brian barry #13563 1 jill levine betts #208065 law...

BRIAN BARRY #13563 1JILL LEVINE BETTS #208065LAW OFFICES OF BRIAN BARRY1801 Avenue of the Stars , Suite 307Los Angeles , California 90067Telephone : 310 788-0831Facsimile : 310 788-084 1

Attorneys for Class Action Plaintiffs[Additional Counsel on Signature Page]

UNITED STATES DISTRICT COURTCENTRAL DISTRICT OF CALIFORNIA - WESTERN DIVISIO N

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In re HERITAGE BOND LITIGATIO N

David Sinow , Howard Preston , Langdon Parrill,Ray Stits , Barrett Anderson , Laurence Pilgeram,Scott McKenry , Ralph Allman, and Gilber tKivenson , On behalof themselves and allothers similarly situated,

Plaintiffs,V.

U.S. Trust Company of Texas N .A., U.S . TrustCorporation , Tarrant County Health FacilitiesDevelopment Corporation Jerold Goldstein,Onofrio V. Bertolini , Stephen P . Goodman,Evan Greenspan Estate of Andrew Ko rnre ich,Deceased , Cary &Vledill , Estate of Emery Rubin,Larry A. Rubin , Herbert Saltzman , Virgil Lim,Clarke Underwood , Donald B . Chalker,Marsha ll Wexler , Robert Kasirer, Debra Kasirer,Bistra & Munkacs Holdings , Inc., JDDJHoldings, L .P ., Health Care Holdings, LLCCareContmuum LLC, Louis Pontarelli , WilliamFilippone , Leo I5ierckman , Alan Pollak, GeriOstIund , Richard Kuhl, James E. Iverson , VictorP . Dhooge John M. Clarey James F . Dlugosch,Edward J . IIentges , Kenneth R. Larsen, JeromeE. Tabolich , Steven W. Erickson , Paul R .Ekholm, Kenneth E . Dawkins Joel T . Boehm,Sabo & Green, Atkinson , Andelson, Loya, Ruud& Romo Valuation Counselors Group , Inc.,Capital consulting Group , Inc., HealthcareFinancial Solutions Group , Inc., Zelenofske,Axelrod & Co ., Ltd ., Berman and Bertolini, Inc .aka Berman & Associates , Michael Sobelman,Sobelman Cohen & Sullivan LLP , Foley &Lardner as Doe No. 2, and Wildman , HarroldAllen & Dixon as Doe No . 3 and Does 4-10 ,

Defendants .

02-ML-1475-DT(RCx)

Consolidated With Case Nos:CV 01-5752 DT (RCx)CV 02-382 DT RCx)CV 02-993 DT RCx)CV 02-2745 D RCx)CV 02-6484 DT RCx)CV 02-6841 DT ( Cx)CV 02-9221 DT (RCx)

Com anion CaseCV 2-6512 DT

This Document Relates To :

CV 02-382 DT (RCx)

NOTICE OF MOTIONAND MOTION FORENTRY OF JUDGMENTAGAINST VIRGIL LIM;MEMORANDUM OFPOINTS ANDAUTHORITIES INSUPPORT

Date: August 9 2004Time : 10:00 A.M .Courtroom: 880Hon. Dickran Tevrizian

Discovery Cutoff: 8/27/04Pre-Trial Conf 11/1/04

NOTICE OF MOTION AND MOTION FOR ENTRY OF JUDGMENT AGAINST VIRGIL LI MMotion LirJudgement .wpd

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TO ALL PARTIES HEREIN AND TO THEIR ATTORNEYS OF RECORD :

PLEASE TAKE NOTICE that on August 9, 2004 at 10 :00 a.m., or as soon

thereafter as the matter may be heard in Courtroom 880 of the Honorable Dickran

Tevrizian of the above-entitled Court, located at the Roybal Federal Building, 255

East Temple Street, Los Angeles, California 90012, the class in the above-entitled

action will move the Court for entry of judgment against defendant Virgil Lim as

more particularly set out in the attached motion and memorandum of points and

authorities in support thereof. This notice is given pursuant to Federal Rules of

Civil Procedure 5 and 55(b)(2) .

Dated : July 19, 2004 LAW IC~_~~V BARRY

1801 Avenue of the Stars, Suit 307Los Angeles, CA 90067Telephone: (310) 788-0831Facsimile: (310) 788-0841

GLANCY BINKOW & GOLDBERG LLPLionel Z. GlancyPeter Binkow1801 Avenue of the Stars, Suite 311Los Angeles, CA 90067Telephone : (310) 201-9150Facsimile: (310) 201-9160

Co Lead Counsel for Class Action Plaintiffs

NOTICE OF MOTION AND MOTION FOR ENTRY OF JUDGMENT AGAINST VIRGIL LIMMotionLimJudgement.wpd 1

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INTRODUCTION

Plaintiffs in this class action respectfully move this Court for entry o f

judgement in the amount of $23,676,057 against defendant Virgil Lim

("Defendant") . This motion is based on this Court's Order of June 28, 2004

Granting Plaintiffs' Motion for Partial Summary Judgment, or Alternatively for

Summary Adjudication of Issues, on Fifth Cause of Action (Negligence) Against

Defendant Virgil Lim. ("Order"); this memorandum of points and authorities ; the

accompanying Declaration of Brian Barry in Support of Plaintiffs' Motion for

Entry of Judgment Against Virgil Lim ; and all other pleadings and records on file

in this action and upon such other oral and documentary evidence as may be

presented at the hearing on this motion .

STATEMENT OF FACTS

Heritage Housing Development, Inc . ("HHD") was the parent corporation of

the Heritage facilities . Defendant held various corporate position at HHD between

1997 and 2000 including Treasurer, Secretary, and Controller . During his

corporate tenures, Defendant personally prepared, signed, and submitted to U .S .

Trust Company of Texas, N .A ., the bond trustee ("U.S . Trust"), requisition

certificates and corporate invoices requesting transfers of funds among the various

Heritage facilities (the "inter-company transfers") . The bond proceeds from the

Heritage offerings were used to fund the inter-company transfers . The inter-

company transfers were utilized because the bank accounts of the other Heritage

facilities were overdrawn . Beginning in January 1998, HHD served as the

corporate conduit for the inter-company transfers among the Heritage facilities .

On June 28, 2004, this Court issued its Order granting Plaintiffs' Motion fo r

Partial Summary Judgment . The Court held that Defendant owed a duty to

Heritage bondholders by virtue of Defendant's positions in HHD coupled with hi s

NOTICE OF MOTION AND MOTION FOR ENTRY OF JUDGMENT AGAINST VIRGIL LIMMotionLimJudgement .wpd 2

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recommendation that HHD serve as a conduit for the inter-company transfers and

by the fact that Defendant prepared requisition certificates (including requisition

certificates that contained "dummy" invoices) to obtain proceeds for the improper

inter-company transfers . (Order at 9-10) .

The Court further held that "Defendant unquestionably breached his dut y

to . . .Plaintiffs ." (Id. at 14). First, the Court held that by submitting "dummy"

invoices to U.S . Trust defendant violated California Corporations Code section

1507, and thus breach was presumed under the doctrine of negligence per e . (Id.

at 11-13 ). Second, and independently, the Court held that Defendant breached his

duty by failing to "exercise even minimal due diligence" in determining the

appropriateness of the inter-company transfers while at the same time "actively

participating in and facilitating the improper inter-company transfers" . (Id. at 13) .

Moreover, the Court held that Defendant's creation of "dummy" invoices which

caused bond funds to be released also constituted a breach of duty . (Id . at 14) .

The Court further held that Defendant 's breach caused Plaintiffs' injury .

(Id. at 14-17). Specifically, that Defendant's conduct "was integral to bringing

about the illegal inter-company transfers such that reasonable jurors could only

conclude that Defendant's acts caused Plaintiffs' injury." (Id. at 17). The Court

stated that the inter-company transfers "effectively diverted and diluted Plaintiffs'

investments because they were never repaid by the recipient Heritage facilities" .

(Id. at 15) . Moreover, the "dummy" invoices caused Plaintiffs' injury because

they allowed HHD to obtain bond proceeds to fund the improper inter-company

transfers . (Id. at 16) .

Finally, the Court held that Plaintiffs were damaged stating that: "Plaintiffs

suffered economic damages as a result of Defendant's negligence . The improper

and impermissible inter-company transfers were never repaid by the recipien t


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Heritage facilities." (Id . at 17)

GROUNDS FOR RELIEF

Plaintiffs seek an entry of judgment against Defendant in the amount o f

$23,676,057. The specific details by which Plaintiffs arrive at this amount is fully

set-forth in the Declaration of Brian Barry that accompanies this motion . In

summary, this amount was arrived at by adding the total value of requisition

certificates which included "dummy" invoices that Defendant created, to the inter-

company transfers that Defendant authorized by signing the necessary transfer

authorization. This total does not include all transfers facilitated by HHD even

though this Court indicated that Defendant acted negligently in recommending, on

his own initiative, that HHD act as a conduit for the inter-company transfers . (See

Order at 9, 16) Therefore, the total amount requested in this motion is likely less

that an amount that would correlate to Defendant's total liability .

Plaintiffs respectfully submit that the amount requested is consistent wit h

the reasoning of the Court in granting Plaintiffs' Motion for Partial Summary

Judgment against Defendant . Specifically, that Plaintiffs' monetary damage was

caused by the inter-company transfers that were never repaid by the recipient

Heritage facilities thus effectively diluting and divesting Plaintiffs' of their

investments. (See Order at 15-16) . Therefore, the total includes the amount of

inter-company transfers authorized by Defendant . In addition, since the "dummy"

invoices provided the funds through which certain inter-company transfers were

actualized, the amounts of the requisition certificates that contained "dummy"

invoices created by Defendant are included in the total . '

The total amount does not include "double counting ." That is, ifPlaintiffs have evidence of a requisition certificate issued upon a "dummy"invoice in a certain amount as well as evidence that the money from that invoicewas transferred between Heritage Entities, Plaintiffs onl y included the figure once


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Plaintiffs also respectfully submit that the methodology used to arrive at th e

amount is consistent with the methodology adopted by the Court in its Order

Granting Plaintiffs Motion for Default Judgment Against the Estate of Andre w

Kornreich ("Kornreich Order") . In that Order, the Court entered judgment against

the Estate in the amount of $14,379,965.06. (Kornreich Order at 11) . A portion of

that judgment ($7,877,381) included the amount of funds unlawfully transferred

between Heritage Entities. (See Kornreich Order at 8-9) . Similarly, here, the

requested judgment includes the amount of funds that were improperly transferred

under the authorization of Defendant. In addition, the requested judgment

includes the amount of bond funds received through requisition certificates

premised on "dummy" invoices created by Defendant ; these funds were ultimately

used in the inter-company transfers .

CONCLUSION

For the foregoing reasons, and for the reasons stated in the Court's previou s

Order granting Plaintiffs' Motion for Partial Summary Judgment, as well as the

accompanying declaration of Brian Barry, Plaintiffs respectfully request that thi s

Court enter judgment in the amount of $23,676,057 against Defendant Virgil Lim .

Dated: July 19, 2004 Y

Jill Levine"Betts #2080651801 Avenue of the Stars, Suite 3Los Angeles, CA 90067Telephone : (310) 788-0831Facsimile : (310) 788-084 1

in arriving at the total .NOTICE OF MOTION AND MOTION FOR ENTRY OF JUDGMENT AGAINST VIRGIL LIM

MotionLimludgement.wpd 5

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GLANCY BINKOW & GOLDBERG LLPLionel Z . GlancyPeter Binkow1801 Avenue of the Stars, Suite 311Los Angeles , CA 90067Telephone : (310) 201-9150Facsimile: (310) 201-9160

Co Lead Counsel for Class Action Plaintiffs


PROOF OF SERVICE VIA ELECTRONIC TRANSFE R

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STATE OF CALIFORNIA, COUNTY OF LOS ANGELE S

I the undersigned, declare : that I am employed in the aforesaid County,State of California in the office of a member of the Bar of this Court at whosedirection the following service was made. I am over the age of 18 and not a partyto the within entitled action - my business address is : 1801 Avenue of the Stars,Suite 307 , Los Angeles , California 90067 .

On Jul 19 2004 , I served upon the interested parties in this action,pursuant to Fed. k. Civ . P. Rule 5 (b) and Local Rule 5-3, the document describedas follows:

MOTION AND MEMORANDUM FOR ENTRYOF JUDGMENT AGAINST VIRGIL LIM

[X] by sending electronically a true and correct copy thereof to Verilaw forservice on all counsel ofrecord (see attached service list) by electronicservice pursuant to the Order Re: Electronic Service .

By electronic transfer I sent said document to Verilaw Technologies Inc .,located at 400 East Lancaster Avenue, Suite 300, Wayne, Pennsylvania 19687www.verilaw.com initiated on the Heritage Bond Litigation Website, before thehour of 6:30 PM.

I declare under penalty of perjury under the laws of the State of Californiaand the United States of America, that the foregoing is true and correct . Executedon July 19, 2004, at Los Angeles, Los Angeles County, California.

NOTICE OF MOTION AND MOTION FOR ENTRY OF JUDGMENT AGAINST VIRGIL LIMMotion LimJudgement.wpd 1

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CONSOLIDATED SERVICE LIS TIN RE HERITAGE BOND LITIGATIO N

For Defendants

William CrockettSteve SkirvinDion-Kindem & CrockettLNR Warner Center21271 Burbank Blvd ., Suite 100Woodland Hills, CA 91367Telephone : (818) 883-4400Facsimile : (818) 676-024 6

Attorneys for Jerold Goldstein, ClarkeUnderwood, Richard Kuhl and G . Ostlund

John CaronMatt Stei nReback McAndrews & Kjar1230 Rosencrans Ave ., Suite 450Manhattan Beach . CA 90266Telephone : (310) 297-9900Facsimile : (310) 297-9800

-and-

Dennis Neil JonesMyers, Widders, Gibson, Jones &Schneider , L .L.P .5425 Everglades StreetP .O.Box 7209Ventura , CA 93006Telephone : (805) 644-7188Facsimile: (805) 644-739 0

Attorneys for Michael Sobelman andSobelman's firm

Steve Schwartz X18Schwartz and Janzen LLP12100 Wilshire Blvd ., #1125Los Angeles, CA 90025Telephone: (310) 979-4090Facsimile : (310) 207-3344

Attorneys for Onofrio Bertolini and Bermanand Bertolini, Inc. aka Berman & Associatesand William Filippone

Steve BaconHill Farrer & B urri l l LLPOne California Plaza, 37th Fl .300 S. Grand Ave .Los Angeles, CA 90071Telephone : (213) 620-0460Facsimile: (213) 624-4840

Attorneys for U.S. Trust

Gary A . Kurtz, Esq .20335 Ventura Blvd ., Suite 200Woodland Hills, CA 91364Telephone : (818) 884-8400Facsimile: (818) 884-8404Attorneys for Robert Kasirer and relatedcompanies, JDDD Holdings L.P., BHM,Health Care Holdings LLC, Carecontinuum

Frank J . Ozelto, Jr .Gray, York & Duffy15760 Ventura Blvd ., 16th FloorEncino, CA 91436Telephone : (818) 907-4000Facsimile : (818) 783-455 1

Attorneys for Stephen P . Goodman

Roman Mosqued aLaw Offices of Roman Mosqueda3350 Wilshire Blvd., Suite 735Los Angeles, CA 90010Telephone : (213) 252-9481Facsimi le: (213) 252-592 9

Attorneys for Virgil Li m

Fred FensterRutter Hobbs & Davidoff1900 Avenue of The Stars, Suite 2700Los Angeles, CA 9006 7Telephone : (310) 286-1700Facsimile : (310) 286-172 8

Attorneys for Estate of Emery Rubin

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Arthur C, Chamber sLaw Offices of Arthur C . Chambers2095 Van Ness Avenu eSan Francisco, CA 94109Telephone: (415) 775-2144Facsimile : (415) 775-130 8

Attorneys for Herbert Saltzman

Francis Bottini Jr .Wolf Haldenstein Adler

Freeman & Herz LLP750 B Street, Suite 2770San Diego, CA 92101Telephone: (619) 239-4599Facsimile : (619) 234-459 9

Attorneys for Evan Greenspan and CaryMedill, the Esta te of Andrew Kornreich, andDonald Chalker

David R . SchwarczLaw Offices of David R . Schwarcz11355 West Olympic Blvd ., Suite 100Los Angeles, CA 9006 4Telephone : (310) 914-1770Facsimile : (310) 914-1774

Atto rn eys for Larry Rubin

Louis A . PontarelliP.O . Box 1935Temecula, CA 92593Telephone : (909) 699-7757Fascimile: (909) 587-9778in Pro Per

Mike GottschlichBarnes & Thornburg11 South Meridian StreetIndianapolis , IN 46204Telephone : (317) 231-1313Facsimile: (317) 231-7433Attorneys for Leo Dierckma n

Leon Smal lLaw Offices of Leon Small16530 Ventura Blvd . Suite 306Encino, CA 9143 6Telephone : (818) 906-2555Facsimile : (818) 907-8471Attorneys for Alan Pollak

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. .,

Charles R . GrebingWingert, Grebing, Brubaker & Ryan LLP600 West Broadway, 7th Floo rSan Diego, CA 92101-3370Telephone: (619) 232-8151 x7014Facsimile: (619) 232-466 5

Attorneys for Joel T. Boehm

Beth DunnSteve UribeButz Dunn Desantis & Bingham101 West Broadway, Suite 1700San Diego, CA 92101-8289Telephone: (619) 233-4777Facsimile : (619) 231-034 1

Attorneys for Joel Boehm, Sabo & Green

Daniel WhiteSusan Olive rWhite & Oliver, P .C .550 West C. Street, Suite 950San Diego, CA 92101Telephone: (619) 239 -0300Facsimile : (619) 239-0344

Attorneys for Atkinson, Andelson, Loya,Rudd & Rom o

Scott B . GarnerHowrey Simon Arnold & White2020 Main Street, Suite 1000Irvine, California 92614Telephone: (949) 721-6900Facsimile : (949) 721-6910Attorneys far Wildman, Harrold Allen &Dixon

Kevin RosenGibson Dunn & Crutcher333 South Gran dLos Angeles, California 90071Telephone: (213) 229-7000Facsimile : (213) 229-7520Attorneys for Foley & Lardner

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Dennis Brown, Esq .Munger Tolles & Olson LLP355 South Grand Ave .Los Angeles, CA 90071Telephone: (213) 683-9100Facsimile : (213) 687-370 2

Attorneys for Fulbright & Jaworski

Norman J . BaerAnthony Ostlund & Baer, P .A .3600 Wells Fargo Cente r90 South Seventh StreetMinneapolis, MN 55402Telephone : (612) 349-6969Facsimile : (612) 349-6996

Attorneys for Jerome A . Tabolich

Diane L . DraganDaniel J . Albregts, LTD .601 S . Tenth Street, Suite 202Las Vegas, NV 89101Telephone: (702) 474-4004Fax: (702) 474-073 9

Attorneys for Edward J. Heniges ; KennethR. Larsen; Steven W. Erickson ; Paul R .Ekholrn

Richard D. GluckFAIRBANK & VINCENT11755 Wilshire Boulevard, Suite 2320Los Angeles, CA 9002 5Telephone: (310) 996-5520Facsimile : (310) 996-5530Telephone: (619) 231-110 1

Attorneys for James E . Iverson

Miles ScullyGORDON & REES LLP101 West Broadway, Suite 1600San Diego, CA 92101Telephone: (619) 696-6700Facsimile : (619) 696-712 4

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Lindsay ArthurEugene Shermoe nArthur , Chapman , KetteringSmetak & Pikala, P .A .500 Young Quinlan Building81 South 9th StreetMinneapolis , MN 55402Telephone : (612) 339-3500Facsimile: (612) 339-765 5

Attorneys for John M. Clarey; Kenneth E.Dawkins

Jane HahnPatrick ConnorsHahn & Adem a501 W Broadway #1730San Diego, CA 92101Telephone: (619) 235-2100Facsimile: (619) 235-210 1

Attorneys for Victor Dhoog e

Michael SchiffEaston & Schiff10100 Santa Monica Blvd ., 8`r Fl .Los Angeles, CA 9006 7Phone: 310 772 2224Fax : 310 772 222 5

For: Marshall Wexle r

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Peter D . Sunukjia nDrinker, Biddle & Reath, LLP333 South Grand Avenue, Suite 1700

Los Angeles, CA 90071-1504Telephone : (213) 253-2300

Facsimile: (213) 253-230 1

an d

Mary E. KohartDrinker Biddle & Reath LLPOne Logan Square18" and Cherry StreetsPhiladelphia, PA 19103-6996Telephone: (215) 988-2827Facsimile : (215) 988-2757

Attorneys for Capital Consulting

Shaun O'DohertyJeff LePereGates O'Doherty Gonter & Guy700 South Flower Street, Suite 1100Los Angles, CA 9001 7Telephone: (909) 477 3282Facsimile: (909)-477-3272Telephone: (858) 676-8600Facsimile: (858)-676-860 1

Attorneys for Valuation Counselors andZelenkofske, Axelrod & Co .

Mark Epstei nPoeschl Kohn & Epstein LLP

825 Washington St ., suite 301

Oakland, CA 94607

Telephone: (510) 874-7261

Facsimile: (510) 874-1329

Attorneys for Healthcare Financial

Solution s

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Tom Franci sBohm Francis Kegel & Aguilera, LLP695 Town Center Drive, Suite 700Costa Mesa, CA 9262 6Telephone : (714) 384 6500Facsimile: (714) 384-650 1

For: Tarrant County Health Facilitie s

Lee WoodLee A . Wood & Associates, P .C .2603 Main Street, Suite 1000Irvine, CA 9261 4Telephone: (949) 794-5900Facsimile : (949) 794-5930

Attorneys for Danforth Health Facilities

Corporatio n

John CottonCotton & Gundzi k801 South Figueroa Street, 14th FloorLos Angeles, CA 9001 7Telephone: (213) 312-1330Facsimile: (213) 623-669 9

Attorneys for City of Chicago

Kevin Pat ri ck McVerryGraves Roberson & Bourassa1200 W Hillcrest Dr #100Thousand Oaks, CA 91320-2734Telephone : (805) 498-7119Facsimile: ( 805) 498-811 1

Attorneys for Desert Hot Spring s

Jerry AbelesFriedemann, O'Brien, Goldberg & Zarian445 South Figueroa, Suite 375 0Los Angeles, CA 90071Telephone : (213) 629-7400Facsimile : (213) 629-7401Attorneys for City of Mexico Beach

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For Plaintiffs

Gregory Blaie sBlaies & Hightower, LLP777 Main Street, Suit 1900Fort Worth, TX 76102Telephone: 817 .334 .0800Facsimile : 817 .334 .0574

Richard Campbel lFreeman Freeman & Saltzman401 N. Michigan Ave., suite 3200Chicago 111 . 6061 1Telephone : (312) 222-5100Facsimile : (312) 222-074 4

For Plaintiffs in Class Action

Lionel Glanc y

Glancy & Binkow LLP1801 Avenue of the Stars, Suite 311Los Angeles, CA 90067Telephone: (310) 201-9150Facsimile : (310) 201-916 0


Christopher F. WongSheldon Eisenberg, Esq .Bryan Cave LL P120 Broadway Suite 300Santa Monica, CA 90401Telephone: (310) 576-2275Facsimile: (310) 576-2200

Attorneys for Bank of New York -- Trustee

Action

Robert Feldhake (5005)Lisa Roquemor eFeldhake August & Roquemore19900 MacArthur Blvd ., Suite 850Irvine, CA 9261 2Telephone: (949) 553 5000Facsimile : (949) 553-5098

Attorneys for Plaintiffs in Beiker Action

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Attorneys for PlaintiffHeartland Bond Fund s

Brian Miller

Brad Milove

Miller Milove & KobThe Koll Center501 West Broadway, suite 1600San Diego, CA 92101Telephone: (619) 696-5200Facsimile: (619) 696-539 3


Steven J . TollDan SommersJosh DevoreJulie GoldsmithCohen, Milstein, Hausfeld & Toll1100 New York Avenue, N .W .West Tower , Suite 500Washington , D .C . 20005Telephone : (202) 408-4600Facsimile: ( 202) 408-4699For Plaintiffs in Class Action

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