Floor Los Angeles, CA 90036

11. Summary Witnesses

(to be determined/named after Glisson has the opportunity to obtain and review Plaintiff's summary witness' exhibits)

12. Custodian of Records

U.S. Securities and Exchange Commission Washington, D.C. and Los Angeles, California

13. Custodian of Records

1st Global Stock Transfer Las Vegas, Nevada

14. Custodian of Records CMKM Diamonds, Inc. Las Vegas, Nevada 15. Custodian of Records Bank of America Las Vegas, Nevada 16. Custodian of Records Transfer Online, Incorporated Portland, Oregon 17. Custodian of Records National Association of Securities Dealers Washington, D.C. 18. Witnesses designated by Plaintiff

IX.

Counsel have met and herewith submit a list of three (3) agreed-upon trial

dates:

October 3, 2011

October 17, 2011

November 14, 2011


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Defendant’s attorney is unavailable for trial (i) the first three weeks of July

2011, (ii) the first 2 weeks in September 2011, and (iii) the first 3 weeks in

December 2011. Defendant’s attorney’s schedule is open starting in 2012.

It is expressly understood by the undersigned that the court will set the trial

of this matter on one (1) of the agreed-upon dates if possible; if not, the trial will

be set at the convenience of the court’s calendar.

X.

It is estimated that the trial herein will take a total of five to six (5-6) days.

APPROVED AS TO FORM AND CONTENT

/s/ John B. Bulgozdy John B. Bulgozdy Paris A. Wynn Attorneys for Plaintiff Securities and Exchange Commission /s/ Robert H. Bretz Robert H. Bretz Attorney for Defendant Marco Glisson

XI.

ACTION BY THE COURT

(a) This case is set down for court/jury trial on the fixed/stacked calendar

on _________________________. Calendar call shall be held on

________________.

(b) An original and two (2) copies of each trial brief shall be submitted to

the clerk on or before _____________________________.

(c) Jury trials:


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(1) An original and two (2) copies of all instructions requested by

either party shall be submitted to the clerk for filing on or before

____________.

(2) An original and two copies of all suggested questions of the

parties to be asked of the jury panel by the court on voir dire shall be

submitted to the clerk for filing on or before ___________.

(d) Court trials:

Proposed findings of fact and conclusions of law shall be filed on or

before ____________.

The foregoing pretrial order has been approved by the parties to this action

as evidenced by the signatures of their counsel hereon, and the order is hereby

entered and will govern the trial of this case. This order shall not be amended

except by order of the court pursuant to agreement of the parties or to prevent

manifest injustice.

DATED: _____________.

___________________________________ UNITED STATES DISTRICT JUDGE or UNITED STATES MAGISTRATE JUDGE


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PROOF OF SERVICE I am over the age of 18 years and not a party to this action. My business address is: [X] U.S. SECURITIES AND EXCHANGE COMMISSION, 5670 Wilshire

Boulevard, 11th Floor, Los Angeles, California 90036-3648 Telephone No. (323) 965-3998; Facsimile No. (323) 965-3908. On April 15, 2011, I caused to be served the document entitled JOINT PRETRIAL ORDER on all the parties to this action addressed as stated on the attached service list: [ ] OFFICE MAIL: By placing in sealed envelope(s), which I placed for

collection and mailing today following ordinary business practices. I am readily familiar with this agency’s practice for collection and processing of correspondence for mailing; such correspondence would be deposited with the U.S. Postal Service on the same day in the ordinary course of business.

[ ] PERSONAL DEPOSIT IN MAIL: By placing in sealed

envelope(s), which I personally deposited with the U.S. Postal Service. Each such envelope was deposited with the U.S. Postal Service at Los Angeles, California, with first class postage thereon fully prepaid.

[ ] EXPRESS U.S. MAIL: Each such envelope was deposited in a

facility regularly maintained at the U.S. Postal Service for receipt of Express Mail at Los Angeles, California, with Express Mail postage paid.

[ ] HAND DELIVERY: I caused to be hand delivered each such envelope to

the office of the addressee as stated on the attached service list. [ ] UNITED PARCEL SERVICE: By placing in sealed envelope(s)

designated by United Parcel Service (“UPS”) with delivery fees paid or provided for, which I deposited in a facility regularly maintained by UPS or delivered to a UPS courier, at Los Angeles, California.

[ ] ELECTRONIC MAIL: By transmitting the document by electronic mail

to the electronic mail address as stated on the attached service list. [X] E-FILING: By causing the document to be electronically filed via the

Court’s CM/ECF system, which effects electronic service on counsel who are registered with the CM/ECF system.

[ ] FAX: By transmitting the document by facsimile transmission. The

transmission was reported as complete and without error. I declare under penalty of perjury that the foregoing is true and correct. Date: April 15, 2011 /s/ John B. Bulgozdy John B. Bulgozdy


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SEC v. MARCO GLISSON United States District Court - District of Nevada

Case No. 2:09-cv-00104-LDG-GWF (LA-3028)

SERVICE LIST

Robert H. Bretz, Esq. (served via CM/ECF only) 578 Washington Boulevard, Suite 843 Marina del Rey, CA 90292 Email: [email protected] Attorney for Marco Glisson
