Securities and Exchange Commission v. Jack D. Massimino et al
| Securities and Exchange Commission |
| Jack D Massimino, Robert C Owen, Robert C. Owen and Jack D. Massimino |
| 2:2019cv01374 |
| February 25, 2019 |
| US District Court for the Central District of California |
| Frederick F Mumm |
| John F Walter |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| None |
Docket Report
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| Document Text |
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| Filing 16 FINAL JUDGMENT AS TO DEFENDANT JACK D. MASSIMINO by Judge John F. Walter. IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from any violation of Section 17(a) (3) of the Securities Act of 1933. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $80,000 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act. (MD JS-6, Case Terminated). (iv) |
| Filing 15 FINAL JUDGMENT AS TO DEFENDANT ROBERT C. OWEN by Judge John F. Walter. IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from aiding and abetting any violation of Section 13(a) of the Exchange Act. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $20,000 to the Securities and Exchange Commission. (iv) |
Filing 14
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Janie L. Frank to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission, designating Douglas M. Miller as local counsel #6 . (iv)
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| Filing 13 Notice of Appearance or Withdrawal of Counsel: for attorney Achyut Jayant Phadke counsel for Defendant Jack D. Massimino. Adding Achyut J. Phadke as counsel of record for Jack D. Massimino for the reason indicated in the G-123 Notice. Filed by Defendant Jack D. Massimino. (Phadke, Achyut) |
| Filing 12 Notice of Appearance or Withdrawal of Counsel: for attorney John W Spiegel counsel for Defendant Jack D. Massimino. Adding John W. Spiegel as counsel of record for Jack D. Massimino for the reason indicated in the G-123 Notice. Filed by Defendant Jack D. Massimino. (Spiegel, John) |
| Filing 11 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendants Jack D. Massimino, Robert C. Owen. (ghap) |
| Filing 10 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (ghap) |
| Filing 9 NOTICE OF ASSIGNMENT to District Judge John F. Walter and Magistrate Judge Frederick F. Mumm. (ghap) |
| Filing 8 NOTICE of Appearance filed by attorney Eric David Vandevelde on behalf of Defendant Robert C Owen (Attorney Eric David Vandevelde added to party Robert C Owen(pty:dft))(Vandevelde, Eric) |
| Filing 7 NOTICE of Appearance filed by attorney Debra Wong Yang on behalf of Defendant Robert C Owen (Attorney Debra Wong Yang added to party Robert C Owen(pty:dft))(Yang, Debra) |
| Filing 6 APPLICATION of Non-Resident Attorney Janie L. Frank to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Miller, Douglas) |
| Filing 5 STIPULATION for Judgment as to Defendant Robert C. Owen filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 [Proposed] Final Judgment)(Miller, Douglas) |
| Filing 4 STIPULATION for Judgment as to Defendant Jack D. Massimino filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 [Proposed] Final Judgment)(Miller, Douglas) |
| Filing 3 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission. (Miller, Douglas) |
| Filing 2 CIVIL COVER SHEET filed by Plaintiff Securities and Exchange Commission. (Miller, Douglas) |
| Filing 1 COMPLAINT No Fee Required - US Government, filed by Plaintiff Securities and Exchange Commission. (Attorney Douglas M Miller added to party Securities and Exchange Commission(pty:pla))(Miller, Douglas) |
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