Securities and Exchange Commission v. Coddington et al
| Securities and Exchange Commission |
| Daniel Dirk Coddington, Michael B. Columbia, Jesse W. Erwin, Jr., Merlyn Curt Geisler, Marshall D. Gunn, Jr., Seth A. Leyton, Lewis P. Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., SouthCom Management LLC, Stonerock Capital Group LLC, Daniel Scott Coddington, Coddington Family Trust, Joanna I. Columbia, Vincent G. Farris and Vincent G. Farris Co., L.P.A. |
| 1:2013cv03363 |
| December 12, 2013 |
| US District Court for the District of Colorado |
| Denver Office |
| Denver |
| Christine M. Arguello |
| Securities/Commodities/Exchanges |
| 15 U.S.C. ยง 10 |
| None |
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The following documents for this case are available for you to view or download:
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Filing
325
FINDINGS OF FACT AND CONCLUSIONS OF LAW AS TO DANIEL SCOTT CODDINGTON. SO ORDERED by Judge Christine M. Arguello on 6/8/2022. (sphil, ) Modified on 6/8/2022 to edit text. (sphil, ).
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Filing
304
ORDER Plaintiff's Motion to Amend and for Relief from Judgment Against Lewis P. Malouf (Doc. # 300 ) is DENIED, by Judge Christine M. Arguello on 9/22/2021.(evana, )
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Filing
297
ORDER Granting Plaintiff's Motion for Summary Judgment Against Defendant Lewis P. Malouf 249 . ORDERED that Lewis P. Malouf's Objections to the Securities and Exchange Commissions Appendix of Exhibits Submitted in Support of its Motion fo r Summary Judgment (Doc. # 261) is OVERRULED. Plaintiff's Motion for Summary Judgment Against Lewis P. Malouf (Doc. # 249) is GRANTED. Summary judgment shall enter in favor of Plaintiff Securities and Exchange Commission and against Defendant Lewis P. Malouf on Plaintiff's First Claim for Relief for engaging in the unregistered offer and sale of securities in violation of Sections 5(a) and (c) of the Securities Act; its Second and Third Claims for Relief for securities fraud in viola tion of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and its Fourth Claim for Relief for acting as an unregistered broker/dealer in violation of Section 15(a) of the Securities Act. Mr. Malouf is hereby ORDERED to pay $76,584.00 in disgorgement, $29,313.63 in prejudgment interest, and a third-tier civil penalty of $76,584.00, totaling $182,481.63. Judgment shall enter against Mr. Malouf in the amount of $182,481.63. SO ORDERED by Judge Christine M. Arguello on 8/25/2021.(swest)
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Filing
293
ORDER Plaintiff's Motion for Summary Judgment Against D. Scott Coddington (Doc. # 251 ) is GRANTED IN PART AND DENIED IN PART. It is GRANTED with respect to the $45,000 in cash gifts and $21,738.57 in tuition payments. It is DENIED as to the $120,509.10 in cash withdrawals from the Coddington Family Trust bank account, the $108,000 in disputed "salary" payments, and the $28,000 car loan. The Commission's request for prejudgment interest is DENI ED WITHOUT PREJUDICE as it is better suited for post-trial resolution; Relief Defendant Scott Coddington's Motion for Summary Judgment (Doc. # 253 ) is GRANTED IN PART AND DENIED IN PART. It is GRANTED as to the $120,509.10 in cash w ithdrawals from the Coddington Family Trust bank account. It is DENIED in all other respects; summary judgment shall enter in favor of Plaintiff Securities and Exchange Commission and against Relief Defendant D. Scott Coddington on Plaintiff' s claim for disgorgement with respect to the $45,000 in cash gifts and $21,738.57 in tuition payments only; summary judgment shall enter in favor of Relief Defendant D. Scott Coddington on Plaintiffs claim for disgorgement with respect t o the $120,509.10 in cash withdrawals from the Coddington Family Trust bank account only; Relief Defendant D. Scott Coddington is hereby ORDERED to pay $66,738.57 in disgorgement; and the parties shall inform the Court, by email sent to Arguello_Chambers@cod.uscourts.gov by August 20, 2021, of how many days they will require to try the Commission's remaining claim for disgorgement against Scott Coddington, by Judge Christine M. Arguello on 8/10/2021.(evana, )
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Filing
291
ORDER Granting 240 Plaintiff's Motion for Summary Judgment Against Defendant Jesse W. Erwin, Jr. Summary Judgment shall enter in favor of Plaintiff Securities and Exchange Commission and against Defendant Jesse W. Erwin, Jr., on Plaintiff' ;s Second Claim for Relief for fraud in violation of Section 17(a) of the Securities Act, 15 U.S.C. § 77q(a), and Plaintiff's Third Claim for Relief for fraud in violation of Section 10(b) and Rule 10b-5 of the Exchange Act, 15 U.S.C. § ; 78j(b) and 17 C.F.R. § 240.10b-5; Mr. Erwin is hereby ENJOINED from further violations of the securities laws; and Mr. Erwin is ORDERED to pay $1,452,409.62 in disgorgement and $554,222.27 in prejudgment interest, but this obligation is subsumed within Mr. Erwin's existing restitution obligation in the related criminal action -- United States v. Erwin, Case No. 15-cr-00383-RBJ-2. SO ORDERED by Judge Christine M. Arguello on 7/29/2021.(swest)
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Filing
287
ORDER that the Courts December 11, 2020 Order is hereby AMENDED at pages 8, 9, and 11 to substitute the correct amount of $2,257,183.15 for any amount listed as $2,256,765.35. It is FURTHER ORDERED that the Clerk of Court shall enter an Amended Default Judgment that corrects the total amounts on pages 2 and 3 to be $2,257,183.15, by Judge Christine M. Arguello on 12/16/2020.(evana, )
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Filing
283
OPINION AND ORDER Granting Motion for Default Judgment as to Defendant Seth A. Leyton. ORDERED: The SEC's Motion for Default Judgment against Seth A. Leyton 254 is GRANTED. Defendant Leyton is liable for disgorgement for a total amount of &# 036;423,302.73. The Clerk of Court is ordered to enter Judgment in favor of the SEC and against Defendant Seth A. Leyton in the amount of $423,302.73. The Court shall retain jurisdiction over this matter for the purposes of enforcing the terms of the Final Judgment. SO ORDERED by Judge Christine M. Arguello on 12/11/2020.(swest)
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Filing
245
ORDER Adopting 239 Recommendation of United States Magistrate Judge Kathleen M. Tafoya. Plaintiff Securities and Exchange Commission's Motion to Strike Answer of Coddington Family Trust (Doc. # 234 ) is GRANTED. Coddington Family Trust's Answer (Doc. # 52 ) is hereby STRICKEN. The Clerk of Court is DIRECTED to enter default against Coddington Family Trust, pursuant to Fed. R. Civ. P. 55(a). By Judge Christine M. Arguello on 09/15/2020. (athom, )
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Filing
176
COURTROOM MIINUTES for Motion Hearing held on 1/20/2016 before Magistrate Judge Kathleen M. Tafoya. ORDERED: Coddington Defendants' Joint Expediated Motion for Stay of Proceedings or, in the Alternative, Protective Order 164 is GRANTED, as stated on record. Discovery is STAYED, pending further Court order. Defendants' Motion to Stay Further Briefing and Consideration of Plaintiff's Motion to Quash Coddington Defendants' Notice of Rule 30(b)(6) Deposition of the Securi ties and Exchange Commission and for Protective Order or, in the Alternative, for Extension of Time to Respond 165 is DENIED AS MOOT. Defendant Jesse Erwin's Motion for Stay of Proceedings 166 is GRANTED, as stated on record. Discovery is STAYED, pending further Court order. The parties shall file a status report within five days upon resolution of the criminal case against Defendants Daniel Dirk Coddington or Jesse Erwin.FTR: KMT C201. (sgrim)
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Filing
156
ORDER Granting Leave to Take Deposition of Seth Beoku-Betts, by Magistrate Judge Kathleen M. Tafoya on 10/27/15.(morti, )
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Filing
142
ORDER granting 138 Leave to Take Deposition of Michael Columbia, by Magistrate Judge Kathleen M. Tafoya on 8/5/15.(sgrim)
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Filing
102
ORDER Adopting and Affirming 101 March 4, 2015 Recommendation of United States Magistrate Judge: Defendants' Motion to Dismiss Complaint (Doc. # 54 ) is DENIED. By Judge Christine M. Arguello on 03/23/2015. (athom, )
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Filing
88
ORDER. The Answer of Defendant Stonerock Capital Group LLC 12 is STRICKEN. Any further documents filed by Defendant Columbia on behalf of Defendant Stonerock Capital Group LLC will be stricken, by Magistrate Judge Kathleen M. Tafoya on 5/15/14. (sgrim)
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Filing
48
ORDER Setting Scheduling Conference for 4/10/2014 at 10:15 AM in Courtroom C201 before Magistrate Judge Kathleen M. Tafoya, by Magistrate Judge Kathleen M. Tafoya on 3/4/14. (sgrim)
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