Securities and Exchange Commission v. Champion-Cain

District Court, S.D. California·Decided May 6, 2020·No. 3:19-cv-01628·Unknown

Opinion

1 2 3 4 5 6 7 8 UNITED STATES DISTRICT COURT 9 SOUTHERN DISTRICT OF CALIFORNIA 10 11 SECURITIES AND EXCHANGE Case No.: 3:19-cv-1628-LAB-AHG COMMISSION, 12 ORDER GRANTING: Plaintiff, 13 v. (1) RECEIVER’S MOTION FOR 14 APPROVAL OF SALE OF THE GINA CHAMPION-CAIN AND ANI 15 SWELL COFFEE RESTAURANT DEVELOPMENT, LLC, PROPERTY AND ASSOCIATED 16 Defendants, and PERSONAL PROPERTY; 17 (2) RECEIVER’S MOTION FOR 18 AMERICAN NATIONAL APPROVAL OF SALE OF THE 19 INVESTMENTS, INC., SASKA’S RESTAURANT PROPERTY AND ASSOCIATED 20 Relief Defendant. PERSONAL PROPERTY AND 21 LIQUOR LICENSE; and

22 (3) RECEIVER’S MOTION FOR 23 APPROVAL OF SALE OF PERSONAL PROPERTY AND 24 ASSIGNMENT OF COMMERCIAL 25 LEASE ASSOCIATED WITH BAO BEACH RESTAURANT 26

27 [ECF Nos. 275, 276, 289]

28 1 I. BACKGROUND 2 As described in prior orders, see, e.g., ECF Nos. 54, 162, 163, this is an action 3 brought by the Securities and Exchange Commission (“SEC”) against Defendants ANI 4 Development, LLC (“ANI Development”) and Gina Champion-Cain and Relief Defendant 5 American National Investments, Inc. (“ANI Inc.”), alleging violations of federal securities 6 laws based on a purportedly fraudulent liquor license loan scheme. ECF No. 1. 7 On September 3, 2019, the Court established an equitable receivership and appointed 8 Krista L. Freitag (“Receiver”) as a permanent receiver of ANI Development and ANI Inc., 9 authorizing her to take control over all funds and assets owned, managed, or in the 10 possession or control of the receivership entities. See ECF No. 6 at 14-16. In that role, the 11 Receiver acts under the control and direction of the Court to facilitate the “orderly and 12 efficient administration of the estate . . . for the benefit of creditors.” SEC v. Hardy, 803 13 F.2d 1034, 1038 (9th Cir. 1986). See also Atl. Tr. Co. v. Chapman, 208 U.S. 360, 370 14 (1908) (explaining that a motion to appoint a receiver to take charge of property is “to the 15 end that the property might be cared for and preserved for all who had or might have an 16 interest in the proceeds of its sale. . . . Immediately upon such appointment and after the 17 qualification of the receiver, the property passed into the custody of the law, and 18 thenceforward its administration was wholly under the control of the court by its officer [], 19 the receiver.”). On December 11, 2019, the presiding judge in this action, Chief Judge 20 Burns, granted the parties’ Joint Motion (ECF No. 156) to give limited consent to the 21 undersigned to hear and directly decide all motions filed in this action to approve sales of 22 receivership assets. ECF No. 160. See also 28 U.S.C. § 636(c); CivLR 72.1(g). All property 23 sale motions are set before the undersigned pursuant to that grant of consent. 24 Before the Court are three pending motions seeking Court approval of the sale of 25 restaurant properties and related property or property interests owned by receivership 26 entities: (1) the Receiver’s Motion for Approval of Sale of the Swell Coffee Restaurant 27 Property and Associated Personal Property (ECF No. 275) (the “Swell Coffee Motion”), 28 filed March 12, 2020; (2) the Receiver’s Motion for Approval of Sale of the Saska’s 1 Restaurant Property and Associated Personal Property and Liquor License (ECF No. 276) 2 (the “Saska’s Motion”), filed March 12, 2020; and (3) the Receiver’s Motion for Approval 3 of Sale of Personal Property and Assignment of Commercial Lease Associated with Bao 4 Beach Restaurant (ECF No. 289) (the “Bao Beach Motion”), filed March 27, 2020. The 5 Court considers these three motions together for the sake of efficiency and because many 6 of the background facts overlap with respect to the Receiver’s solicitation of brokers and 7 marketing of the properties. 8 Pursuant to the Court’s briefing schedule orders, responses in opposition to the Swell 9 Coffee Motion and the Saska’s Motion were due no later than March 30, 2020, and 10 responses to the Bao Beach Motion were due no later than April 10, 2020. ECF Nos. 278, 11 290. No responses were filed. Additionally, in both briefing schedule orders, the Court 12 noted that “[if] no opposition is filed by the deadline, and the overbid submission deadline 13 has passed with no overbids, the Court may take any unopposed motion under submission 14 without oral argument.” ECF Nos. 278 at 2, 290 at 2. The Receiver reported that no 15 overbids for any of the properties were submitted by the applicable deadlines advertised to 16 the public in accordance with the statutorily mandated notice and overbid process. See ECF 17 Nos. 296, 297, 307. Therefore, being fully advised and noting the lack of opposition, the 18 Court will GRANT the Swell Coffee Motion (ECF No. 275), Saska’s Motion (ECF No. 19 276), and Bao Beach Motion (ECF No. 289) without oral argument,1 for the reasons 20 explained more fully below. 21 II. LEGAL STANDARD 22 “[I]t is a recognized principle of law that the district court has broad powers and 23 wide discretion to determine the appropriate relief in an equity receivership.” SEC v. 24 Lincoln Thrift Ass’n, 577 F.2d 600, 606 (9th Cir. 1978). Where a district court sits in equity, 25

26 27 1 In consideration of the lack of opposition and non-receipt of qualified overbids, the Court took all three present motions under submission on April 23, 2020 and vacated the 28 1 “[u]nless a statute in so many words, or by a necessary and inescapable inference, restricts 2 the court’s jurisdiction in equity, the full scope of that jurisdiction is to be recognized and 3 applied. ‘The great principles of equity, securing complete justice, should not be yielded 4 to light inferences, or doubtful construction.’” Porter v. Warner Holding Co., 328 U.S. 5 395, 398 (1946). 6 “[A] district court’s power to supervise an equity receivership and to determine the 7 appropriate action to be taken in the administration of the receivership is extremely broad.” 8 Hardy, 803 F.2d at 1037. As part of this broad discretion, the district court sitting in equity 9 and having custody and control of property “has power to order a sale of the same in its 10 discretion. The power of sale necessarily follows the power to take control of and to 11 preserve property[.]” SEC v. Am. Capital Investments, Inc., 98 F.3d 1133, 1144 (9th Cir. 12 1996), abrogated on other grounds by Steel Co. v. Citizens for a Better Env’t, 523 U.S. 83, 13 93-94 (1998) (quoting 2 Ralph E. Clark, Treatise on Law & Practice of Receivers § 482 14 (3d ed. 1992)). If the court approves an equitable receiver’s proposed property sale, the 15 sale “does not . . . purport to convey ‘legal’ title, but rather ‘good,’ equitable title enforced 16 by an injunction against suit.” Id. (citing 2 Clark, Treatise on Law & Practice of Receivers, 17 §§ 342, 344, 482(a), 487, 489, 491). 18 Pursuant to 28 U.S.C. § 2001(a), real property in the possession of an appointed 19 receiver is subject to a public sale process, “upon such terms and conditions as the court 20 directs.” 28 U.S.C. § 2002

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