Securities and Exchange Commission v. Peter H. Pocklington et al
| Securities and Exchange Commission |
| AMC Holdings, LLC, Cobra Chemical, LLC, DTR Holdings, LLC, Lantson Eldred, Gold Star Resources, LLC, Nova Oculus Partners, LLC, Eva S Pocklington, Peter H Pocklington, Vanessa Puleo, Robert A Vanetten, Yolanda C Velazquez and Terrence J Walton |
| 5:2018cv00701 |
| April 5, 2018 |
| US District Court for the Central District of California |
| Jesus G. Bernal |
| Sheri Pym |
| Other |
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Filing
203
FINAL JUDGMENT ON CONSENT AS TO DEFENDANT PETER H. POCKLINGTON 191 by Judge Fernando L. Aenlle-Rocha : Defendant Peter H. Pocklington permanently restrained and enjoined from violating the Securities Exchange Act as cited herein. Defendant is li able for disgorgement of $339,449.00, for which Defendant is joint and severally liable with relief defendants Eva Pocklington, Cobra Chemical, LLC, DTR Holdings, LLC, and Gold Star Resources, LLC up to the amount of disgorgement liability of ea ch relief defendant, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $51,033.07, and a civil penalty in the amount of $1,086,426.00. Defendant shall satisfy this obligation by paying $1,476,908.07 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph VI below after entry of this Final Judgment.Peter H. Pocklington shall pay the t otal of disgorgement, prejudgment interest, and penalty due of $1,476,908.07 in two installments to the Commission according to the following schedule: (1) $254,586.75 within 10 days of entry of this Final Judgment; and (2) $1,222,321.32 within one-year of entry of this Final Judgment. (SEE DOCUMENT FOR COMPLIANCE REQUIREMENTS AND DEADLINES). (lc)
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Filing
155
JUDGMENT by Judge Fernando L. Aenlle-Rocha : The Securities and Exchange Commission having filed a Complaint and Defendant Robert A. Vanetten having entered a general appearance; consented to the Court's jurisdiction over Defendant and the su bject matter of this action; consented to entry of this Judgment [15 Defendant is permanently restrained and enjoined from violating the Securities Act. Defendant shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty. The Court shall determine the amounts of the disgorgement and civil penalty upon motion of the Commission. Prejudgment interest shall be calculated from May 1, 2018, based on the rate of interest used by the Internal Revenue Service for the underpayment of federal income tax as set forth in 26 U.S.C. 6621(a)(2). (SEE DOCUMENT FOR SPECIFIC SEC ACT CITES AND COMPLIANCE REQUIREMENTS THERETO). (lc) Modified on 11/4/2021 (lc).
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Filing
109
FINAL JUDGMENT AS TO DEFENDANT LANTSON E. ELDRED by Judge Mark C. Scarsi: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchan ge Act of 1934 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: (a) to employ any device, scheme, or artifi ce to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in a ny act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of pursuant to Section 20(d) of t he Securities Act 15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3). Defendant shall satisfy this obligation by paying $90,535 to the Securities and Exchange Commission within 30 days after entry of th is Final Judgment. The Commission may propose a plan to distribute the Fund subject to the Courts approval. Such a plan may provide that the Fund shall be distributed pursuant to the Fair Fund provisions of Section 308(a) of the Sarbanes-Oxley Act of 2002. The Court shall retain jurisdiction over the administration of any distribution of the Fund. 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 order for further details.Related to: Stipulation for Judgment 108 (shb)
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Filing
74
FINAL JUDGMENT AS TO DEFENDANT VANESSA PULEO FINAL by Judge Jesus Bernal. The Securities and Exchange Commission having filed a Complaint and Defendant Vanessa Puleo ("Defendant") having entered a general appearance; c onsented to the Court 's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction and except as oth erwise provided herein in paragraph VI.); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: (See attached for further details), Related to: Stipulation for Judgment 70 (yl)
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Filing
73
FINAL JUDGMENT AS TO DEFENDANT YOLANDA C. VELAZQUEZ 71 by Judge Jesus G. Bernal. The Securities and Exchange Commission having filed a Complaint and Defendant Yolanda C. Velazquez ("Defendant") having entered a general appearance; c onsented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph VI.); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: (See attached for further details) (es)
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