Securities and Exchange Commission v. BMA Securities, LLC
| Securities and Exchange Commission |
| BMA Securities, LLC |
| 2:2022cv01116 |
| February 18, 2022 |
| US District Court for the Central District of California |
| Paul L Abrams |
| Dolly M Gee |
| Securities/Commodities |
| None |
Docket Report
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This docket was last retrieved on March 29, 2022. A more recent docket listing may be available from PACER.
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Filing 17
FINAL JUDGMENT by Judge Dolly M. Gee: Plaintiff Securities and Exchange Commission (the "Commission") has applied to the Court for an Judgment pursuant to Section 21(e) of the Securities Exchange Act of 1934 ("Exchange Act") to enforce compliance by the Respondent BMA Securities, LLC ("BMA SECURITIES"), with a final Commission order entered against it on 3/12/2020 #1 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the Commission Order is enforced. BMA Securities shall disgorge $48,489.23, and prejudgment interest of $10,048.55 with additional interest pursuant to SEC Rule of Practice 600 until the entry of Judgment, and to pay a civil penalty of $275,000, plus outstanding interest pursuant to 31 U.S.C. Section 3717 until the entry of Judgment, together with postjudgment interest pursuant to 28 U.S.C. Section 1961 from the date of the entry of this Judgment. See document for further details. (MD JS-6, Case Terminated). (gk)
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Filing 15
NOTICE OF LODGING filed re Text Only Scheduling Notice, 13 (Attachments: #1 Proposed Order)(Roessner, Michael)
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Filing 16
MINUTES OF Order to Show Cause Hearing held before Judge Dolly M. Gee: There is no appearance by or on behalf of respondent BMA Securities, LLC. The Court GRANTS the Application of the Securities and Exchange Commission ("SEC") for an Order under Section 21(e) of the Exchange Act Enforcing Compliance with Commission Order #1 . The SEC shall lodge a proposed order/judgment for the Court to consider. Court Reporter: Maria Bustillos. (gk)
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Filing 14
PROOF OF SERVICE filed by Plaintiff Securities and Exchange Commission, re Text Only Scheduling Notice, 13 served on March 24, 2022. (Roessner, Michael)
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Filing 13
(IN CHAMBERS) ORDER by Judge Dolly M. Gee. The parties, if they prefer, may appear for the Order to Show Cause hearing on March 25, 2022 at 10:00 a.m. by Zoom. The Zoom login information is located at http://www.cacd.uscourts.gov/honorable-dolly-m-gee. IT IS SO ORDERED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kti) TEXT ONLY ENTRY
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Filing 12
Notice of Appearance or Withdrawal of Counsel: for attorney Amy J. Longo counsel for Petitioner Securities and Exchange Commission. Amy J. Longo is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Petitioner Securities and Exchange Commission. (Longo, Amy)
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Filing 11
Notice of Appearance or Withdrawal of Counsel: for attorney Kathryn C Wanner counsel for Petitioner Securities and Exchange Commission. Adding Kathryn C. Wanner as counsel of record for Securities and Exchange Commission for the reason indicated in the G-123 Notice. Filed by Movant Securities and Exchange Commission. (Attorney Kathryn C Wanner added to party Securities and Exchange Commission(pty:pet))(Wanner, Kathryn)
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Filing 10
PROOF OF SERVICE filed by Plaintiff Securities and Exchange Commission, re Order to Show Cause,,, #9 served on March 2, 2022. (Roessner, Michael)
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Filing 9
ORDER TO SHOW CAUSE by Judge Dolly M. Gee: Upon the Application of the Securities and Exchange Commission #1 , IT IS HEREBY ORDERED that Respondent BMA Securities shall appear and show cause on 3/25/2022 10:00 AM before Judge Dolly M. Gee, why the final Commission order requiring BMA Securities to disgorge $48,489.23, and prejudgment interest of $10,048.55 with additional interest pursuant to SEC Rule of Practice 600, if timely payment is not made, and to pay a civil penalty of $275,000, with interest accruing pursuant to 31 U.S.C. Section 3717, and injunctive relief should not be granted. Respondent shall serve and file any opposing papers by 5:00 PM on 3/11/2022. If Respondent serves and files any opposing papers, the Commission may serve and file reply papers by 5:00 PM on 3/18/2022. See document for further details. (gk)
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Filing 8
ORDER by Judge Dolly M. Gee Granting Application of Non-Resident Attorney Michael J. Roessner to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission, designating Amy J. Longo as local counsel #3 . (gk)
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Filing 7
Notice to Counsel Re Consent to Proceed Before a United States Magistrate Judge. (car)
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Filing 6
NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (car)
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Filing 5
NOTICE OF ASSIGNMENT to District Judge Dolly M. Gee and Magistrate Judge Paul L. Abrams. (car)
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Filing 4
INITIAL STANDING ORDER upon filing of the complaint by Judge Dolly M. Gee. (kti)
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Filing 3
APPLICATION of Non-Resident Attorney Michael J. Roessner to Appear Pro Hac Vice on behalf of Movant Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Movant Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Longo, Amy)
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Filing 2
CIVIL COVER SHEET filed by Movant Securities and Exchange Commission. (Longo, Amy)
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Filing 1
APPLICATION for an Order under Section 21(e) of the Exchange Act Enforcing Compliance with Commission Order No Fee Required - US Government, filed by Movant Securities and Exchange Commission. (Attachments: #1 Declaration of Michael J. Roessner, #2 Proposed Order) (Attorney Amy J. Longo added to party Securities and Exchange Commission(pty:mov))(Longo, Amy)
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| Petitioner: Securities and Exchange Commission | |
| Represented By: | Michael J. Roessner |
| Represented By: | Amy J. Longo |
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| Respondent: BMA Securities, LLC | |
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