Securities and Exchange Commisison v. Pentagon Capital Management PLC et al

Plaintiff: Securities and Exchange Commisison
Defendant: Pentagon Capital Management PLC and Lewis Chester
Relief Defendant: Pentagon Special Purpose Fund, LTD.
Case Number: 1:2008cv03324
Filed: April 3, 2008
Court: New York Southern District Court
Office: Foley Square Office
County: NewYork
Presiding Judge: Robert W. Sweet
Nature of Suit: Securities/Commodities
Cause of Action: 15:77 Securities Fraud
Jury Demanded By: None

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed#Document Text
February 14, 2012 205 Opinion or Order of the Court OPINION: For the reasons set forth within, Defendants and Relief Defendant, PSPF, shall disgorge the total of their pecuniary gain on trades through TW&Co., a sum of $38,416,500 plus pre-judgment interest. Civil penalties of $38,416,500 are additionally imposed and injunctive relief is granted. Submit judgment upon notice. (Signed by Judge Robert W. Sweet on 2/14/2012) (ab)
March 28, 2012 214 Opinion or Order of the Court OPINION: The evidence presented at trial established that defendants engaged in an intentional and egregious fraudulent late trading scheme over the course of several years, involving thousands of transactions violative of the federal securities laws. In light of the facts and circumstances of this case, civil penalties of $38,416,500 are assessed jointly and severally on defendants PCM and Chester. (Signed by Judge Robert W. Sweet on 3/28/2012) (mro)
October 21, 2013 250 Opinion or Order of the Court OPINION re: 243 MOTION for Fees and Expenses or, in the Alternative, to Withdraw as Counsel for Pentagon Capital Management PLC filed by Pentagon Capital Management PLC. Based upon the conclusions set forth above, the Pepper Hamilton's motion to modify the restraining notice with respect to the relevant fees is granted. (Signed by Judge Robert W. Sweet on 10/18/2013) (cd)
October 29, 2013 251 Opinion or Order of the Court AMENDED OPINION re: 245 MOTION for Attorney Fees and expenses or, in the alternative, to withdraw as counsel for defendant Lewis Chester filed by Lewis Chester. Based upon the conclusions set forth above, the Pepper Hamilton's motion to modify the restraining notice with respect to the relevant fees is granted and payment of Seyfarth Shaw's fee is approved. (Signed by Judge Robert W. Sweet on 10/29/2013) (rsh)
February 10, 2009 30 Opinion or Order of the Court OPINION:# 97067 For the reasons set forth in this order, the motion to dismiss is denied. (Signed by Judge Robert W. Sweet on 2/9/09) (mme) Modified on 2/13/2009 (jab).
October 14, 2009 38 Opinion or Order of the Court ORDER, Set Deadlines/Hearing as to 36 MOTION in Limine to Determine Admissibility of SEC Findings. ( Motion Hearing set for 11/4/2009 at 12:00 PM in Courtroom 18C, 500 Pearl Street, New York, NY 10007 before Judge Robert W. Sweet.) All motion papers shall be served in accordance with Local Civil Rule 6.1. (Signed by Judge Robert W. Sweet on 10/13/09) (cd)
March 17, 2010 53 Opinion or Order of the Court OPINION: #98680 Each of the documents at issue in this motion is an Order of the SEC making findings based on facts discovered pursuant to its investigative authority. Such findings are presumed reliable and admissible under Rule 803(8) (C). Because the documents are not being offered to establish liability, Rule 408 is not implicated. The proffered documents are admissible pursuant to Rule 803 (8) (C). Any rulings with respect to relevance or other issues of admissibility will be determined at an appropriate time in the proceedings which follow. (Signed by Judge Robert W. Sweet on 3/11/2010) (jpo) Modified on 3/19/2010 (ajc).
July 1, 2010 63 Opinion or Order of the Court OPINION: Defendants' motion in limine is granted as to the admissibility of the Cutler testimony, subject to a further ruling on relevance at an appropriate time in the proceedings. (Signed by Judge Robert W. Sweet on 6/30/2010) (tro)
October 8, 2010 79 Opinion or Order of the Court OPINION that Defendants' motion to compel is denied as to the list of mutual funds that allowed capacity agreements and granted as to the exhibits to the investigative testimonies already produced by the SEC. (Signed by Judge Robert W. Sweet on 10/7/10) (cd)
November 12, 2010 81 Opinion or Order of the Court OPINION: Defendants' motion to compel Brady and Giglio materials is denied.It is so ordered. (Signed by Judge Robert W. Sweet on 11/12/10) (db)

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Plaintiff: Securities and Exchange Commisison
Represented By: Mark K. Schonfeld
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Defendant: Pentagon Capital Management PLC
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Defendant: Lewis Chester
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Relief defendant: Pentagon Special Purpose Fund, LTD.
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