Securities and Exchange Commission v. Strong Investment Management et al
| Securities and Exchange Commission |
| Joseph B. Bronson, John B. Engebretson and Strong Investment Management |
| 8:2018cv00293 |
| February 20, 2018 |
| US District Court for the Central District of California |
| Douglas F. McCormick |
| Josephine L. Staton |
| Other |
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Filing
46
FINAL JUDGMENT AS TO DEFENDANT JOSEPH B. BRONSON 43 by Judge Josephine L. Staton that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of t his Final Judgment by personal service or otherwise are permanently restrained and enjoined. FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is jointly and severally liable with Defendant Strong InvestmentManagement for disgorgement of $96 0,656, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $100,501.39, and a civil penalty in the amount of $184,767 pursuant to Section 20(d) of the Securities Act, 15 USC 77t(d), Section 21(d)(3) of the Exchange Act, 15 USC 78u(d)(3), and Section 209(e) of the Advisers Act, 15 USC 80b-9(e). Defendant Joseph B. Bronson shall pay the total of disgorgement, prejudgment interest, and penalty due of $1,245,924.39 and accrued post judgment interest in one payment to the Commission on or before January 10, 2020. (MD JS-6, Case Terminated). (SEE DOCUMENT FOR FURTHER INFORMATION). (jp)
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Filing
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FINAL JUDGMENT AS TO DEFENDANT JOHN B. ENGEBRETSON by Judge Josephine L. Staton, Related to: Stipulation for Judgment 17 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from any violation of Sec tion 206(4) of the Investment Advisor Act of 1940 (the "Advisor Act") [15 U.S.C. § 80b-6(4)] and Rule 206(4)-7 promulgated thereunder [17 C.F.R. § 275.206(4)-7], by knowingly or recklessly providing substantial assistance to a registered investment advisers' failure to adopt and implement written policies and procedures reasonably designed to prevent violation of the Advisers Act and the rules thereunder. (see document for details). (dro)
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