Securities & Exchange Commission v. Cade

Plaintiff: Securities & Exchange Commission
Defendant: A Catlin Cade, IV
Case Number: 2:2018cv01323
Filed: August 17, 2018
Court: US District Court for the Northern District of Alabama
Office: Southern Office
County: Jefferson
Presiding Judge: John E Ott
Nature of Suit: Securities/Commodities
Cause of Action: 15:78
Jury Demanded By: None

Docket Report

This docket was last retrieved on September 5, 2018. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 5, 2018 Opinion or Order 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)
September 4, 2018 Filing 8 CONSENT to Jurisdiction by US Magistrate Judge by Securities & Exchange Commission, A Catlin Cade, IV.(BST, )
August 31, 2018 Opinion or Order 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)
August 30, 2018 PHV Fee paid: $ 50, receipt number 1126-3163498. (Hayslip, Victor) NDAL rec # B4601091638
August 30, 2018 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)
August 30, 2018 Filing 5 NOTICE of Appearance by Victor L Hayslip on behalf of A Catlin Cade, IV (Hayslip, Victor)
August 30, 2018 Minute Entry for proceedings held before Magistrate Judge John E Ott: Telephone Conference held on 8/30/2018. (BST, )
August 29, 2018 Filing 4 NOTICE of Appearance by Robert K. Gordon on behalf of Securities & Exchange Commission (Gordon, Robert)
August 27, 2018 Opinion or Order 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)
August 24, 2018 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)
August 17, 2018 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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