United States Securities and Exchange Commission v. Wilcox

Plaintiff: United States Securities and Exchange Commission
Defendant: Quentin Louis Wilcox
Case Number: 2:2019cv02437
Filed: April 16, 2019
Court: US District Court for the District of Arizona
Presiding Judge: Susan R Bolton
Nature of Suit: Other Statutes: Securities/Commodities
Jury Demanded By: None

Docket Report

This docket was last retrieved on April 24, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
April 24, 2019 Filing 10 SERVICE EXECUTED filed by United States Securities and Exchange Commission: Rule 4 Waiver of Service of Summons. Waiver sent on 4/16/2019 to Quentin Louis Wilcox . (Miller, Douglas)
April 23, 2019 Opinion or Order Filing 9 FINAL JUDGMENT AS TO DEFENDANT QUENTIN LOUIS WILCOX: 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], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security. Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly. Defendant is liable for disgorgement of $55,154.70, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $3,744.83, and a civil penalty in the amount of $55,154.70 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)], and Section 21A of the Exchange Act [15 U.S.C. 78u-1]. Defendant shall satisfy this obligation by paying $114,054.23 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph IV below after entry of this Final Judgment. Defendant shall pay the total of disgorgement, prejudgment interest, and penalty due of $ 114,054.23 in two (2) installments to the Commission according to the following schedule: (1) $10,000, within 14 days of entry of this Final Judgment; (2) $104,054.23 on February 7, 2020. Payments shall be deemed made on the date they are received by the Commission and shall be applied first to post judgment interest, which accrues pursuant to 28 U.S.C. 1961 on any unpaid amounts due after 14 days of the entry of Final Judgment. Prior to making the final payment set forth herein, Defendant shall contact the staff of the Commission for the amount due for the final payment. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. See document for further details. Signed by Senior Judge Susan R Bolton on 4/23/2019. (REK)
April 22, 2019 Filing 8 NOTICE of Appearance by Brian Ronald Booker on behalf of Quentin Louis Wilcox. (Booker, Brian)
April 16, 2019 Filing 7 STIPULATION FOR JUDGMENT AS TO CONSENT OF DEFENDANT QUENTIN LOUIS WILCOX by United States Securities and Exchange Commission. (Attachments: #1 Proposed Judgment)(Miller, Douglas)
April 16, 2019 Filing 6 Summons Issued as to Quentin Louis Wilcox. (MCO). *** IMPORTANT: When printing the summons, select "Document and stamps" or "Document and comments" for the seal to appear on the document.
April 16, 2019 Filing 5 NOTICE TO FILER OF DEFICIENCY re: #1 Complaint filed by United States Securities and Exchange Commission. Document not in compliance with LRCiv 7.1(a)(3) - Party names must be capitalized using proper upper and lower case type. No further action is required. This is a TEXT ENTRY ONLY. There is no PDF document associated with this entry. (MCO)
April 16, 2019 Filing 4 NOTICE TO THE PARTIES - The Court is participating in the Mandatory Initial Discovery Pilot (MIDP) and this case is subject to that pilot. The key features and deadlines are set forth in the attached Notice which includes General Order 17-08. Also attached is a checklist for use by the parties. All parties must respond to the mandatory initial discovery requests set forth in the General Order before initiating any further discovery in this case. Please note: The discovery obligations in the General Order supersede the disclosures required by Rule 26(a)(1). Any party seeking affirmative relief must serve a copy of the attached documents (Notice to Parties, including General Order 17-08 and MIDP Checklist) on each new party when the Complaint, Counterclaim, Crossclaim, or Third-Party Complaint is served. (MCO)
April 16, 2019 Filing 3 This case has been assigned to the Honorable Susan R Bolton. All future pleadings or documents should bear the correct case number: CV-19-2437-PHX-SRB. Notice of Availability of Magistrate Judge to Exercise Jurisdiction form attached. (MCO)
April 16, 2019 Filing 2 SUMMONS Submitted by United States Securities and Exchange Commission. (Miller, Douglas) (MCO)
April 16, 2019 Filing 1 COMPLAINT filed by United States Securities and Exchange Commission. (Miller, Douglas) (Attachments: #1 Civil Cover Sheet)(MCO)

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Plaintiff: United States Securities and Exchange Commission
Represented By: Douglas M Miller
Represented By: Todd Brilliant
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Defendant: Quentin Louis Wilcox
Represented By: Brian Ronald Booker
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