Securities and Exchange Commission v. Bard et al
| Securities and Exchange Commission |
| Robert Glenn Bard and Vision Specialist Group, LLC |
| 1:2009cv01473 |
| July 30, 2009 |
| US District Court for the Middle District of Pennsylvania |
| Harrisburg Office |
| Fulton |
| William W. Caldwell |
| None |
| 15 U.S.C. ยง 77 Securities Fraud |
| None |
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Filing
125
MEMORANDUM AND ORDER - AND NOW, this 10th day of Nov., 2011, upon con. of plf.'s mtn. for SJ 99 & pur. to the accompanying memorandum, it is ORDERED as follows: 1. Plf.'s mtn. for SJ 99 is GRANTED. 2. The Clerk of Crt. is directed to en ter jgm. in favor of plf. & against defts. 3. Defts. are hereby found liable for violations of 17(a) of the Securites Act of 1933 10(b) of the Exchange Act of 1934, & Rule 10b-5 thereunder, & Section 206(1) & 206(2) of the Investment Advisers Act of 1940. 4. Defts., & all persons in concert or participation with them who receive actual notice of this order by personal service or otherwise, are permanently restrained & enjoined from violating, directly or indirectly, Section 17(a)of the Securitie s Act of 1933 Section 10(b) of the Exchange Act of 1934, or Rule 10b-5 thereunder, or Section 206(1) & 206(2) of the Investment Advisers Act of 1940. 5. Defts. are jointly & severally liable for disgorgement of $450,000.00, together w/prejudgmen t interest thereon. 6. Instructions for payment shall be set by future order. Defts.' payment obligation shall not take effect until the court has set the final amt. for their total obligation. 7. While a civil penalty appears to be appropriate, a hrg. is required to determine a reasonable amt., given the fact that we lack information as to defts.' current & future financial condition, & other factors that bear on this decision. A hearing will be conducted on Tuesday, 12/13/11, @ 9:30 a.m. (See memo for complete details.) Signed by Judge William W. Caldwell on 11/10/11. (am, )
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