Securities and Exchange Commission v. Aletheia Research and Management Inc et al
| Securities and Exchange Commission |
| Aletheia Research and Management Inc and Peter J Eichler, Jr |
| 2:2012cv10692 |
| December 14, 2012 |
| US District Court for the Central District of California |
| John F. Walter |
| Ralph Zarefsky |
| Other Statutory Actions |
Follow case documents by RSS
Available Case Documents
The following documents for this case are available for you to view or download:
| Document Text |
|---|
Filing
72
JUDGMENT AS TO DEFENDANT PETER J. EICHLER, JR. by Judge John F. Walter: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant Peter J. Eichler, Jr. and Eichler's agents, servants, employees, attorneys, and all persons in active concert or p articipation with them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "E xchange Act") [15 U.S.C. Section 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. Section 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security, etc. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant Eichler is liable for disgorgement of $1,655,923, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $41,749.35, for a total of $1,697,672.35. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant Eichler shall pay a civil penalty in the amount of $1,655, 923 to the Securities and Exchange Commission pursuant to Section 21(d)(3)(A) of the Exchange Act, 15 U.S.C. Section 78u(d)(3)(A) and Section 209(e) of the Advisers Act, 15 U.S.C. Section 80b-9(e)(2)(C). Defendant Eichler filed for bankruptcy protection under Chapter 7 of the Bankruptcy Code on or about 12/19/2013 (see In re Peter J. Eichler, Jr., Case. No. 2:13-bk-39626-RK (Bankr. C.D. Cal.)). See document for further details. (MD JS-6. Case Terminated) (gk)
|
|
Filing
32
JUDGMENT AS TO DEFENDANT PETER J. EICHLER, JR. by Judge John F. Walter. IT IT HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with hi m who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), 1 5 U.S.C. 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. 240.10b-5, by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sal e of any security: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of material fact or to omit to state a material fact necessary in order to make the statement made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. (See document for further details), in favor of Securities and Exchange Commission against Aletheia Research and Management Inc (bp)
|
|
Filing
28
JUDGMENT AS TO DEFENDANT ALETHEIA RESEARCH AND MANAGEMENT, INC. 25 by Judge John F. Walter. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's and all persons in active concert or participation with them who recei ve actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934, etc. (See attached document for details.) (lom)
|
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the California Central District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
