Securities and Exchange Commission v. Bass et al

Plaintiff: Securities and Exchange Commission
Defendant: Christopher W. Bass, Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P. and Swiss Capital Harbor Fund C Partners, L.P.
Case Number: 1:2010cv00606
Filed: May 24, 2010
Court: New York Northern District Court
Office: Albany Office
County: Albany
Presiding Judge: Lawrence E. Kahn
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15:77
Jury Demanded By: None

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Date Filed#Document Text
September 14, 2011 12 Opinion or Order of the Court MEMORANDUM-DECISION and ORDERED, that Plaintiffs Motion for default judgment is GRANTED (Dkt. No. 10); and it is further ORDERED, that Defendants are permanently restrained and enjoined from violating § 5 of the Securities Act of 1933 (15 U.S.C. § 77e); § 17(a) of the Securities Act of 1933 (15 U.S.C. § 77q(a)); and § 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. § 78j(b)) and Rule 10b-5 thereunder (17 C.F.R. § 240.10b-5); and it is further ORDERED, t hat Plaintiff is granted leave to file for disgorgement, prejudgment interest, and civil monetary penalties against Defendants following sentencing in the pending criminal case against Defendant Christopher Bass (U.S. v. Christopher Bass, 10-CR-166 (N.D.N.Y.) (Kahn, J.)). Signed by Senior Judge Lawrence E. Kahn on September 14, 2011. (sas)
October 26, 2012 16 Opinion or Order of the Court DECISION and ORDERED, that Plaintiffs Motion for final judgment (Dkt. No. 14) is GRANTED; and it is further ORDERED, that Defendants are jointly and severally liable to the SEC for the total combined disgorgement and prejudgment interest amount of &# 036;5,203,054. This sum is deemed satisfied by the criminal restitution order entered against Defendant Bass in his parallel criminal case; and it is further ORDERED, that Defendants are permanently restrained and enjoined from violating § 5 of the Securities Act of 1933 (15 U.S.C. § 77e); § 17(a) of the Securities Act of 1933 (15 U.S.C. § 77q(a); and § 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. § 78j(b)), and Rule 10b-5 thereunder (17 C.F.R. § 240.10b-5). Signed by Senior Judge Lawrence E. Kahn on October 26, 2012. (sas)

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Plaintiff: Securities and Exchange Commission
Represented By: Kevin P. McGrath
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Defendant: Christopher W. Bass
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Defendant: Swiss Capital Harbor-USA, LLC
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Defendant: Swiss Capital Harbor Fund A Partners, L.P.
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Defendant: Swiss Capital Harbor Fund B Partners, L.P.
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Defendant: Swiss Capital Harbor Fund C Partners, L.P.
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