Securities and Exchange Commisison v. Pentagon Capital Management PLC et al
| Securities and Exchange Commisison |
| Pentagon Capital Management PLC and Lewis Chester |
| Pentagon Special Purpose Fund, LTD. |
| 1:2008cv03324 |
| April 3, 2008 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| Robert W. Sweet |
| Securities/Commodities |
| 15 U.S.C. ยง 77 Securities Fraud |
| None |
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Available Case Documents
The following documents for this case are available for you to view or download:
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Filing
251
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)
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Filing
250
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)
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Filing
214
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)
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Filing
205
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)
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Filing
81
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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Filing
79
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)
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Filing
63
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)
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Filing
53
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).
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Filing
38
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)
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Filing
30
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).
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