Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 1 of 11

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 1 of 11

IN THE UNITED STATES DISTRICT COURT

FOR THE SOUTHERN DISTRICT OF TEXAS

HOUSTON DIVISION

________________________________________________

SECURITIES AND EXCHANGE COMMISSION,

)

)

Plaintiff,

) Civil Action No. 4:22-cv-4365

)

v.

)

)

JOHN FERNANDEZ,

) JURY TRIAL DEMANDED

AVAIL PROGRESSION, LLC, and

)

ELITE GENERATORS, INC.,

)

)

Defendants.

)

)

________________________________________________)

COMPLAINT

Plaintiff Securities and Exchange Commission (the “SEC” or “Commission”) alleges:

NATURE OF THE ACTION

1.

Between February 2017 and October 2021, John Fernandez, a self-professed

foreign exchange (“forex”) trading expert, raised over $4.3 million from approximately 175

investors through the sale of securities offered by two companies he controls – Avail

Progression, LLC (“Avail Progression”) and Elite Generators, Inc. (“Elite Generators”).

Fernandez and his companies promised to pay investors guaranteed returns by trading their funds

in the forex markets, but Fernandez instead used the majority of the investor funds to make Ponzi

payments and for his own personal expenses.

2.

Through their actions, Defendants violated, and unless enjoined will continue to

violate, the antifraud provisions of the federal securities laws, namely Section 10(b) of the

Securities Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder

[17 C.F.R. § 240.10b-5] and Section 17(a) of the Securities Act of 1933 (“Securities Act”) [15

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 2 of 11

U.S.C. § 77q(a)]. Additionally, Defendants violated Sections 5(a) and 5(c) of the Securities Act

[15 U.S.C. §§ 77e(a), 77e(c)] by selling unregistered securities.

3.

To protect the public from further fraudulent activity, the SEC brings this action

against Defendants and seeks: (i) permanent injunctive relief; (ii) disgorgement of ill-gotten gains,

plus prejudgment interest; and (iii) civil penalties.

DEFENDANTS

4.

John Fernandez is 26 years old and resides in Houston, Texas. He is the

founder, manager, and CEO of Avail Progression and Elite Generators. Fernandez claims to be a

self-taught day-trader who focuses on trading in the foreign exchange market (“forex”).

5.

Avail Progression, LLC is a Texas limited liability company established in

February 2017. Fernandez is Avail Progression’s founder, manager, and CEO.

6.

Elite Generators, Inc. is a Texas corporation established in July 2019.

Fernandez is the founder, manager, and CEO of Elite Generators.

JURISDICTION AND VENUE

7.

The Commission brings this action pursuant to authority conferred upon it by

Sections 20(b) and 20(d) of the Securities Act [15 U.S.C. §§ 77t(b) and 77t(d)] and Sections 21(d)

and 21(e) of the Exchange Act [15 U.S.C. §§ 78u(d) and 78u(e)].

8.

This Court has jurisdiction over this action pursuant to Sections 20(b), 20(d), and

22(a) of the Securities Act [15 U.S.C. §§ 77t(b), 77t(d), and 77v(a)] and Sections 21(d), 21(e), and

27 of the Exchange Act [15 U.S.C. §§ 78u(d), 78u(e), and 78aa].

9.

Fernandez and Avail Progression raised $1.5 million by selling so-called

“promissory notes.” Fernandez and Elite Generators raised an additional $2.8 million by selling

“investment contracts.” Both the Avail Progression promissory notes and the Elite Generators

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investments contracts are securities because they fall under the description of notes and

investments contracts, respectively, under Section 2(a)(1) of the Securities Act [15 U.S.C. §

77b(a)(1)] and Section 3(a)(10) of the Exchange Act [15 U.S.C. § 78c(a)(10)] and relevant

precedent.

10.

In connection with the conduct described in this Complaint, Defendants, directly or

indirectly, made use of the mails or the means or instruments of transportation or communication

in interstate commerce by, among other means, soliciting investments via the internet and

accepting investor deposits via wire transfer.

11.

Venue is proper in this District because, at all relevant times, Defendants were

located, and conducted business, in this District, and Fernandez resided in this District. Further,

acts, transactions, and courses of business constituting violations of the federal securities laws

alleged in this Complaint occurred within this District, including but not limited to Defendants’

solicitations of investors and the acceptance and disbursement of investor funds.

FACTUAL ALLEGATIONS

I.

Avail Progression

12.

From February 2017 to summer 2019, Fernandez and Avail Progression raised

$1.5 million from approximately 90 investors. Fernandez and Avail Progression required

investors to execute a document (drafted by Fernandez) titled “PROMISSORY NOTE,” which

outlined the terms of the investment. The note listed the date of the initial investment, the

amount of monthly return, and the dates upon which returns would be paid.

13.

In soliciting potential investors via email, Fernandez and Avail Progression touted

his superior trading abilities and highly specialized skill set, informing investors they would

receive “guaranteed interest every month.” In addition, when Avail Progression personnel

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communicated with potential investors in emails, they pitched Avail Progression as a “financial

growth company” that will “pay a percentage of guaranteed interest residually.”

14.

Despite representing to investors and potential investors that he would trade in

forex, Fernandez did not use any of the investor funds raised during the Avail Progression

offering for forex trading, as promised. Instead, Fernandez deposited approximately $281,000 of

the $1.5 million raised into an account at Coinbase – a platform used exclusively for crypto asset

trading, not forex trading. Even then, Fernandez conducted minimal crypto asset trading.

Further, Fernandez used at least $290,000 of investor funds to pay his own personal expenses.

Fernandez also paid at least $836,000 back to investors from commingled investor funds, the

majority of which were Ponzi payments to create the illusion of successful trading.

15.

At all times, Fernandez controlled the Avail Progression bank accounts, where he

commingled investor funds with his personal funds.

16.

Fernandez promised investors (in emails sent at least through August 2017), that

Avail Progression would send investors “documentation of portfolios, bank statements, and

history of company growth.” Instead, Fernandez and Avail Progression regularly deceived

investors by showing them, and also sending via email, screenshots of a forex trading tracker

website he had manipulated to show purported gains from trading that had not occurred.

17.

By spring 2019, Fernandez had spent all of the investor funds. Fernandez stated

to his assistant, who nominally held the title of Chief Operating Officer of Avail Progression,

that Fernandez had to restart the company because he owed “a million” in taxes. Shortly

thereafter, Avail Progression told investors that the company was winding down because of a

“tax blowback.” Avail Progression asked investors via email to “roll over” their investments to

Elite Generators, which the Avail Progression email described as a “legitimate financial

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Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 5 of 11

company.”

18.

Of the approximately 90 existing Avail Progression investors, approximately 40

became Elite Generators investors, agreeing to end their contracts with Avail Progression and

receive lower monthly returns from Avail Progression between May and July 2019. In total,

Avail Progression owed the transitioning investors approximately $850,000 in interim monthly

payments – which Fernandez paid by soliciting, and obtaining investments from, new (Elite

Generators) investors. Further, Avail Progression failed to pay the promised monthly returns to

the 50 other investors that did not agree to transition their outstanding accounts to Elite

Generators.

II.

Elite Generators

19.

In July 2019, Fernandez formally established Elite Generators, advertising the

company on social media, including Instagram and LinkedIn, as a financial investment firm.

The company’s LinkedIn profile claimed to “guarantee over 50% growth annually” by managing

investor funds in the forex markets. Fernandez promoted Elite Generators through social media

postings, email blasts, online message boards, and in face-to-face meetings – telling potential

investors that Elite Generators would guarantee returns ranging from 5-100% based solely on his

forex trading skills. Fernandez also touted a three-year proven track record although Elite

Generators was a newly formed company and his previous company had only a track record of

fraud and failure.

20.

Fernandez and Elite Generators required investors to execute an “Investment

Contract,” which listed the investment amount, the amount of the returns, and the dates on which

the investors would receive their returns, as well as other basic contractual terms related to late

fees and non-payment. Notably, the Investment Contract allowed that Elite Generators “may

5

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 6 of 11

utilize the investment amount for any reason; in any case, it is the parties’ desire and goal that

the investee [Elite Generators] will utilize the investment amount for money producing

investments.”

21.

While soliciting investors, however, Fernandez represented that he would use

investor funds to trade on the forex market and provide guaranteed returns. At no time did

Fernandez reveal to potential Elite Generators investors that the similarly structured Avail

Progression had been a sham.

22.

Fernandez controlled the Elite Generators bank accounts and regularly

commingled investor funds with his personal funds and funds from other sources, including third

party lenders and Coinbase.

23.

From July 2019 to October 2021, Elite Generators raised $2.8 million from over

100 investors. Of this amount, Fernandez and Elite Generators deposited only $93,000 in

accounts on forex trading platforms. Instead, Fernandez spent approximately $1.8 million of the

commingled investor funds to make Ponzi payments and used a majority of the remaining funds

to sustain his personal lifestyle.

24.

In September 2019, because he was not trading and, therefore, not generating

returns for investors, Fernandez resorted to obtaining payday loans to pay promised returns to

investors – borrowing over $474,000 at exorbitant interest rates as high as 38%. Fernandez

never alerted current or prospective investors to this development or to the fact that the returns

were not sourced from forex trading activities.

25.

By October 2021, Fernandez had stopped all trading activities and ceased making

payments to Elite Generators’ investors. When investors sought overdue returns, Fernandez

offered a litany of excuses, including “car troubles,” a failed wedding engagement, and a

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Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 7 of 11

temporarily frozen trading account. Fernandez eventually stopped even returning investor calls

and Elite Generators has no current assets or operations.

CLAIMS FOR RELIEF

FIRST CLAIM FOR RELIEF

Violations of Section 10(b) of the Exchange Act [15 U.S.C. § 78j(b)] and

Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5]

26.

Plaintiff re-alleges and incorporates paragraphs 1 through 25 of this Complaint by

reference as if set forth verbatim in this Claim.

27.

By engaging in the acts and conduct alleged herein, Defendants, directly or

indirectly, in connection with the purchase or sale of a security, by the use of any means or

instrumentality of interstate commerce, or of the mails, knowingly or with severe recklessness:

a. employed a device, scheme, or artifice to defraud; and/or

b. made an untrue statement of a material fact, or omitted to state a material fact

necessary in order to make the statements made, in the light of the

circumstances under which they were made, not misleading; and/or

c. engaged in an act, practice, or course of business which operated or would

operate as a fraud or deceit upon any person.

28.

By reason of the foregoing, Defendants have violated, and unless enjoined will

continue to violate, Section 10(b) of the Exchange Act [15 U.S.C. § 78j(b)] and Rule 10b-5

thereunder [17 C.F.R. §§ 240.10b-5].

7

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 8 of 11

SECOND CLAIM FOR RELIEF

Violations of Section 17(a) of the Securities Act [15 U.S.C. § 77q(a)]

29.

Plaintiff re-alleges and incorporates paragraphs 1 through 25 of this Complaint by

reference as if set forth verbatim in this Claim.

30.

By engaging in the acts and conduct alleged herein, Defendants, directly or

indirectly, in the offer or sale of a security, by the use of any means or instruments of transportation

or communication in interstate commerce or by use of the mails, have:

a. knowingly or with severe recklessness employed a device, scheme, or

artifice to defraud; and/or

b. knowingly, recklessly, or negligently obtained money or property by means

of an untrue statement of a material fact or an omission to state a material fact necessary in

order to make the statements made, in light of the circumstances under which they were made,

not misleading; and/or

c. knowingly, recklessly, or negligently engaged in a transaction, practice, or

course of business which operated or would operate as a fraud or deceit upon the purchaser.

31.

By reason of the foregoing, Defendants have violated, and unless enjoined will

continue to violate, Section 17(a) of the Securities Act [15 U.S.C. § 77q(a)].

8

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 9 of 11

THIRD CLAIM FOR RELIEF

Violations of Sections 5(a) and (c) of the Securities Act [15 U.S.C. §§ 77e(a) & (c)]

32.

Plaintiff re-alleges and incorporates paragraphs 1 through 25 of this Complaint by

reference as if set forth verbatim in this Claim.

33.

By engaging in the acts and conduct alleged herein, Defendants, directly or

indirectly:

a. made use of the means or instruments of transportation or communication in

interstate commerce or of the mails to sell, through the use or medium of any

prospectus or otherwise, securities as to which no registration statement was in

effect; and/or

b. for the purpose of sale or delivery after sale, carried or caused to be carried

through the mails or in interstate commerce, by means or instruments of

transportation, securities as to which no registration statement was in effect;

and/or

c. made use of means or instruments of transportation or communication in

interstate commerce or of the mails to offer to sell, through the use or medium

of any prospectus or otherwise, securities as to which no registration statement

had been filed.

34.

By engaging in the conduct described above, Defendants have violated, and unless

enjoined will continue to violate, Sections 5(a) and 5(c) of the Securities Act [15 U.S.C. §§ 77e(a)

and (c)].

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PRAYER FOR RELIEF

WHEREFORE, the Commission respectfully requests that the Court enter a judgment:

1.

Permanently enjoining Defendants from violating Sections 5(a), 5(c), and 17(a) of

the Securities Act [15 U.S.C. §§ 77e(a) and (c) and 77q(a)] and Section 10(b) of the Exchange Act

[15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5];

2.

Permanently enjoining Defendant Fernandez from directly or indirectly, including,

but not limited to, through any entity he owns or controls, participating in the issuance, offer,

purchase, or sale of any security, provided, however, that such injunction shall not prevent

Defendant Fernandez from purchasing or selling securities for his own personal account;

3.

Permanently enjoining Defendant Fernandez from serving as an officer or director

of any issuer required to file reports with the SEC under Section 12(b), 12(g), or 15(d) of the

Exchange Act [15 U.S.C. §§ 78l(b), 78l(g), and 78o(d)] pursuant to Section 21(d)(2) of the

Exchange Act [15 U.S.C. § 78u(d)(2)];

4.

Ordering the Defendants to disgorge ill-gotten gains as a result of the violations

alleged herein, pursuant to Sections 21(d)(3), 21(d)(5), and 21(d)(7) of the Exchange Act [15

U.S.C. §§ 78u(d)(5) & 78u(d)(7)], plus prejudgment interest thereon;

5.

Imposing civil penalties against Defendants pursuant to Section 20(d) of the

Securities Act [15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. §

78u(d)(3)] for violations of the federal securities laws as alleged herein;

6.

Imposing such other and further relief as the Court may deem just and proper.

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Dated: December 16, 2022

Respectfully submitted,

UNITED STATES SECURITIES AND

EXCHANGE COMMISSION

_________________________________

Matthew J. Gulde

Illinois Bar No. 6272325

S.D. Texas Bar No. 1821299

United States Securities and

Exchange Commission

Burnett Plaza, Suite 1900

801 Cherry Street, Unit 18

Fort Worth, TX 76102

Telephone: (817) 978-1410

Facsimile: (817) 978-4927

guldem@sec.gov

Attorney for Plaintiff

11

JS 44 (Rev. 04/21)

Case 4:22-cv-04365 Document

1-1 FiledSHEET

on 12/16/22 in TXSD Page 1 of 2

CIVIL COVER

The JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as

provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of the Clerk of Court for the

purpose of initiating the civil docket sheet. (SEE INSTRUCTIONS ON NEXT PAGE OF THIS FORM.)

I. (a) PLAINTIFFS

DEFENDANTS

JOHN FERNANDEZ, AVAIL PROGRESSION, LLC, AND

ELITE GENERATORS, INC.

County of Residence of First Listed Defendant Waller

SECURITIES AND EXCHANGE COMMISSION

(b) County of Residence of First Listed Plaintiff

(EXCEPT IN U.S. PLAINTIFF CASES)

NOTE:

(IN U.S. PLAINTIFF CASES ONLY)

IN LAND CONDEMNATION CASES, USE THE LOCATION OF

THE TRACT OF LAND INVOLVED.

Attorneys (If Known)

(c) Attorneys (Firm Name, Address, and Telephone Number)

Matthew J. Gulde

801 Cherry Street, Ste. 1900, Ft Worth, Texas 76102,

817-978-1410

II. BASIS OF JURISDICTION (Place an “X” in One Box Only)

III. CITIZENSHIP OF PRINCIPAL PARTIES (Place an “X” in One Box for Plaintiff

✖ 1

U.S. Government

Plaintiff

3

Federal Question

(U.S. Government Not a Party)

2

U.S. Government

Defendant

4

Diversity

(Indicate Citizenship of Parties in Item III)

(For Diversity Cases Only)

PTF

Citizen of This State

1

2

2

Incorporated and Principal Place

of Business In Another State

5

5

Citizen or Subject of a

Foreign Country

3

3

Foreign Nation

6

6

Click here for: Nature of Suit Code Descriptions.

TORTS

110 Insurance

120 Marine

130 Miller Act

140 Negotiable Instrument

150 Recovery of Overpayment

& Enforcement of Judgment

151 Medicare Act

152 Recovery of Defaulted

Student Loans

(Excludes Veterans)

153 Recovery of Overpayment

of Veteran’s Benefits

160 Stockholders’ Suits

190 Other Contract

195 Contract Product Liability

196 Franchise

REAL PROPERTY

210 Land Condemnation

220 Foreclosure

230 Rent Lease & Ejectment

240 Torts to Land

245 Tort Product Liability

290 All Other Real Property

PERSONAL INJURY

310 Airplane

315 Airplane Product

Liability

320 Assault, Libel &

Slander

330 Federal Employers’

Liability

340 Marine

345 Marine Product

Liability

350 Motor Vehicle

355 Motor Vehicle

Product Liability

360 Other Personal

Injury

362 Personal Injury Medical Malpractice

CIVIL RIGHTS

440 Other Civil Rights

441 Voting

442 Employment

443 Housing/

Accommodations

445 Amer. w/Disabilities Employment

446 Amer. w/Disabilities Other

448 Education

and One Box for Defendant)

PTF

DEF

Incorporated or Principal Place

4

4

of Business In This State

Citizen of Another State

IV. NATURE OF SUIT (Place an “X” in One Box Only)

CONTRACT

DEF

1

PERSONAL INJURY

365 Personal Injury Product Liability

367 Health Care/

Pharmaceutical

Personal Injury

Product Liability

368 Asbestos Personal

Injury Product

Liability

PERSONAL PROPERTY

370 Other Fraud

371 Truth in Lending

380 Other Personal

Property Damage

385 Property Damage

Product Liability

PRISONER PETITIONS

Habeas Corpus:

463 Alien Detainee

510 Motions to Vacate

Sentence

530 General

535 Death Penalty

Other:

540 Mandamus & Other

550 Civil Rights

555 Prison Condition

560 Civil Detainee Conditions of

Confinement

FORFEITURE/PENALTY

BANKRUPTCY

625 Drug Related Seizure

of Property 21 USC 881

690 Other

422 Appeal 28 USC 158

423 Withdrawal

28 USC 157

INTELLECTUAL

PROPERTY RIGHTS

LABOR

710 Fair Labor Standards

Act

720 Labor/Management

Relations

740 Railway Labor Act

751 Family and Medical

Leave Act

790 Other Labor Litigation

791 Employee Retirement

Income Security Act

IMMIGRATION

462 Naturalization Application

465 Other Immigration

Actions

OTHER STATUTES

375 False Claims Act

376 Qui Tam (31 USC

3729(a))

400 State Reapportionment

410 Antitrust

430 Banks and Banking

820 Copyrights

450 Commerce

830 Patent

460 Deportation

835 Patent - Abbreviated

470 Racketeer Influenced and

New Drug Application

Corrupt Organizations

840 Trademark

480 Consumer Credit

880 Defend Trade Secrets

(15 USC 1681 or 1692)

Act of 2016

485 Telephone Consumer

Protection Act

SOCIAL SECURITY

861 HIA (1395ff)

490 Cable/Sat TV

862 Black Lung (923)

✖ 850 Securities/Commodities/

863 DIWC/DIWW (405(g))

Exchange

864 SSID Title XVI

890 Other Statutory Actions

865 RSI (405(g))

891 Agricultural Acts

893 Environmental Matters

895 Freedom of Information

FEDERAL TAX SUITS

870 Taxes (U.S. Plaintiff

Act

or Defendant)

896 Arbitration

871 IRS—Third Party

899 Administrative Procedure

26 USC 7609

Act/Review or Appeal of

Agency Decision

950 Constitutionality of

State Statutes

V. ORIGIN (Place an “X” in One Box Only)

✖ 1

Original

Proceeding

2 Removed from

State Court

3

Remanded from

Appellate Court

4 Reinstated or

Reopened

5 Transferred from

Another District

(specify)

6 Multidistrict

Litigation Transfer

Cite the U.S. Civil Statute under which you are filing (Do not cite jurisdictional statutes unless diversity):

8 Multidistrict

Litigation Direct File

Sections 5(a), 5(c) & 17(a) Securities Act [15 U.S.C. §§ 77e(a) & (c) & 77q(a)] and Sections 10(b),12(b),12(g),15(d) Exchange Act [15 USC § 78(b)

VI. CAUSE OF ACTION Brief description of cause:

78l1(b), 78l(g) and 78o(d)] pursuant Section 21(d)(2) Exchange Act [15 USC § 78u(d)(2)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5]

VII. REQUESTED IN

COMPLAINT:

VIII. RELATED CASE(S)

IF ANY

DATE

CHECK IF THIS IS A CLASS ACTION

UNDER RULE 23, F.R.Cv.P.

(See instructions):

CHECK YES only if demanded in complaint:

DEMAND $

JURY DEMAND:

JUDGE

DOCKET NUMBER

SIGNATURE OF ATTORNEY OF RECORD

Dec 16, 2022

FOR OFFICE USE ONLY

RECEIPT #

AMOUNT

APPLYING IFP

JUDGE

MAG. JUDGE

✖ Yes

No

Case 4:22-cv-04365 Document 1-1 Filed on 12/16/22 in TXSD Page 2 of 2

JS 44 Reverse (Rev. 04/21)

INSTRUCTIONS FOR ATTORNEYS COMPLETING CIVIL COVER SHEET FORM JS 44

Authority For Civil Cover Sheet

The JS 44 civil cover sheet and the information contained herein neither replaces nor supplements the filings and service of pleading or other papers as

required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is

required for the use of the Clerk of Court for the purpose of initiating the civil docket sheet. Consequently, a civil cover sheet is submitted to the Clerk of

Court for each civil complaint filed. The attorney filing a case should complete the form as follows:

I.(a)

(b)

(c)

Plaintiffs-Defendants. Enter names (last, first, middle initial) of plaintiff and defendant. If the plaintiff or defendant is a government agency, use

only the full name or standard abbreviations. If the plaintiff or defendant is an official within a government agency, identify first the agency and then

the official, giving both name and title.

County of Residence. For each civil case filed, except U.S. plaintiff cases, enter the name of the county where the first listed plaintiff resides at the

time of filing. In U.S. plaintiff cases, enter the name of the county in which the first listed defendant resides at the time of filing. (NOTE: In land

condemnation cases, the county of residence of the "defendant" is the location of the tract of land involved.)

Attorneys. Enter the firm name, address, telephone number, and attorney of record. If there are several attorneys, list them on an attachment, noting

in this section "(see attachment)".

II.

Jurisdiction. The basis of jurisdiction is set forth under Rule 8(a), F.R.Cv.P., which requires that jurisdictions be shown in pleadings. Place an "X"

in one of the boxes. If there is more than one basis of jurisdiction, precedence is given in the order shown below.

United States plaintiff. (1) Jurisdiction based on 28 U.S.C. 1345 and 1348. Suits by agencies and officers of the United States are included here.

United States defendant. (2) When the plaintiff is suing the United States, its officers or agencies, place an "X" in this box.

Federal question. (3) This refers to suits under 28 U.S.C. 1331, where jurisdiction arises under the Constitution of the United States, an amendment

to the Constitution, an act of Congress or a treaty of the United States. In cases where the U.S. is a party, the U.S. plaintiff or defendant code takes

precedence, and box 1 or 2 should be marked.

Diversity of citizenship. (4) This refers to suits under 28 U.S.C. 1332, where parties are citizens of different states. When Box 4 is checked, the

citizenship of the different parties must be checked. (See Section III below; NOTE: federal question actions take precedence over diversity

cases.)

III.

Residence (citizenship) of Principal Parties. This section of the JS 44 is to be completed if diversity of citizenship was indicated above. Mark this

section for each principal party.

IV.

Nature of Suit. Place an "X" in the appropriate box. If there are multiple nature of suit codes associated with the case, pick the nature of suit code

that is most applicable. Click here for: Nature of Suit Code Descriptions.

V.

Origin. Place an "X" in one of the seven boxes.

Original Proceedings. (1) Cases which originate in the United States district courts.

Removed from State Court. (2) Proceedings initiated in state courts may be removed to the district courts under Title 28 U.S.C., Section 1441.

Remanded from Appellate Court. (3) Check this box for cases remanded to the district court for further action. Use the date of remand as the filing

date.

Reinstated or Reopened. (4) Check this box for cases reinstated or reopened in the district court. Use the reopening date as the filing date.

Transferred from Another District. (5) For cases transferred under Title 28 U.S.C. Section 1404(a). Do not use this for within district transfers or

multidistrict litigation transfers.

Multidistrict Litigation – Transfer. (6) Check this box when a multidistrict case is transferred into the district under authority of Title 28 U.S.C.

Section 1407.

Multidistrict Litigation – Direct File. (8) Check this box when a multidistrict case is filed in the same district as the Master MDL docket.

PLEASE NOTE THAT THERE IS NOT AN ORIGIN CODE 7. Origin Code 7 was used for historical records and is no longer relevant due to

changes in statute.

VI.

Cause of Action. Report the civil statute directly related to the cause of action and give a brief description of the cause. Do not cite jurisdictional

statutes unless diversity. Example: U.S. Civil Statute: 47 USC 553 Brief Description: Unauthorized reception of cable service.

VII.

Requested in Complaint. Class Action. Place an "X" in this box if you are filing a class action under Rule 23, F.R.Cv.P.

Demand. In this space enter the actual dollar amount being demanded or indicate other demand, such as a preliminary injunction.

Jury Demand. Check the appropriate box to indicate whether or not a jury is being demanded.

VIII. Related Cases. This section of the JS 44 is used to reference related pending cases, if any. If there are related pending cases, insert the docket

numbers and the corresponding judge names for such cases.

Date and Attorney Signature. Date and sign the civil cover sheet.

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