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SECURITIES AND EXCHANGE COMMISSION v. COPELAND

Case No. CV-11-08607 R (DTB).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. CHARLES P. COPELAND, COPELAND WEALTH MANAGEMENT, A FINANCIAL ADVISORY CORPORATION, and COPELAND WEALTH MANAGEMENT, A REAL ESTATE CORPORATION; Defendants.

United States District Court, C.D. California.

October 11, 2011.

Attorney(s) appearing for the Case

JOHN M. McCOY III, Cal. Bar No. 166244, Email: [email protected]. SPENCER E. BENDELL, Cal. Bar No. 181220, Email: [email protected], DAVID M. ROSEN, Cal. Bar No. 150880, Email: [email protected].

Attorneys for Plaintiff, Securities and Exchange Commission, Rosalind R. Tyson, 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.

COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS

Plaintiff Securities and Exchange Commission ("Commission") alleges:

JURISDICTION AND VENUE

1. This Court has jurisdiction over tins action pursuant to Sections 20(b), 20(d)(1) and 22(a) of the Securities Act of 1933 ("Securities Act"), 15 U.S.C. §§ 77t(b), 77t(d)(1) & 77v(a), Sections 21(d)(1), 21(d)(3)(A), 21(e) and 27(a) of the Securities Exchange Act...

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