Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 1 of 7

IN THE UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF ALABAMA
SOUTHERN DIVISION

JACOB E. PEAVY, INDIVIDUALLY AND
AS TRUSTEE OF THE JACOB E. PEAVY
REVOCABLE TRUST, and KATIE L. PEAVY,
Plaintiffs,

*
*
*

vs.

*

BARRY AXELROD,

*

Defendant.

CASE NO: 17-142

*

NOTICE OF REMOVAL
Pursuant to 28 U.S.C. §§ 1332, 1441 and 1446, Defendant Barry Axelrod (“Axelrod” or
“Defendant”), by and through his undersigned counsel, and with full reservation of all rights and
defenses, hereby files his Notice of Removal of this civil action from the Circuit Court of Mobile
County, Alabama, to the United States District Court for the Southern District of Alabama,
Southern Division. In support of the removal of this action, Axelrod sets forth the following
grounds:
INTRODUCTION
1.

This lawsuit alleges claims of breach of fiduciary duty, breach of contract, and

fraudulent concealment. (Exhibit 1, Complaint1).

This lawsuit is a civil action within the

meaning of the Acts of Congress relating to removal of cases. See 28 USC §§ 1441(b) and
1446(b).

1

The Complaint is included in Exhibit 1, which is a copy of all the process, pleadings, and
orders served on Defendant in the state court action.

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 2 of 7

2.

The lawsuit was commenced on or about February 24, 2017, in the Circuit Court

of Mobile County, Alabama, by plaintiffs, Jacob E. Peavy, individually, Jacob E. Peavy as
Trustee of the Jacob E. Peavy Revocable Trust, and Katie L. Peavy, against the sole Defendant,
Axelrod. The lawsuit was assigned case number CV-2017-900523.00.
3.

The Plaintiffs and the Defendant are citizens of different states, the Defendant is

not a citizen of the State of Alabama, and the amount in controversy in this civil action exceeds
$75,000, exclusive of interests and costs.
4.

This case can be, and hereby is being, removed to this Court under 28 U.S.C. §

1441 because this Court has original subject matter jurisdiction over this action under 28 U.S.C.
§ 1332(a)(1).
5.

The United States Supreme Court held as follows regarding the pleading standard

applicable to a notice of removal:
[A] defendant seeking to remove a case to a federal court must file
in the federal forum a notice of removal “containing a short and
plain statement of the grounds for removal.” §1446(a). By design,
§1446(a) tracks the general pleading requirement stated in Rule
8(a) of the Federal Rules of Civil Procedure. See 14C C. Wright,
A. Miller, E. Cooper, & J. Steinman, Federal Practice and
Procedure §3733, pp. 639-641 (4th ed. 2009) (“Section 1446(a)
requires only that the grounds for removal be stated in ‘a short and
plain statement’ - terms borrowed from the pleading requirement
set forth in Federal Rule of Civil Procedure 8(a).”). The legislative
history of §1446(a) is corroborative. Congress, by borrowing the
familiar “short and plain statement” standard from Rule 8(a),
intended to “simplify the ‘pleading’ requirements for removal” and
to clarify that courts should “apply the same liberal rules [to
removal allegations] that are applied to other matters of pleading.”
H. R. Rep. No. 100-889, p. 71 (1988). See also ibid. (disapproving
decisions requiring “detailed pleading”).
Dart Cherokee Basin Operating Co. v. Owens, 574 U.S. __, __, 135 S. Ct. 547, 553 (2015).

2

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 3 of 7

PROCEDURAL REQUIREMENTS FOR REMOVAL
6.

Plaintiffs served the summons and complaint on Axelrod on March 6, 2017.

(Exhibit 1, Notice of Service). March 6, 2017 was the date Axelrod first received a copy of the
complaint. Removal is timely because it is within 30 days of Axelrod's first receipt of the
complaint. 28 U.S.C. § 1446(b).
7.

Removal is proper to this Division of this District Court because the Circuit Court

of Mobile County, Alabama, which was the state court forum in which the lawsuit was pending,
lies within this Federal judicial District and Division. 28 U.S.C. § 1441(a).2
8.

As required by 28 U.S.C. § 1446(a), the Defendant is attaching hereto as Exhibit 1

copies of all process, pleadings and orders served upon him in the state court action. See Exhibit 1.
9.

As required by 28 U.S.C. § 1446(d), the Defendant is serving a copy of this

Notice of Removal on Plaintiffs and filing a copy of the Notice of Removal in the Circuit Court
of Mobile County, Alabama. See Exhibit 2 (Notice to State Court of Filing of Notice of
Removal).
SUBJECT MATTER JURISDICTION UNDER 28 U.S.C. §§ 1332(a)(1)
10.

This Court has subject matter jurisdiction over "all civil actions where the matter

in controversy exceeds… $75,000, exclusive of interest and costs, and is between citizens of
different states." 28 U.S.C. § 1332(a)(1).
11.

Plaintiffs allege that Jacob E. Peavy ("Mr. Peavy") and Katie L. Peavy ("Mrs.

Peavy") are individuals with their “permanent residences” in Wilcox and Dallas County,
Alabama. (Complaint, ¶ 1). Mr. and Mrs. Peavy are husband and wife. (Complaint, ¶ 6). The
Plaintiffs further allege that the Peavys’ “home” is in Alabama. (See, e.g., Complaint, ¶ 12 and
2

Axelrod is not, however, admitting that this Court has personal jurisdiction over him or
that venue is proper or convenient in this District.
3

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 4 of 7

21). Mr. Peavy and Mrs. Peavy, at the time the lawsuit was filed and at the time of this removal,
are domiciled in Alabama. Thus, Mr. Peavy and Mrs. Peavy are citizens of the State of Alabama
for diversity of citizenship purposes.
12.

Mr. Peavy is also a party to this lawsuit in his capacity as the Trustee of the Jacob

E. Peavy Revocable Trust (the "Peavy Trust"). (Complaint, ¶ 1 and 9). When a trustee files a
lawsuit in his capacity as a trustee, then that person's individual citizenship is controlling for
diversity of citizenship purposes, not the trust’s citizenship. Navarro Savings Assn. v. Lee, 446
U.S. 458, 462-466 (1980). As discussed above, Mr. Peavy is domiciled in Alabama and is a
citizen of the State of Alabama, and his Alabama citizenship applies equally to him in his
capacity as Trustee of the Peavy Trust as it does to him in his individual capacity. Id.
13.

Plaintiffs correctly allege that Axelrod resides in California. (Complaint, ¶ 2). At

the time the lawsuit was filed and at the time of this removal, Axelrod was not domiciled in
Alabama and was not a citizen of the State of Alabama. Axelrod resided in California with the
intention of remaining there permanently, which means Axelrod was and is domiciled in
California. Thus Axelrod is a citizen of the State of California for diversity of citizenship
purposes.
14.

All of the Plaintiffs are domiciled in and are citizens of the State of Alabama. The

sole Defendant is domiciled in and a citizen of the State of California. This civil action is
"between citizens of different states." 28 U.S.C. § 1332(a)(1).
15.

The United States Supreme Court provided the following guidance concerning the

amount-in-controversy analysis in a removal:
When a plaintiff invokes federal-court jurisdiction, the plaintiff’s
amount-in-controversy allegation is accepted if made in good faith.
See, e.g., Mt. Healthy City Bd. of Ed. v. Doyle, 429 U. S. 274, 276,
97 S. Ct. 568, 50 L. Ed. 2d 471 (1977) (“‘[T]he sum claimed by

4

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 5 of 7

the plaintiff controls if the claim is apparently made in good
faith.’”) (quoting St. Paul Mercury Indemnity Co. v. Red Cab Co.,
303 U. S. 283, 288, 58 S. Ct. 586, 82 L. Ed. 845 (1938); alteration
in original). Similarly, when a defendant seeks federal-court
adjudication, the defendant’s amount-in-controversy allegation
should be accepted when not contested by the plaintiff or
questioned by the court. . . .
In sum, as specified in §1446(a), a defendant’s notice of removal
need include only a plausible allegation that the amount in
controversy exceeds the jurisdictional threshold.
Evidence
establishing the amount is required by §1446(c)(2)(B) only when
the plaintiff contests, or the court questions, the defendant’s
allegation.
Dart Cherokee v. Owens, 135 S. Ct. at 554.
16.

Plaintiffs are seeking to recover, inter alia, compensatory damages from Axelrod

in this lawsuit. (Complaint, Article V(1)). Plaintiffs allege that their money was improperly or
tortuously invested in, or loaned to, a company called The Ticket Reserve (“TTR”). (Complaint,
¶ 18). They further allege that the dollar amount of the loans made to TTR was “approximately
$14,430,000.” (Complaint, ¶ 19). They further allege that their money was used to purchase
“217,391 shares of stock in TTR and additional warrants.” (Complaint, ¶ 19). The Plaintiffs then
allege that “TTR is now in receivership and recovery of the monies loaned to or invested in TTR
is very doubtful.” (Complaint, ¶ 26). While Plaintiffs do not allege a specific dollar amount for
compensatory damages in their prayer for relief, the Plaintiffs do allege that they, "lost millions
of dollars as a result" of Axelrod's alleged acts or omissions. (Complaint, ¶ 20).
17.

Plaintiffs are also seeking to recover punitive damages from Axelrod in this

action. (Complaint, Article V(2)). Punitive damages must also be considered in determining the
amount in controversy for removal purposes. Tapscott v. Ms. Dealer Serv. Corp., 77 F.3d 1353
(11th Cir. 1996); Holley Equip. Co. v. Credit Alliance Corp., 821 F. 2d 1531, 1535 (11th Cir.
1987).

5

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 6 of 7

18.

It is facially apparent from the allegations in the Complaint that Plaintiffs are

seeking to recover compensatory and punitive damages in excess of $75,000, exclusive of
interest and costs, in this lawsuit which satisfies the amount-in-controversy requirement for
removal. See Pretka v. Kolter City Plaza II, Inc., 668 F. 3d 744, 754 (11th Cir. 2010).
WHEREFORE, Defendant Barry Axelrod hereby requests that upon the filing of this
Notice of Removal with this Court and with the filing of a copy of this Notice of Removal with
the Circuit Court of Mobile County, Alabama that this civil action will be removed from the state
court to the United States District Court for the Southern District of Alabama, Southern Division.
Respectfully submitted this 5th day of April, 2017.

s/ James B. Newman
JAMES B. NEWMAN (ASB-8049-N69J)
J. CASEY PIPES (ASB-4046-P77J )
WILLIAM W. WATTS (ASB-5095-S67W)
Attorneys for Defendant Barry Axelrod

OF COUNSEL:
HELMSING, LEACH, HERLONG,
NEWMAN & ROUSE, P.C.
Post Office Box 2767
Mobile, AL 36652
(251) 432-5521 Telephone
(251) 432-0633 Facsimile
Email: jbn@helmsinglaw.com
jcp@helmsinglaw.com
www@helmsinglaw.com

6

 Case 2:17-cv-00142-KD-MU Document 1 Filed 04/05/17 Page 7 of 7

CERTIFICATE OF SERVICE
I hereby certify that I electronically filed the foregoing with the Clerk of the Court using the
CM/ECF system and that I served the foregoing via United States Mail, properly addressed and
postage prepaid, on the following:
Caine O’Rear, III
Christine Harding Hart
Hand Arendall, LLC
Post Office Box 123
Mobile, Alabama 36601
Eric D. Wade
Neil Kenton Alexander
Brett Chalke
Porter Hedges, LLP
1000 Main Street, 36th Floor
Houston, Texas 77002-6336

Done this 5th day of April, 2017.
s/ James B. Newman
OF COUNSEL
Doc. # 513223

7

 Case 2:17-cv-00142-KD-

   
   

-n 1-1 Filed 04/05/17 Page 1 of 47
EXHIBIT

ALABAMA SJIS CASE DETAIL
3; PREPARED FOR: MCLANEY ELIZABETH

 

 

 

 

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County: 02-MOBILE Case Number: CV-2017-900523.00 Judge: T. PATTERSON
Style: JACOB E. PEAW ET AL v. BARRY AXELROD
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No of Plaintiffs: 3 No of Defendants: 1

 

 

 

 

Court Action Code:

 

 

 

ll? Court Action I

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Court Action Date:

-WII Damages .w m_e w. W, . 
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00:30 AM

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Parties

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Case Document 1-1

 

If Party Information? 

 

Filed 04/05/17 Page 2 of 47

 

 

 

 

 

 

 

 

   

 

Party: COM-Plaintiff Name: PEAW JACOB E. Type: I-INDIVIDUAL
Index: AXELROD BARR Alt Name: Hardship: No JID: CAG
Address 1: CIO DAUPHIN STREET SOUND Phone: (205) 000-0000 
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SSN: DOB: Sex: Race:
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issued: Issued Type: Reissue: Reissue Type:
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Answer: Answer Type: Notice of No Service: Notice of No Answer:

Attorneys 
Number Attorney Code Type of Counsel Name Email Phone
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Attomey 2 HAR345 HARDING HART CHRISTINE EL (251) 694?6358

Party Information 

 

 

 

 

Warrant Action Date:

 

 

Service Information -

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Return:
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Issued Type:
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(9 Alacourt.com

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4/5/2017

Party; COOZ-Plaintiff Name: JACOB E. PEAW AS TRUSTEE OF THE JACOB E. PEAVY Type: B-BUSINESS
Index: AXELROD BARR Alt Name: Hardship: No JID: CAG
Address 1: REVOCABLE TRUST Phone: (205) 000-0000
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SSN: DOB: Sex: Race:
I CourtAction I 7 - -, 7 
Court Action: Court Action Date:
Amount of Judgement; $0.00 Court Action For: Exemptions:
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Reissue Type:
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Case Document 1-1 Filed 04/05/17 Page 3 of 47

 

 

   

 

 

Address 1: CIO DAUPHIN STREET SOUND

Address 2: 561 DAUPHIN STREET
City: MOBILE State: AL
SSN: DOB:

 

 

I Court Action J-.. . 
Court Action:
Amount of Judgement: $0.00 Court Action For:
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Comment:

Warrant Action Date: Warrant Action Status:

 

 

 

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Answer: Answer Type:

Party: COM-Plaintiff Name: PEAVY KATIE L. Type: 
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Notice of No Service:

I Answer: Answer Type: Notice of No Service: Notice of No Answer: I
I Attorneys .. .. .. -. ..W . .: .E . .A 
Number Attorney Code Type of Counsel Name Email Phone
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I . Attorneys

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CAINE 
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my - fendant - .AXELOD BARY

    

 

 

 

Alacourt.com 4/5/2017

 
     

 

(251) 694-6308
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Party: DOM-Defendant Name: AXELROD BARRY Type: 
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Address 1: 2236 ENCINITAS BLVD. Phone: (205) 000-0000

Address 2: SUITE A

City; ENCINITAS State: CA Zip: 92024-0000 Country: US

SSN: DOB: Sex: Race:

 

Case Document 1-1 Filed 04/05/17 Page 4 of 47

 

 

 

 

 

 

 

 

     

Court Action 1
Court Action: Court Action Date:
Amount of Judgement: $0.00 Court Action For: Exemptions:
Cost Against Party: $0.00 Other Cost: $0.00 Date Satis?ed:

Comment: Arrest Date:

I Warrant Action Date: Warrant Action Status: Status Description:

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i ACTIVE Aocc C001 512. 06 512ACTIVE soACTIVE 7 WW $315 00 WW A .
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Date: Time Code Comments Operator

    

 

212412017 5:00 PM COMPLAINT E-FILED. ORE003
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212412017 5:03 PM EORD E-ORDER FLAG SET TO (AV01) AJA
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212412017 5:03 PM TDMJ JURY REQUESTED (AV01) AJA

Alacourt.com 4/5/2017 4

 

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Case Document 1-1 Filed 04/05/17

CASE ASSIGNED To: FAST 

CASEASSIGNED STATUS OF: ACTIVE '5 
INITIAL FILING (AVID: I I I

5- 0001 ADDED 011003 (AV02)
FLAG SET TO: (A1102) 1

LISTED AS ATTORNEY FOR CAINE 

LISTED AS ATTORNEY FOR C001: HARDING HART CHRISTI

FLAG (AV02)

0002 PARTY ADDED: JACOB E. PEAW AS TRUSTEE OF THE

IN-DIGENT FLAG SET TO: (AV02)
LISTED AS ATTORNEY FOR C002: CAINE IIE

 

. LISTED AS ATTORNEY HARDING HART. CHRISTI

C002 E- ORDER FLAG SET TO 
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0003 FLAG SET TO If? (AV02)
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FOR. CERT TO BE FILED 0830A 

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ASSIGNED To JUDGE JAMEST. I (A1101) 1
To (Av01) - 

 

SERVICE OF CERTIFIED MAI DN 0310512017 FDR D001 
RETURN 
NOTICE OF DISCOVERY E- FILED

 

 

 

 

 

 

 

 

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@1 END OF THE REPORT

Alacourt.com 4/5/2017 5

 

 

 

Case [Imam-1 Filed 04/05/1 Pa 6 of 47

 
 

2/24/2017 5:00 PM


 

 

 

 

 

 

 

St in Cal CIRCUIT COURT OF

39? a_ ?ma COVER SHEET 0.. MOBILE COUNTY, ALABAMA
un'f'e? JUd'c'a' SVStem CIRCUIT COURT - CIVIL CASE A JOIO SCHWARZAUER, CLERK

- Not For Domestic Relations Cases Date 0T ??093 JUGQB UOGEV
Form ARCIV 93 Rev.5l99 02/24/2017
IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA
JACOB E. PEAVY ET AL V. BARRY AXELROD
First Piaintiff: Business Individuai First Defendant: Business Individual
Government Other Government Other

 

NATURE OF SUIT: Select primary cause of action, by checking box (check only one) that best characterizes your action:

 

 

TORTS: PERSONAL INJURY OTHER CIVIL FILINGS (cont?d)
WDEA Wrongful Death IVISXX Birth/Death Certi?cate Modi?cation/Bond Forfeiture Appeal/
TONG Negligence: General Enforcement of Agency Subpoena/Petition to Preserve
El TOMV Negligence: Motor Vehicle CVRT Civil Rights
TOWA - Wantonness COND - Condemnation/Eminent Domain/Right?of?Way
TOPL Product Liability/AEIVILD Contempt of Court 
El TOMM - Malpractice?Medical CONT - Contract/Ejectment/Writ of Seizure
El TOLIVI Malpractice-Legal TOCN Conversion
TOOM - Malpractice-Other EQND - Equity Non?Damages Actions/Declaratory Judgment/
TBFIVI Fraud/Bad Faith/Misrepresentation Injunction Election ContestlQuiet Title/Sale For Division
TOXX - Other: CVUD - Eviction Appeal/Unlawful Detainer
El FORJ - Foreign Judgment
TORTS: PERSONAL INJURY FORF Fruits of Crime Forfeiture
El TOPE - Personal Property MSHC - Habeas Corpus/Extraordinary Writ/Mandamus/Prohibition
TORE Real Properly PFAB Protection From Abuse
FELA Railroad/Seaman (FELA)
OTHER CIVIL FILINGS CI RPRO Real Property
Abandoned A?t?m?b?e WTEG 
El ACCT - Account 8? Nonmortgage COMP - Workers? Compensation
I: APAA Admin?Strative Agency Appea' Miscellaneous Circuit Civil Case
ADPA Administrative Procedure Act
ANPS Adults in Need of Protective Service

 

 

 

 

 

 

 

 

ORIGIN: INITIAL FILING A El APPEAL FROM 0 OTHER

DISTRICT COURT

REMANDED CI TRANSFERRED FROM
OTHER CIRCUIT COURT
Note: Checking ?Yes" does not constitute a demand for a
HAS JURY TRIAL BEEN IYES DNO jury trial. (See Rules 38 and 39, Ala.R.Civ.P, for procedure)
RELIEF REQUESTED: AWARD REQUESTED MONETARY AWARD REQUESTED
ATTORNEY CODE:
ORE003 2/24/2017 5:00:05 PM CAINE 
Date Signature of Attorney/Party filing this form

 

 

MEDIATION REQUESTED: DYES .NO DUNDECIDED

 

EL CTRONICALLY FILED

 

 

Case W121 Filed 04/05/17 Page 7 of 47
ELECTRONICALLY FILED
2/24/2017 5:00 PM
mi?: 
CIRCUIT COURT OF
MOBILE COUNTY, ALABAMA
JOJO SCHWARZAUER, CLERK

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

  

 

JACOB E. PEAVY, INDIVIDUALLY AND 
AS TRUSTEE OF THE JACOB E. PEAVY 
REVOCABLE TRUST, and 
KATIE L. PEAVY, i
Plaintiffs CIVIL ACTION NO.
9
VS. 

BARRY AXELROD, i JURY TRIAL DEMANDED
Defendant. 
COMPLAINT

Plaintiffs Jacob E. Peavy (?Peavy?), individually and as Trustee Of the Jacob E. Peavy
Revocable Trust (the ?Peavy Trust?), and Katie L. Peavy (collectively referred to as the
?Peavys?) ?le the following Complaint against Defendant Barry Axelrod (?Axelrod?):

I. PARTIES

1. The Peavys are individuals with their permanent residences in Wilcox County and
Dallas County, Alabama. Jacob Peavy is the trustee and bene?ciary of the Jacob E. Peavy
Revocable Trust, a trust created under the laws of Alabama on or about February 13, 2008. Katie
Peavy is a potential bene?ciary of the Peavy Trust. Jacob Peavy also maintains a home and an
of?ce in Mobile County, Alabama.

2. Axelrod is a non?resident individual residing in California Whose of?ce address is
2236 Encinitas Blvd, Suite A, Encinitas, California 92024.

II. JURISDICTION AND VENUE
3. This Court has subject matter jurisdiction pursuant to Alabama Code ?l2~ll-

30(1) because the amount in controversy exceeds $10,000, exclusive of interest and costs.

 

Case W121 Filed 04/05/17 Page 8 of 47

4. This Court has general and speci?c personal jurisdiction over Axelrod under
Alabama's long?arm statute. Axelrod has suf?cient minimum contacts with Alabama such that he
should reasonably expect to appear in an Alabama court for his misdoings described herein. His
contacts with the state of Alabama have been continuous and systematic over a period of years,
many of which directly involve the claims made in this Complaint as described below. These
contacts include, among other things, Axelrod?s meetings with the Peavys in Alabama to discuss
their ?nances and investments, managing and paying bills out of the Peavys? bank account for
their living expenses to service vendors in Alabama, making telephone calls and sending emails
and text messages into Alabama to discuss the Peavys? ?nances and investments, and sending
reports to the Peavys in Alabama regarding their ?nances and investments.

5. Venue is proper in Mobile County, Alabama pursuant to Alabama Rule of Civil
Procedure Among other grounds, portions of the acts complained of occurred in
Mobile County, Alabama.

111. FACTUAL BACKGROUND

6. Plaintiff Jacob Peavy is a Major League Baseball player who completed
the 2016 season as a pitcher for the San Francisco Giants. Plaintiff Katie Peavy is Jacob Peavy?s
spouse.

7. Shortly following his graduation from high school, Jacob Peavy became a
professional baseball player. From the beginning of his career, he was represented by Axelrod,
with whom Jacob Peavy developed a close professional and personal relationship. The
relationship began through a formal agency agreement for Axelrod to serve as Jacob Peavy?s
player agent to negotiate his MLB contracts. The relationship grew over time such that Axelrod

also became the Peavys? manager of their business affairs, which included managing their

 

Case WW1 Filed 04/05/17 Page 9 of 47

?nances, monitoring their investments, and managing their personal affairs so that Jacob Peavy
could focus on his baseball career. The Peavys paid Axelrod for his services and heavily relied
on his management services and advice, especially as Jacob Peavy?s career took off and his MLB
earnings increased.

8. In approximately 2004, Axelrod helped the Peavys select Ash Narayan
(?Narayan?) to serve as a wealth management and investment advisor. Axelrod attended the ?rst
meeting between Narayan and Jacob Peavy. Narayan worked for RGT Wealth Advisors
a company with its headquarters in Dallas, Texas. Jacob Peavy explained to Narayan
and Axelrod at the initial meeting that his goal was to preserve cash for retirement, as there was
no need to risk cash given the future income he expected to earn as a baseball player. Axelrod
agreed with the Peavys to implement, follow and manage this savings strategy. After reviewing
other wealth management options with Axelrod, the Peavys selected Narayan as their wealth and
investment manager.

9. On or about February 13, 2008, Jacob Peavy created the Jacob E. Peavy
Revocable Trust (the ?Peavy Trust?) to further assist with the management of his investments by
Axelrod and Narayan and to control future distribution of his assets. Jacob Peavy is the Trustee
of the Peavy Trust. Given Jacob Peavy?s close personal relationship with Axelrod, Axelrod was
named the successor trustee should anything happen to Jacob Peavy. Katie Peavy and the
Peavys? children are potential beneficiaries of the Peavy Trust.

10. Narayan helped the Peavys set up a brokerage account in the name of the Peavy
Trust with Charles Schwab to hold the money sent to him for investment. The statements were
addressed to Axelrod?s Encinitas, California of?ce. The quarterly statements were also

addressed to Axelrod?s Encinitas, California office. Axelrod retained his role of managing the

 

Case Douamaa?ial Filed 04/05/17 Page 10 of 47

Peavys? ?nances, monitoring their investments (including monitoring Narayan), and managing
their personal affairs. Given that Axelrod, Jacob Peavy?s long?time trusted advisor and friend,
was monitoring RGT/Narayan?s activity, Jacob Peavy had a great level of comfort and was able
to focus on baseball, and Katie Peavy focused on raising their children.

11. Axelrod had a key role in the execution of the plan to preserve Peavy?s income
for retirement and served as the intermediary between Narayan and the Peavys. Jacob Peavy
authorized Axelrod to speak to Narayan on his behalf. Jacob Peavy?s paycheck was deposited
into a Wells Fargo account over which Axelrod had power of attorney to disburse funds.

12. Prior to the commencement of a baseball season, Jacob Peavy, Axelrod and
Narayan would meet to discuss ?nancial goals. Jacob Peavy, with Axelrod?s and Narayan?s
assistance and insistence, would agree to live according to a budget, allocate a portion of his
MBL income for major purchases such as his home, set amounts for charitable gifts and save the
remainder of his salary by sending it to RGT. After the baseball season ended, Peavy would
meet with Axelrod and Narayan to review his savings goals and spending against the budget that
was agreed upon at the beginning of the season. This became a regular pattern of meetings
between Jacob Peavy, Axelrod and Narayan. Some of the post?season meetings occurred at the
Peavys? home in Alabama.

13. As the main point of contact for Narayan and RGT as it related to the Peavys?
investments and as the manager of the Peavys? ?nancial affairs, Axelrod had access to all
financial matters. Virtually all of the Peavys? mail was addressed to Axelrod at his of?ce in
Encinitas, California. However, the Peavys themselves did not receive Charles Schwab

brokerage account statements, Wells Fargo statements or RGT statements. The Peavys trusted

 

Case Dnounriantitlal Filed 04/05/17 Page 11 of 47

and expected Axelrod to manage, supervise, and monitor Narayan?s actions and the activity
detailed in the brokerage statements as well as the Wells Fargo account.

14. Axelrod reported on his efforts to the Peavys on a basis by preparing and
sending a ?nancial statement each month that showed a snapshot of assets, liabilities and the
Peavys? purported net worth. Jake Peavy monitored performance and their ?nancial
affairs by reviewing their net worth each month as stated on Axelrod?s ?nancial statements.

15. As the Peavys? manager of their ?nancial affairs, Axelrod also received the bills
for all of the Peavys? expenses including quarterly statement, utilities (including South
Alabama Utilities, Alabama Power, Parden LP Gas Services), State Farm insurance statements,
mortgage statements for their Alabama properties, telephone service (SouthernLINC Wireless),
internet service, cable TV, credit card statements and several club invoices (including the Selma
Country Club). Axelrod paid all of these bills from the Peavys? Wells Fargo account. He also
oversaw payment of quarterly statement from the Peavy Trust Charles Schwab account.
Each month Axelrod sent the Peavys a report of the bills paid to apprise them of his efforts to
manage their ?nancial affairs.

16. The Peavys? reliance on Axelrod grew as Jacob Peavy?s MLB earnings increased.
Axelrod was the trusted advisor that Jacob Peavy had known since the beginning of his career
and he was grateful for the services. Having a long-time advisor and counsel to monitor and
manage his affairs was a great comfort to Peavy. Jacob Peavy never met with Narayan to discuss
financial matters without Axelrod.

17 . In 2012, Axeerd went to work for the Arizona Diamondbacks and could no
longer serve as Jacob Peavy?s player agent for purposes of negotiating with MLB teams.

However, he agreed to continue to serve as the Peavys? advisor and provide business

 

Case DWEIA Filed 04/05/17 Page 12 of 47

management functions like he had always performed in exchange for 1% of Jacob Peavy?s
annual salary as a professional baseball player. In this role, Axelrod continued to attend
meetings with Jacob Peavy and Narayan and continued to receive bank and brokerage account
statements, pay bills from the Peavys? bank account, authorize payment of fee statements
and prepare for the Peavys a summary of bills paid and a ?nancial summary showing
their net worth. The Peavys continued to rely upon Axelrod to manage and monitor their
?nancial affairs as he always had and to communicate with Narayan as necessary.

18. Beginning in July 2011 and without the Peavys? knowledge, Narayan began
transferring funds out of the Peavy Trust Charles Schwab brokerage account for the purpose of
making loans to and investments in The Ticket Reserve, LLC a start?up venture. The
wire transfer denominations were very large, including transfers of $3,000,000, $2,000,000 and
$1,700,000, among others, and they were clearly shown on the Charles Schwab brokerage
statements that Axelrod received and was to be monitoring. The actual wire transfer
authorization sheets appear to bear Jacob Peavy?s forged signature, and the amounts of the
transfers were very out of character for Peavy. However, Axelrod?who received the brokerage
statements showing the wire transfer activity?never communicated with the Peavys about the
wire transfers, the amount of the transfers, the destination of the funds, or how this activity had
any rational purpose in a conservative investment strategy that Axelrod agreed with the Peavys
to pursue.

19. Between 2011 and 2016, Narayan increased the loan to TTR to approximately
$14,430,000, which was re?ected on RGT statements sent to Axelrod. Narayan also
maneuvered the Peavys? money to purchase 217,391 shares of stock in TTR and additional

warrants. Axelrod saw a report of each wire transfer in the Charles Schwab statements and the

 

Case Filed 04/05/17 Page 13 of 47

percentage of the TTR loans as compared to the other investments for the Peavys in the RGT
statements. Axelrod continued to receive quarterly portfolio reports from RGT which reflected
the massive TTR loans and/or investments. The TTR loan grew to approximately 73% of the
total portfolio value under management by RGT. However, this ?investment? was not disclosed
on Axelrod?s ?nancial statement provided to the Peavys or otherwise discussed with the
Peavys during routine meetings to review their ?nancial matters.

20. Despite receiving the statements and regularly communicating with
Narayan, at no time did Axelrod alert the Peavys to the fact that millions of dollars were being
transferred from the Charles Schwab brokerage account and loaned to or invested in TTR.
Axelrod never communicated that the amount of money loaned to or invested in TTR
represented an extraordinarily imprudent allocation of the Peavys? investment capital into a
single private company with no security. All of this was concealed from the Peavys, and they
lost millions of dollars as a result.

21. Axelrod?s opportunities to alert the Peavys were numerous. In addition to his
written reports and attendance in meetings with Narayan, Axelrod often met with Peavy
at his home in Catherine, Alabama. At other times Axelrod would call Peavy at this home in
Catherine or his of?ce in Mobile, Alabama. Jacob Peavy carried a cell phone and communicated
with Axelrod via phone calls and text messages during the baseball season. Axelrod made other
trips to Alabama separate from Narayan to visit with the Peavys for family events and discuss
?nances and business matters.

22. The ?rst indication to the Peavys of any involvement of their funds in TTR
occurred in December 2015. Jacob Peavy was in the process of purchasing real estate in Mobile,

and he requested that Axelrod and Narayan send him a ?nancial statement for submission with a

 

Case Doonmienmlal Filed 04/05/17 Page 14 of 47

loan application to Hancock Bank. Jonathan Endo with RGT emailed Jacob Peavy and Barry
Axelrod- a ?nancial statement on December 2, 2015 that showed Secured Note
$13,215,276.00.? The Peavys were not familiar with the investment, and it was not
re?ected on the ?nancial statements independently given them by Axelrod. Jonathan Endo,
Narayan?s colleague at RGT, answered Hancock Bank?s question about the nature of the TTR
line item, and the bank loaned the Peavys money to purchase real estate.

23. In January 2016, Axelrod and Narayan made plans to travel together to visit with
Jacob Peavy in Mobile and learn more about Peavy?s plans to do business in the Mobile area.
On January 18, 2016, Axelrod and Narayan met with Jacob Peavy, Luke Peavy, Sarah Lauren
Allen and Joan Dunlap (colleagues assisting Jacob Peavy with his charitable foundation and
investments in Mobile) at Peavy?s Mobile of?ce. The parties discussed the plans to invest in
Mobile real estate and other matters. Axelrod and Narayan tried to talk Jacob Peavy out of
investing in real estate in Mobile as a bad investment.

24. On or about February 7, 2016, Axelrod called Joan Dunlap in Mobile to share his
extreme concern about the state of the Peavys? investments and repeatedly stated for the ?rst
time that Jacob Peavy was in ?nancial ruin, in complete contrast to his last report to the Peavys
about their ?nancial condition. He was excited on the call, but Axelrod did not share any
reasons for his statements that the Peavys were ?broke.? Joan Dunlap reported the call to Jacob
Peavy, but neither of them could make any sense out of Axelrod?s excited statements. Jacob
Peavy did not receive a similar call from Axelrod regarding any concern about his ?nancial
affairs.

25. On or about February 19, 2016, the ?rst day of spring training, Jacob Peavy

received a call from fellow MLB player Roy Oswalt about his own failing investment in ?The

 

Case Damnigl Filed 04/05/17 Page 15 of 47

Ticket Reserve?, and Oswalt asked if Peavy was involved in ?The Ticket Reserve.? (Roy Oswalt
also used Narayan and RGT as his wealth managers.) Jacob Peavy initially responded no, but he
soon made the link back to Calls thereafter to Narayan for an explanation were not
returned. Soon thereafter the Securities and Exchange Commission contacted Jacob Peavy about
its investigation of Narayan?s management of the Peavys? account at RGT.

26. In May 2016, the Securities and Exchange Commission sued Narayan and TTR
regarding the scam investment scheme orchestrated by Narayan. Narayan was ultimately
exposed as an owner of millions of shares of TTR, a member of board of directors, and
the recipient of millions of dollars in ?nder?s fees for securing investments in TTR. TTR is now
in receivership and recovery of the monies loaned to or invested in TTR is very doubtful. None
of the Peavys? loss in TTR would have happened if Axelrod had honored his obligations to the
Peavys and monitored their ?nancial affairs as he had a duty and an agreement to do.

27. Axelrod had a duty to disclosure the wire transfers, TTR loans and any
information regarding aberrant ?nancial activity to the Peavys, which he knew were facts
material to them. Axelrod had a duty to monitor the statements that he received, and he had an
obligation to inform the Peavys if their finances deviated from plans that he helped craft. He
failed to keep the Peavy?s informed. He had all of the information before him and numerous
opportunities to communicate with the Peavys about their ?nancial affairs. The only effort that
he made was an excited phone call to Joan Dunlap just days after he had a meeting with Jacob
Peavy in Mobile (when no basis was shared for his new ?nancial concerns) and just a few days
before the failed investment in The Ticket Reserve was brought to Jacob Peavy?s attention by
Roy Oswalt. The timing of Axelrod?s call to Joan Dunlap, Narayan?s subsequent lack of

communication with Jacob Peavy and the commencement of the investigation by Securities and

 

Case Documentmal Filed 04/05/17 Page 16 of 47

Exchange Commission was not a coincidence. Axelrod actively concealed material facts from
the Peavys with the intent to deceive or mislead them. The Peavys reasonably relied upon this
non-disclosure by not taking action to minimize, mitigate or terminate the scam loans or
investments, which they would have done but for the concealment.

IV. CAUSES OF ACTION
A. Breach of Fiduciary Duty

28. The Peavys adopt and reallege each and every allegation contained in the
foregoing paragraphs as if fully set forth herein.

29. Because of his con?dential relationship with the Peavys, Axelrod owed the
Peavys a ?duciary duty which included the duties of care, loyalty, disclosure and faithfulness to
them. Axelrod was in a position of control of their ?nances, and the Peavys placed their trust
and confidence in Axelrod.

30. The Peavys believed at all material times that Axelrod was acting in their best
interests to protect their property and assets.

31. Axelrod breached his ?duciary duty owed to the Peavys by, among other things:

a. Failing to properly monitor the actions of Narayan and 

b. Failing to properly review and monitor statements memorializing
the improper transfers;

c. Failing to properly ensure that Narayan complied with the Peavys? savings
and investment strategy;

d. Failing to properly communicate with the Peavys regarding the nature of

their investments and to disclose the TTR loans and/or investments;

-10-

 

Case Filed 04/05/17 Page 17 of 47

e. Failing to timely report gross mismanagement by Narayan and RGT of the
Peavys? accounts; and

f. Conducting other acts and omissions of negligence, malfeasance and/or
concealment wherein Axelrod failed to discover and/or notify the Peavys about the nature of
their investments.

32. As a proximate consequence of Axelrod?s breach of his ?duciary duty owed to
the Peavys, the Peavys suffered substantial actual damages.

33. Axelrod actively concealed his breach of duty as stated above with the intent to
deceive the Peavys and prevent them from discovering the breach until they ?rst became aware
of it in February 2016.

B. Breach of Contract

34. The Peavys adopt and reallege each and every allegation contained in the
foregoing paragraphs as if fully set forth herein.

35. Axelrod agreed to prudently manage the ?nancial affairs of the Peavys in
accordance with the Peavys? savings and investment strategy of preserving all cash assets and
avoiding risky investments. Axelrod was paid by the Peavys for his services.

36. Axelrod breached his agreement and obligations to the Peavys by allowing
Narayan to invest Peavys? funds in a manner that did not conform with Peavys? goals and that
was objectively speculative and beyond the scope of any reasonably prudent investment strategy,
and by failing to alert the Peavys to these facts. Axelrod also failed to monitor the brokerage
account and to alert the Peavys that millions of dollars were being wired outside the account.
Axelrod further failed to provide the Peavys with adequate ?nancial statements that showed the

speculative investments made by Narayan.

_11_

 

Case Filed 04/05/17 Page 18 of 47

37. As a result of Axelrod?s breach of contract with the Peavys, the Peavys suffered
substantial actual damages.

38. Axelrod actively concealed his breach of contract as stated above with the intent
to deceive the Peavys and prevent them from discovering the breach until they first became
aware of it in February 2016.

C. Fraudulent Concealment

39. The Peavys adopt reallege each and every allegation contained in the foregoing
paragraphs as if fully set forth herein.

40. Axelrod had a duty to disclose to the Peavys the TTR loans and/or investments,
which were facts material to their ?nancial condition.

41. Axelrod concealed these material facts with the intent to deceive or mislead the
Peavys.

42. The Peavys reasonably relied on or were reduced to act upon this non?disclosure
and concealment by not taking action to minimize, mitigate or terminate these scam TTR loans
and/or investments, which they would have done but for the concealment.

43. The Peavys did not discover the true facts until February 2016.

44. As a proximate result of Axelrod?s concealment, the Peavys suffered substantial
actual damages.

V. PRAYER FOR RELIEF

WHEREFORE, Plaintiffs Jacob E. Peavy, individually and as Trustee of the Jacob E.
Peavy Revocable Trust, and Katie L. Peavy respectfully request the following relief against
Defendant Barry Axelrod:

A money judgment for compensatory damages;

(2) Punitive damages to the extent provided by law;

-12-

 

Case Dggl?me?t?lzl Filed 04/05/17 Page 19 of 47

(3) Prejudgment interest and costs; and

(4) All other and further relief to which they may be justly entitled.

DATED: February 24, 2017.

Carine O?Rear 

CAINE (OREOO3)
CHRISTINE HARDING HART (HAR345)
HAND ARENDALL LLC

Post Of?ce Box 123

Mobile, AL 36601

(251) 432-5511

Fax: (251) 694?6375
corear@handarendall.com
chart@handarendall.corn

PORTER HEDGES LLP

By: Eric D. Wade

Eric D. Wade

Neil Kenton Alexander

Brett Chalke

1000 Main Street, 36th Floor
Houston, Texas 77002?6336
Telephone: 713?226-6655
Facsimile: 713-226-6255
Admission Pro Hac Vice Pending

ATTORNEYS FOR PLAINTIFFS

Plaintiffs respectfully request trial by jury.

Came O?Rear 

The Complaint may be served on the Defendant by certi?ed mail at:

BARRY AXELROD

2236 Encinitas Blvd, Suite A
Encinitas, California 92024

-13..

 

Case 2117-CV-00142-KD-MU DDOurmm?sl Filed 04/05/17 Page 20 of 47

 

 

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IN THE CIRCUIT 0F MDEILE GDUNTY
JACOB E. PEAVY ET AL V. AXELRGD

BARRY AXELRGD. 2233 NITAS ELVD. A, CA 92024

 

THE WHICH IS ATTACHED T0 THIS l8 YOU MUST TAKE IMMEDIATE ACTION
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ASSIGNMENT TO EXPED IATEB CASE MANAGEMENT SYSTEM AND GENERAL PRETRIAL ORDER 



This case has boon placed on tho Expodiiod Case which is designed to dispose: ofla
cases within 32 months af?ror .

TO INCLUSION EN SYSTEM

'li' a party to this cause bciiovos that the house is extromoiy con-mic): or will involve problems am
will be impossible to proparo for trial within the time frame of the system. ho may, within 40 day-s after tho date of
Ellis order, or if tho potty/has not been served at tho date of this; order, within 40 days allot sorvico,i'i1o a motion
roquosting that the cause not be included in tho law-tom and that the partios be allowed additional time to proparo the
cause for trial. A motion filed later than the. a?icaliesaid 40 days will no: he considoroci by the Court. Oral arguing-ht
may be mquostod cm an exclusion motion If a cause is excluded from the. sysroio by the. Court, a clisoovory sohodulo
will be, sot by tho Com alien? conference With the. parting. If :1 case. is 3.9 excluded the general pro-trial portion of this
girder will ronioin in effect unioss speci?cally aitorotl by tho Court.

tho Court sets a shooter time, all pro?trial ciiscovai?y shall be: oomplotod within 270 days after 
oi" the complaint unless party filing tho Motion to Set and Certi?cate of Reodinoss requests an additional poriod of
time, not to exooetl 60 days, and certifies that all will be oonolucied within that timo. Notwithstanding the
?i?orogoing, for good cause, shown, tho Com may porzriit, or the parties may agroo, that additional discovery
procedures ho undertaken anytime: prior to triala so long as such discovery can be so as not to roqoiro a
continuance of the trial ootting.

MOTION TO SET AND OF READINESS

Counsel for tho plaintiff shall, and saunas] for any other party may, filo a Motion to Set and of
Roadiooss, which shall be filed not later than 9.70 clays: Ellie-i" the filing of the complaint. If ouch a motion is not ?lod
by the 280th day, tho Court will piaoo tho oaso maritod ?To Bo Dismissed" on a disposition docket. its motif as
possible to the 300th day and solid notioe. oi? shot] to all parties. if a Motion to Set: and Certificate. oi? Roadioogs is not
received hy?tho Court, prior to tho disposition oath, the. case: will be. dismissed.

Tho Monies: to Stat and Cmtit?icoto of ital-1d 

simiitu?tothatavailabio ofinthe 
Of?co corft'?iiri?liio'foii??irig . .. . .

The date the complaiol was mot-i;

 

 

 

Case Filed 

That the issues indie ease have been defined and joined:

That all discovery has been completed or will be completed. within (30 clays after the ?ling of the
Certificate of Readineaa;

(4) Theta jury trial has or has not been demanded;
(5) The expected length of the trial expressed in hours author days;

(6) - Abrie?f description oftheplttintifi?s claim;

(7) The names, addreesca and telephone numbers of the parties or their attorneys retpoosihle for their
litigation;
(8) That the tnovaut certifies that all expert witneases expected to testify at trial have been disclosed to

all parties, together with a summary of their opioione;

(9) That the mower. acknowledges hiefher responsibility to make all documents, exhibits, and
physioal evidence, or? copies thereof, expected to he used in the case in chief available to the other
parties, not less than Ill days prior to trialH l'or i'oapection and copying;

(10) That the movant {EmllfiEt-l that. hefehe has read the pro-trial order, that hefsite has complied with it.
to date and will comply with its requirements in the future

The filing by the plaintiff of a Motion to Set and Certificate ofReadioese constitutes. the voluntary
dismissal of all fictitious parties whose true names have not been eu?osdtuted.

CERTZFIKLTATE

Within ?14 days after a Motion to Set and Certificate of Readiness has been ?led, counsel for any other party may
tile a Controverting Certi?cate specifying the particular statements contained in the Certificate of Readinesa to .
which objection is made, and the reasons therefore. Oral argument may be requested. The Court ohali thereupon
enter an order placing the case on the Active Calendar either immediately or, where good cause is shown, at a
Specified later date.

LEISDAR

Fourteen days; after aMotioo to Set and Certificate of Readiness is filed, if a Controverting Certificate has
not been tiled, the case shall he placed on the Active Calendar1 unless otherwiee ordered by the Court.

 

FOR 

Unless Specifically set by the Court, cases on the Active Calendar shall he set for trial generally in the some
order es they came onthc Active Calendar and as soon as possible. Preference shall be given to cases which by
statute, rule or order of the Court are entitled to priority. Counsel shall be given at least sixty days notice of the trial
date. - 

EMS

.?i?letensteaec has been tot for trial, no postponement, ofthe trial he considered by the Court except on a
written motion substantially in tlieiform previously approved by the Court. (thaio from tile Court a Request for
Delay Form.) 

 

 

 Page 23 of 47

nonstonrion on 

In order to provide other litigants with prompt trisi settings all attorneys shall notify the Court of

settlement, regardless of to stains or state of the case (discovery stage. or trial calender).


To expedite pt?enttisl nod trial prooet?lure, it is ORDERED by the Court that the following will apply:

1. EXHIBTTS. DOCUMENTS. AND PHYSICAL EVIDENCE. GENERALLY

a. Each party shall identify in writing to all other parties and shall make all documents. exhibits and
physical evidence, or copies thereof, expected to be used in the ease in chief available to the other oodles.
not less than 21 says prior to trial. for inspection and copying. The same shall then be authenticated and
admitted into evidence without further proof, unless written to any such documents or exhibits
ho mode to the Court not less than 14 days prior to mini specifying the grounds of objection to the. .
gonninonoss and relevancy ol" the proposed document, exhibit, or phi/slosl ovidouoo. The requirement does
not apply to documents, exhibits and physical evidence need solel)l as impeachment evidence.

it. exhibits or physical evidence not timely exhibited to or mode available to other
parties prior to trial under this Order will not be admitted into evidence at the trial unless solely for
impeach ment purposes or unless the ends ot?justioe so require.

o. Documents, exhibits or physical evidence so Eldl?l'lititid hereunder shall be presented to the court
reporter i'or inorlting in evidence prior to trial.

22.. nooton. HOSPITAL AND RECORDS

If applioahis. n?ll'clooton medical and hoSpitsl bills shall he sent to or made available to all pill'tlfibl
not less than ?2.1 dnys? before trial and shall be admitted in evidence as reasonable without 'l?nrther proof,

unless written objection to any such bills be made to the Court no less than "l4 days before trial specifying
the. grounds for objection.

b. Any such bills not timely exhibited to the other parties will not he evidence at trial

unless the ends of gustice so require.

c. The bills so admitted shall he presented tothe court reporter for marking in evidence prior to trial.
3. MALAQEE
it. All parties seeking spools} damages shell furnish the other parties with a list thereof not less than

21 days before trial. Written objections thereto may be made not loss than l4 days boi?ot'o trial specifying
the. grounds of objections. 

 

b. Evidence of special damages c?lsimed, but not timely exhibited to other partieslwili not be
admitted into evidence unless the ends of justice so redone. -

4. AGENCYEIME AND PLACE-DUTY

n. I Agonoy and the. time and pluizo oi?iho'inoldelit involvk?od, if alleged in the complaint, ?nd, if it

negligence case, the existence of duty. not admitted and the parties are doomed corroctly named and
designated unless spooifioaliy denied by noswor or unless written objection is made not less than 'l-t-l clays

before trial. The objections shall incl ode. the cosmos name and entity audios the grounds relied on. 

 

 

Case Dggumg?hilsl Filed 04/05/17 Page 24 of 47

 


a. Unless previously-obtained by diseovery. each party will tux-rush to all other parties the names.

addresses arid quali?cations of all expert witnesses expected to testify, together with a brief suh?uhary of
their opinions. Spoil disclosure ot? experts shall be made by the party the Motion to Set and
Certi'i?ionte of Readiness not later than the time of ?ling such motion. Disclosure by all parties shall he
made not later than is days after the filing of the Motion to Set and Certificate oi?Resrliness.

h. Disclosure oi? experts in oases not inciuded in the F?asttraek system shall he made by all parties not
less than 60 days before trial.

e. Unless written objection to the quaiiliontions of an expert. is made not inter then 30 days before
trial, stating grounds, the qualification of such experts will he admitted.

ti, Upon selling an expert to testify at tri al, the attorney may state to the Court and jury the name,
address and summary of the qualifications of the expert.

5? wii?S?mQN?

if the ones is to be tried byra jury, requested written charges shali he submitted to the Court not later then
the close of the plaintiff?s ease, subject to supplementation during the course of the trial on matters which could not
he reasonsbi anticipated. Each requested charge will be typed on letter sized paper and identified by the party?s last
name and shall be numbered. 

7. . 

Before the commencement of trial, the parties will furnish or advise the court, outside the presence of the
jury, the marries oi' all insurance companies involved and any special voir dire questions for the purpose of qualifying
the jury. . 

8. DUTY TO SUPPLEMENT DISCOVERY

.. 

All parties are under duty to supplement responses to discovery as provided by Rule 126(c)(3) ARCP which
should he done notiess than 30 days before trial. 

9. 

If traction to strike or: motion to dismiss it pleading is tiled, the Court will not consider such unless a copy of
the pleading sou to be struck or dismissed is attached thereto.

1 0. 

 

In the shell: of scheduling eon?int attested counsel shall oouipi?y with the Attorney Calendar Conflict -
Resolution {Hitler of the Supreme Court.

lt'is further ORDERED by the (lourt the he Court will reconsider any portion of the General Pro-Trial

  
  

 

 

 

 

Charles Gr'euiciiel-z, Et?esittiug 13.. remit: Judge.

 

Case Document 1-1 Filed 04/05/17 Page 25 of 47

AlaFile E-Notice

 


Judge: JAMES T. PATTERSON

To: CAINE Iil
corear@handarendali.com

 

NOTICE OF SERVICE

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD
7?900523.00

The foilowing matter was served on 3/6/2017

D001 AXELROD BARRY
Corresponding To
CERTIFIED MAIL

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY, ALABAMA
CIRCUIT CIVIL DIVISION
205 GOVERNMENT STREET
MOBILE, AL, 36644

251 674-8420
Charles.Iewis@alacourt.gov

 

Case Document 1-1 Filed 04/05/17 Page 26 of 47

AIaFile E?Notioe

 


Judge: JAMES T. PATTERSON

To: HARDING HART CHRISTINE EL
ohart@handarendall.com

 

NOTICE OF SERVICE

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD


The following matter was served on 3/6/2017

D001 AXELROD BARRY
Corresponding To
CERTIFIED MAIL

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY, ALABAMA
CIRCUIT CIVIL DIVISION

205 GOVERNMENT STREET
MOBILE, AL, 36644

251 674-8420
Charles.Iewis@alacourt.gov

 

    
                  

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Case Document 1-1 Filed 04/05/17 Page 29 of 47

E-Notice

 

7-900523.00

To: CAINE 
corear@handarendaII.com

 

NOTICE OF ELECTRONIC FILING

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD


The foiiowing discovery was FILED on 3/21/2017 5:22:50 PM

Notice Date: 3/21/2017 5:22:50 PM

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY, ALABAMA
CIRCUIT CIVIL DIVISION

205 GOVERNMENT STREET
MOBILE, AL, 36644

251?574?8420


 

Case Document 1-1 Filed 04/05/17 Page 30 of 47

AlaFile E~Notice

 



To: AXELROD BARRY (PRO SE)

2236 ENCINITAS BLVD.
SUITE A
ENCINITAS, CA, 92024?0000

 

NOTICE OF ELECTRONIC FILING

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD
7-900523.00

The foiIowing discovery was FILED on 3/21/2017 5:22:50 PM

Notice Date: 3/21/2017 5:22:50 PM

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY, ALABAMA
CIRCUIT CIVIL DIVISION

205 GOVERNMENT STREET
MOBILE, AL, 36644

251-574-8420
charIes.Iewis@alacourt.gov

 

Case Document 1-1 Filed 04/05/17 Page 31 of 47

AlaFiIe E-Notice

 

7-900523.00

To: HARDING HART CHRISTINE EL
chart@handarendall.com

 

NOTICE OF ELECTRONIC FILING

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD
7-900523.0D

The following discovery was FILED on 3/21/2017 5:22:50 PM

Notice Date: 3/21/2017 5:22:50 PM

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY, ALABAMA
CIRCUIT CIVIL DIVISION

205 GOVERNMENT STREET
MOBILE, AL, 36644

251 674?8420
Charles.Iewis@alacourt.gov

 

Case Filed 04/05/17 Page 32 Of 47

gm? ELECTRONICALLY FILED

3/21/2017 5:22 PM
m5: 
CIRCUIT COURT OF

MOBILE COUNTY, ALABAMA

JOJO SCHWARZAUER, CLERK
IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

  

JACOB E. PEAVY, INDIVIDUALLY AND 
As TRUSTEE OF THE JACOB E. PEAVY 
REVOCABLE TRUST, and i
KATIE L. PEAVY, 
. . CIVIL ACTION NOBARRY AXELROD, 
Defendant. 

NOTICE OF SERVICE OF DISCOVERY
Please take notice that Hand Arendall LLC, attorneys for Plaintiffs Jacob E. Peavy,
individually and as trustee Of the Jacob E. Peavy Revocable Trust, and Katie L. Peavy, hereby
give notice that they have on this day served the following discovery on Defendant Barry
Axelrod by placing same in the United States mail, properly addressed and certi?ed mail postage
prepaid:

0 Plaintiffs? First Set of Requests for Production.

/S/Caine 0 ?Rear 

CAINE (OREOO3)
CHRISTINE HARDING HART (HAR345)
HAND ARENDALL LLC

Post Of?ce BOX 123

Mobile, AL 36601

(251) 432-5511

Fax: (251) 694?6375
corear@handarendall.com
chart@handarendall.com

 

Case Filed 04/05/17 Page 33 of 47

ERIC D. WADE

NEIL KENTON ALEXANDER
BRETT CHALKE

PORTER HEDGES LLP

1000 Main Street, 36th Floor
Houston, Texas 77002-6336
Telephone: 713-226-6655
Facsimile: 713-226?6255
Admission Pro Hac Vice Pending

ATTORNEYS FOR PLAINTIFFS

CERTIFICATE OF SERVICE

I hereby certify that on March 21, 2017, a copy of the above and foregoing has been
served upon Defendant by certi?ed mail, as follows:

BARRY AXELROD
2236 Encinitas Blvd, Suite A
Encinitas, California 92024

/S/Caine 0 ?Rear 

 

 

T0:

Case Document 1-1 Filed 04/05/17 Page 34 of 47

AlaFile E-Notice

AXELROO BARRY (PRO SE)
2236 ENCINITAS BLVD. 
SUITE A

ENCINITAS, CA, 92024-0000



 

NOTICE OF ELECTRONIC FILING

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY ET AL V. BARRY AXELROD

7?900523.00

The following discovery was FILED on 3/2112017 5:22:50 PM

Noiice Date: 3/21/2017 5:22:50 PM

JOJO SCHWARZAUER
CIRCUIT COURT CLERK
MOBILE COUNTY. ALABAMA
CIRCUIT CIVIL DIVISION

205 GOVERNMENT STREET
MOBILE, AL, 36644

251-574?8420


 

Case Document 1-1 Filed 04/05/17, Page 35 of 47

DOCUMENT 9

 

  

 

IN THE CIRCUIT COURT OF MOBILE COUNTY, ALABAMA

JACOB E. PEAVY, INDIVIDUALLY AND
AS TRUSTEE OF THE JACOB E. PEAVY
REVOCABLE TRUST, and

KATIE L. PEAVY,

CIVIL ACTION NO.

Platn?ffss cam?201790052300

VS.

BARRY AXELROD,



Defendant.

NOTICE OF SERVICE OF DISCOVERY
Please take notice that Hand Arendall LLC, attorneys for Plaintiffs Jacob E. Peavy,
individually and as trustee of the Jacob E. Peavy Revocable Trust, and Katie L. Peavy, hereby
give notice that they have on this day served the following discovery on Defeadant Barry
Axelrod by placing same in the United States mail, properly addressed and certi?ed mail postage
prepaid: - A

Plaintiffs? First Set of Requests for Productiofi.

A's/Carine 0 ?Rear 

CAINE 1H (ORE003)
CHRISTINE HARDING HART (HAR345)
HAND ARENDALL LLC

Post Of?ce Box 123

Mobile, AL 36601

(251) 432?5511

Fax: (251) 694-6375
corear@handaxendall.com


 

Case Document 1-1 Filed 04/05/17 Page 36 of 47

DOCUMENT 9

ERIC D. WADE

NEIL KENTON ALEXANDER
BRETT CHALKE

PORTER HEDGES LLP

1000 Main Street, 36th Floor
Houston, Texas 77002-6336
Telephone: 713?226-6655
Facsimile: 713-226?6255
Admission Pro Hac Vice Pending

ATTORNEYS FOR PLAINTIFF 

CERTIFICATE OF SERVICE

I hereby certify that on March 21, 2017, a copy of the above and foregoing has been
served upon Defendant by certi?ed mail, as follows:

BARRY AXELROD
2236 Encinitas Blvd, Suite A
Enoinitas, Caiifomia 92024

/s/Caz'ne 

 

Case . Document 1-1 Filed 04/05/17 Page 37 of 47

IN THE CIRCUIT or MOBILE COUNTY, ALABAMA

JACOB E. PEAVY, INDIVIDUALLY AND
AS TRUSTEE OF THE JACOB E. PEAVY
REVOCABLE TRUST, and

KATIE L. PEAVY,

- - CIVIL ACTION N0.
vs. Plamtl?s? 
BARRY AXELROD,

Defendant.



FIRST SET OF REQUESTS FOR PRODUCTION

Plaintiffs Jacob E. Peavy, individually and as trustee of the Jacob E. Peavy Revocable
Trust, and Katie L. Peavy (?Plaintiffs?) serve the following First Set of Requests for Production
upon Defendant Barry Axelrod ?Defendant? or ?Axelrod?). Defendant is to respond to 
the follovving Requests for Production within thirty (30) days pursuant to Rules 33 and 34 of the
Alabama Rules of Civil Procedure You are to respond to the following Requests for Production
as they are kept in the ordinary course of business and organized and labeled to correspond with
each production request at the of?ces of Hand Arendall LLC, Post Office Box 123, Mobile,
. Alabama 36601. 

You are advised of your continuing obligation to supplement this discovery as new
information becomes available.

In responding to these Requests for Production of Documents, you are required to furnish
all information available to you, including information in the possession of your attorney or any
person acting on your behalf, and not merely such information as is known of your own personal

knowledge.

 

Case Document 1-1 Filed 04/05/17 Page 38 of 47

You are under a duty to seasonably amend a prior response if you obtain information
upon the basis of which you know that the response, though correct when made, is no longer
true, and the circumstances are such that a failure to amend the response is in substance a
knowing concealment.

I Any such supplement is to be ?led and served upon counsel of record for Defendants
within ?fteen (15) days after receipt cf such information.
DEFINITIONS AND 
1. The Peavys means Plaintiffs Jacob E. Peavy, individually and as trustee of the Jacob E.

Peavy Revocable Trust, and Katie L. Peavy.
2; You, Axelrpd or Defendant'rneans Defendant Barry Axelrod.
3. RGT means RGT Wealth Advisers, a division of RGT Capital Management, Ltd.
4. TTR means The Ticket Reserve, Inc.

5. Narayan means Ash Narayan.

6. Litigation means the above captioned lawsuit.
7. Services means any act taken on behalf of the Peavys or for the Peavys? bene?t,

including but not limited to ?nancial management, advice, investment, bookkeeping, 

- supervision, oversight, andf or accounting activities.

8. Document includes, but is not limited to, all papers, books, accounts, drawings, graphs,

charts, photographs, electronic, audio, or videotape recordings, retrievable data (whether

carded, taped, coded, electrostatically or electromagnetioally recorded, or otherwise) and

 

10.

Case Document 1-1 Filed 04/05/17 Page 39 of 47

any other data compilation of any kind from which information can be obtained,
including (but not limited to)..computer hard drives, hard copies of computer information,
or computer disks; any notes or non-identical drafts relating to the foregoing, and any
other papers or writings of any kind, including, but not limited to, any information
contained in any computer or other information retrieval system or device. In all cases
where an original is not available, ?document? also means any identical copy of an
original document?In all cases where a document is in a language other than English,
?document? includes any translation and material related thereto. ?Dccuman also
includes desk ?les, personal contract files, reading ?les, pencil ?les, work ?les,
correspondence ?les, chronological ?les or the equivalent, maintained, directed to, or
received by any person employed by you or under your direction and control.

?Document? includes ESL, as de?ned herein.

Communication means any contact, correspondence or conversation (Whether face-to-
face, by telephone, text message, facsimile, electronic mail, or any other medium), and
any other transfer, receipt or exchange of Documents or ESI, as de?ned herein, messages,

or information.

ESI generally means all electronically stored information or. electronic ?les in an
electronic information system or on electronic storage device, as de?ned herein. 1381
includes, withoutlimitation, voicemail messages; email messages and their attachments;-
text messages and their attachments; instant?messaging messages and their attachments;
voicemail, email, text and instant?messaging messages, and other electronic messages
include all versions of these messages such as draft, sent, received, deleted, archived, and

saved messages; electronic ?les such as word processing, spreadsheet, presentation, and

3

 

11.

12.

13.

Case Document 1-1 Filed 04/05/17 Page 40 of 47

other electronic ?les; drawings, CAD, model or other similar ?les; draft, archived, and
deleted versions of any kind of electronic ?le; temporary ?les; system history ?les;
internet or web-browser-generated information stored in textual, graphical, or audio
format, including history ?les, caches,rand cookies; computer activity logs; metadata; all
digital communications; accounting application data; image and facsimile tiles; sound
recordings; databases; contact and relationship~management data; calendar and diary
application data; presentations; network~access and servanactivity logs; and back-up and

archival files. ESI also speci?cally includes any metadata associated with the ESI.

Electronic information system or EIS refers to a computer system or network, cell'
phone, smart phone, tablet computer, PDA, cloud storage, online storage or other similar

system or device that contains electronic ?les or electronic storage,

Electronic storage device or refers to magnetic, optical, ?ash, or other storage
media, such as hard drives, ?ash, USB, or thumb drives, DVDS, CDs, tapes, cartridges,
?oppy diskettes, cloud storage, internet storage, smart cards, integrated circuit cards (cg. 

SIM cards), cell phone, smart phone, tablet, or PDA drives.

These reqnests specifically request production of electronic or magnetic data, or
ESI, as provided for in Rule 340)) of the Alabama Rules of Cirit Procedure. ESI,
includes but is not limited to, Word documents, Excel documents, PowerPoint
documents, email, text messages, and instant messages, and any other electronically

or magnetically stored information.

a. Pursuant to Rule 34(h) of the Alabama Rules of Civil Procedure, produce any
responsive documents that are in electronic or magnetic form as follows:

4

 

Case Document 1-1 Filed 04/05/17 Page 41 of 47

ii.

Produce all documents uniquely and sequentially Bates numbered and as
both images and natives. Produce images in single?page tiff/jpeg format
with a: ,dii and .lfp load ?le. Produce OCR or extracted test as document
level text ?les with an .lst load ?le. Produce native ?les in their native 
format with a cross reference ?le listing Bates number and corresponding
native ?le name. Produce metadata in a delimited .txt or .dat ?le with the

following delimiters:

Field separator (ASCII 020) or (ASCII 124)
Quote character 13 (ASCII 254) or A (ASCII 094)
Multi?entry delimiter (ASCII 059)

Return value in data (ASCII 126)

The following metadata ?elds should be provided:

BEG-BATES

ENDBATES

PGCOUNT

MEDIA (indicates if the document is anemail, attachment, or edoc)
BEGATTCH

ENDATTCH

FROM

TO

CC

BCC,

SUBJECT

DATE SENT

TIME SENT

DATE CREATED

TIME CREATED

DATE SAVED

TIME SAVED

DATE RECEIVED

TIME RECEIVED 
NUMATTCH (number of attachments)
AUTHOR

DOCTITLE

ATTACHMENT TITLE

 

14.

- 15.

16.

17.

18.

19.

20.

Case Document 1-1 Filed 04/05/17 Page 42 of 47

FILE NAME

FILE EXTENSION

FILE SIZE

APPLICATION

PATH (original pathway or folder)

HASH CODE

CONFID (con?dential designation if any)

REDACTED (indication of whether a document is redacted)

DOCLINK (path to native ?le)
Produce any document that contains essential color in color. ?Essential color? is any
color that is essential to the understanding of the document, such as the color in charts,

maps, blueprints, drawings, models, graphs, videos, and photographs.
The singular includes the plural, and vice versa.

All means any, and vice versa.

Including means including, but not limited to.

Concerning, referencing, or relating to, means referring to, referencing, describing,

having any relationship to, pertaining to, re?ecting, dealing with, comprising, or

constituting evidence of in whole or in part.

The connectives and and or shall be construed either disjunctiyely-or conjunctively as
necessary to bring within the scope of this discovery request all responses that might

otherwise be construed to be outside of its scope.

You are requested to produce each non-privileged document, communication, and thing

to which reference is made below that:

a. is Within your actual or constructive possession, custody, or control; or

 

Case Document 1-1 Filed 04/05/17 Page 43 of 47

b. is Within the possession or custody of your present or former attorneys,
accountants, representatives, consultants, agents, employees, of?cers, investiga?

tors, or anyone else acting on your behalf, and subject to your control.

21. This request for documents requires the production of documents in the same form and in
the same order as they existed prior to production or organized and identi?ed to

correspond with the particular requests set forth below. .

REQUESTS FOR PRODUCTION

1. Produce all Communications! and/or Documents exchanged between You and
Narayan and/or any representative of RGT from January 1, 2004 to the present.

1 2. Produce all Documents and/or Communications exchanged between You and any
representative of TTR and! or Forward Market Media, lInc. from January 1, 2011 to the present.

3. Produce all Documents and/or in any way referencing Narayan,
RGT, TT and/or Forward Market Media, Inc. from January 1, 2011 to'the' present;

4. Produce all calendars or journals that reference or summarize a meeting with
Narayan, any representative of RGT, TTR, any representatiye of TTR, and accountants working
for the Peayys, Jake Peavy or Katie Peavy.

5. A Produce all Documents and/or Communications relating to Your receipt of
anything of value from Narayan, RGT, TTR or Forward Market Media, Inc. from January 1,
2011 to the present.

6. Produce all Documents and/ or Communications evidencing the payment of

anything of value By You to Narayan from January 1, 2011 to the present.

 

Case Document 1-1 Filed 04/05/17 Page 44 of 47

Produce all Documents and/or Communications concerning compensation paid to
You in exchange for Your Services provided to the Peavys, other than in Your capacity as Jake
- Peavy?s player agent.

8. Produce all Documents and/or Communications referencing the Peavys? ?nances,
investments, savings, income, and/or expenses. .

9. Produce all bank andfor account statements relating to the Peavys? accounts
maintained with Charles Schwab, Merrill and Wells Fargo.

10. Produce all Documents and/or Communications exchanged between You and any
representative of Charles Schwab relating to the Peavys? accounts maintained with Charles
Schwab from January 1, 2011 to the present.

11. Produce all Documents and/or Communications referencing or relating to the
transfer of funds to or from any of the Peavys? accounts maintained with Charles Schwab,
- Merrill or Wells Fargo.

12. Produce all ?nancial statements prepared by RGT concerning the Peavys? funds,
investments, assets, liabilities, and/or personal wealth, including all supporting documentation.

13. Produce all ?nancial statements prepared by You or at Your direction concerning
the Peavys? funds, investments, assets, liabilities, and/or personal wealth, including all
supporting documentation.

_14. Produce all notes and/or memoranda concerning the Peavys? investments,
accounts, personal wealth and] or ?nancial statements.

15. Produce all Documents and/0r Communications concerning or referencing any

meetings between you and the Peavys.

 

Case Document 1-1 Filed 04/05/17 Page 45 of 47

16. Produce all Documents and/or Communications concerning or referencing any
meetings between You and Narayan and/or any other representative of RGT.

17. Produce all Documents andfor Communications concerning or referencing any
meetings between You and any representative of TTR or Forward Market Media, Inc. -

18. Produce all Documents and/or Communications concerning or referencing the
solicitation of clients for Narayan, RGT, TTR or Forward Market Media, Inc.

19. Produce all Documents and/or Communications exchanged between You and the
Peavys, Luke Peavy, and/or Joan Dunlap from January 1, 2004 to the present.

20. Produce all Documents and/or Communications referencing the management of
Jake Peavys? paychecks, salary, and/or savings. .

21. Produce all contracts or agreements between the Peavys and RGT.

22. Produce all contracts or agreements betWeen You and the Peavys.

23.' Produce all contracts or agreements entered-into by You and any other person or .
entity related to ?nancial, investment, wealth advisement, and/or accounting services provided to
the Peavys.

24. Produce all Documents and/or Communications exchanged with any third party
. relating to ?nancial information, and/or accounting for the Peavys.

25. Produce all yoicernails from Narayan and/or any representative of RGT, TTR,
and/or Forward Market Media, Inc. in your possession.

26. Produce all text messages enchanged Between You and Narayan and/or any other
representative of RGT from January 1, 2011 to the present. 

27. I Produce all Quickbook ?les and Supporting data in your possession related to the

Peavys? funds, investments, assets, liabilities, and/or personal wealth.

 

Case Document 1-1 Filed 04/05/17 Page 46 of 47

28. Produce all Documents concerning and/or referencing the payment of RGT
invoices andfor statements from January 1, 20.11 to the present.

29. Produce all invoices and/or Documents relating to payment of services rendered
by any person or entity pertaining to the Peavys? ?nances, investments, assets, and/or wealth
management.

30, Produce all Documents and/or Communications exchanged between You and any 
representative of Hamilton Tharp LLP concerning the Peavys and/or the Peavys? ?nances,
investments, accounts, and/or tax ?lings.

31. Produce copies of all insurance policies that You have maintained since January
1, 2011 that could potentially cover losses associated with the scope of Services You provided to
the Peavys, including any insurance policy or agreement pursuant to which, any insurance 4
business may be liable to satisfy all or part of a possible judgment against You in this lawsuit,

32. Produce all Documents and/or Communications between you and Nina Wells
concerning or in any way?relating to the Peavys and/or their investments and/or business affairs

from January 1, 2011 to the present.

Respectfully submitted,

CAINE (ORE003)
CHRISTINE HART (HAR3 45)
HAND ARENDALL LLC -
Post Of?ce Box 123

Mobile,'AL 36601

(251) 432-5511

Fax: (251) 694?6375
corear@handarendall.com
chart@handarendall.com

10.

 

Case Document 1-1 Filed 04/05/17 Page 47 of 47

ERIC D. WADE .

NEIL KENTON ALEXANDER
BRETT CHALKE

PORTER HEDGES LLP

1000 Main Street, 36th Floor
Houston,Texas 77002?6336
Telephone: 7133-2266655
Facsimile: 713w226-6255
Admission Pro Hac Vice Pending

ATTORNEYS FOR PLAINTIFFS

CERTIFICATE OF SERVICE

I hereby certify that on March 21, 2017, a copy of the above and foregoing has been
served upon Defendant by certi?ed mail, as follows: -

BARRY AXELROD
2236 Encinitas Blvd, Suite A
Eneinitas, California 92024

11

 

Case 2:17-cv-00142-KD-MU Document 1-2 Filed 04/05/17 Page 1 of 1
JS44 (Rev

r2ir2)

CM

COVER SHEET

8: t-1,Crt, lqZ,KD- ffltL.

purposeolrnrtratrngthecrvll docketslreet. (sEE(NST'RLICT 2NSoNNExTPAGEOI:THlsFoRM.)

I. (a) PLAINTIITFS
Jacob E. Peavy, lndividually; Jacob E. Peavy as Trustee ofthe Jacob E,

Barry Axelrod

Peavy Revocable Trust; and Katie L. Peavy,

(b)

County of Residenoe of First Listed

Plaintiff Wilcox Couqly_ Aabama_

(DXCEPT'IN U.S,

PUINITIl;

County of Residence of First Listed

NO' E;

(C)

Attomeys 1f.,;n

Caine O'Rear, lll, Christine H. Hart, Hand Arendall, LLC, P.O. Box 123,
Mobile AL 36601 ; (251) 432-5511; Erie D. Wade, Porter Hedges, LLP,
1000 Main St., 36th Floor, Houston TX 77002-6336; (713) 226-6655

II. BASIS O,['JURISDICTION
O

I

Goyenment
Plaintiff

il 3

U.S.

E2

U.S.

III.

(pta"uro "x" inoneBoxorlty)

Feddal Question

Govement

El

4

James B. Newman, J. Casey Pipes, William W Watts, Helmsing,
Leach, Herlong, Newman & Rouse, P.C., P.O. \ox2767, Mobile AL
36652; (251) 432-5521

CITIZENSHIP OF PRINCIPAL

(For Dh'ercity Cases 0nly)
PTF
Citiren of This State

DEF

Diversity
(lndicale Citizenship ofPqtlies tu lten

lll)

CitianofAnotherState O 2

E 2

(Place

an "X" in One llorjor Plahttf
Boxfur DeJendant)

anel One

PTI'

8r ot

(Ll.S. Go ernnent Not a Pdrry)

Defendut

IN LAND CONDEMNAIION CASES, IJSE THE LOCATION Or
THIl 1'R.ACI'OI. LAND INVOLVED.

Attomeys (lfhtoy,n)

Nunher)

Natne, Addrcss, and'\'elephone

Detundant San Diego CoUnty. Calif.

(tN u.s. PLAINTIFF CASES ONr.y)

CASES)

o4

lncorpomted or Priucipal Place
of Bwiness ln This State

DE!

o4

tr 5 05

Incorpomtedalr/PrinoipalPlace
ofBusiuess [n Another Stats

CitianorSubjectofa d3

A 3

B6

ForeiglNation

t6

an "X"
'l

B
lll

ll0Insurance
I

0

20 Marine

O l30MillorAct
140 Negotiable

O
O

Recovery ofOverpayment
& Enforccmeat of Judgnent
151 Medicare Ad
152 Recovery ofDefaulted

0

Loms

(Excludes Veterms)
153 Recovery ofoyorpayuetrt
of Vstete's Benefits
160 StockholdBrs' Suits

a,
El i90OtherContract

0
fl

195 Contraot Product

Liability

B

hoduct

fl

320 Assault, Libel

D

30

&

Slander
Fcderal Employ6'

Liabiliry
lJ 340 Marine

E

345

0

Liability
350 Mstor Vehicle

Mrine

3J5 Moror V6hicle

D

Product Liability
360 Odrer Pereonal

tr

362 Porsonal

Iqjrry

D
C

fl

Injuy -

385

PropenyDmage
Product Liability

O
O

0
0

D

l-and Condermation
220 Foroclosurc
230 Rent Leme & Ejecbnent
240 Torts to Leld
245 Tort Produot Liabiliy
290 All O&er Refll Propsrt-v
21 0

B

440 Other Civil Rights
441 Voting

D

44?-

Ernployuert

11 443 Housing/

Accomnodations
0 445 Arner. w/Disabilities Employmotrt
D 446 Aner. rv/Disabilitiss Other
O 448 Education

il
0
f,

71

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720 Labor/Mmagonent

a

tr

Relatious
740 Railway Labor Aot

D

O

751

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790 OdrerLabor Litigation
791 tirnployee Retirernent

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530 General

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535 Death PenalSr

0

0 Pak Labor Standards

D

tr

O
O

820 Copyrights
830 Patent

il
O

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861

0

HIA (139510

862 Black l.,ung (923)
863 DrwCrDlww (405(9))
864 SSID Tirle XVt
86s Rsl (aos(g))

Fmdly md Mcdical

Income

fl

B

0

Cl 840 lrademrk

fJ

0
I

rl

422 Appeal 28 USC 158
423 Withdrawai
28 USC 157

375 False Clains

Act

400 State Reapportionmont
410

Antitrust

O 430llmks

Ilabeas Corpus:
463 Alien Detainee
510 Motions to Vaaate

D

690 Odrcr

Act

370 Other Fraud
371 Tnth in Lendirrg
380 OthorPersonal
Property Danage

Medical Malpmctiw

0

lieiarre

368AsbestosPersonal
Iniry Product

alv[. Rrcr+rs
O

fl

Product I-iability
367 l{ealth Cuo/
Phannaceuficsl
Personal Injury
Product Liability

Rolatcd

ofPropefy 2l USC 881

-

Liatrility
PERSONAL PROPER'I'Y

D

fujury

196Franchim

0

Producl

E

f1 625 Drug

PDRSONAL INJURY
13 365 Pcrsonal

Lisbility

lnstrwrent

150

Student

3l0Airplare

11 315 Airplane

0

D

}IANI(RIiPT(.-Y

PERSONAL INJURY

Secuity Act

lJ

870

O
O

490 Cable/Sat TV
850 SeawitieVCommoditiesl

D

0
0

U

890 OtherS(ahrtoryActiotrs
891 Agriculhral Acts
893 Enl,ironmental Matie$
895 Freedorn of ltrfonnBtion

O

896

Exchege

Act
Arbitratiou

0

899 Adrninishative

D

Aot/Revierv or Appeal
Agoncy Decision
950 Constiturionality of

Tues (U.S. PJainliff
or Defendant)

B 8?l IRS-ThidParty

md Barking
450 Corunsrce
460 Deporralion
470 Racketeer Influerced aud
Comrpt Orgmizations
480 ConsunerCredit

26 t'SC 7609

Proedurc

State Sratutos

lM&1lGltAt,t(}N

Other:
540 Mandamus & Other
550 Civil tughts
555 Prison Condition

O
O
O 560CivilDetnioe-

0
0

462

Natualization Applicatior

465 OtLer hnnigm.tion
Actions

Conditions of
Confinemeat

V, ORIGIN (Place an "X" tu One Box onl;)
tI I Original fi2 Rernovedfrom [ 3
Proceoding State Court
the U.S. Civil

VI.

CAUSE OFACTION

28 U.S.C.

IN

441 and 1446

of

COMPLAINT:
vrrr. RELATED CASE(S)

IFANY

RECEIPT #

CHEU(

IF THIS IS A CLAS$
UNDER RULE 23, F.R.Cv.P.

4 Reirlstatedor O 5 Transfenedfrorn D
District

Reopened

under which vou me

Breach

VT.

ll

Remandcdfrom
Appellate Court

(Do uot eitc jrilr'ttlciloilillstdstas unl6s

Multidistrict
l,itigation

dite$i'r'.

fraudulent concealment

ACTION

DBMAND $

CHECK YES only ifdemanded in

JURYDE}\&A.ND:

(See h?strkctialls):

JUDCE

AMOUNT

6

DOCI(ETNUMBER

IFP

JUIJCE

MAG. JUDGE

X

Yes

0No

of