Securities & Exchange Commission v. Cade
| Securities & Exchange Commission |
| A Catlin Cade, IV |
| 2:2018cv01323 |
| August 17, 2018 |
| US District Court for the Northern District of Alabama |
| Southern Office |
| Jefferson |
| John E Ott |
| Securities/Commodities |
| 15 U.S.C. ยง 78 |
| None |
Docket Report
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This docket was last retrieved on September 5, 2018. A more recent docket listing may be available from PACER.
| Document Text |
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Filing 9
FINAL JUDGMENT - Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the Exchange Act) [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5] as further set out in this order; Defendant is liable for disgorgement of $ 8,745.68, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $ 637.57, and a civil penalty in the amount of $ 8,745.68 pursuant to Section 21A of the Exchange Act [15 U.S.C. 78u-1]. Defendant shall satisfy this obligation by paying $ 18,128.93 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment in accordance with the instructions set out in this order. Signed by Magistrate Judge John E Ott on 9/5/2018. (KAM)
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| Filing 8 CONSENT to Jurisdiction by US Magistrate Judge by Securities & Exchange Commission, A Catlin Cade, IV.(BST, ) |
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Filing 7
TEXT ORDER granting #6 the motion of Thomas K. Potter, III, to appear pro hac vice. Signed by Magistrate Judge John E. Ott on 08/31/2018. (SUH)
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| Filing 6 MOTION for Leave to Appear Pro Hac Motion is RIPE 8/30/2018. Any party may file a motion to reconsider within three (3) business days of a ruling on the motion.Filed by A Catlin Cade, IV. (Hayslip, Victor) |
| Filing 5 NOTICE of Appearance by Victor L Hayslip on behalf of A Catlin Cade, IV (Hayslip, Victor) |
| Minute Entry for proceedings held before Magistrate Judge John E Ott: Telephone Conference held on 8/30/2018. (BST, ) |
| PHV Fee paid: $ 50, receipt number 1126-3163498. (Hayslip, Victor) NDAL rec # B4601091638 |
| Filing 4 NOTICE of Appearance by Robert K. Gordon on behalf of Securities & Exchange Commission (Gordon, Robert) |
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Filing 3
ORDER Telephone Conference set for 8/30/2018 09:30 AM before Magistrate Judge John E Ott; parties to call 888-808-6929 and use access code 5917763 to participate; Signed by Magistrate Judge John E Ott on 8/30/2018. (BST)
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| Filing 2 MOTION to Approve Consent Judgment Motion is RIPE 8/24/2018. Any party may file a motion to reconsider within three (3) business days of a ruling on the motion.Filed by Securities & Exchange Commission. (Attachments: #1 Final Judgment)(Loomis, Madison) |
| Filing 1 COMPLAINT against A Catlin Cade, IV, filed by Securities & Exchange Commission.(KAM) |
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| Plaintiff: Securities & Exchange Commission | |
| Represented By: | Madison Graham Loomis |
| Represented By: | Robert K. Gordon |
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| Defendant: A Catlin Cade, IV | |
| Represented By: | Victor L Hayslip |
| Represented By: | Thomas K Potter, III |
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