Securities and Exchange Commission v. Carter
| Securities and Exchange Commission |
| Grant M. Carter |
| 1:2021mi00059 |
| June 16, 2021 |
| US District Court for the Northern District of Georgia |
| Walter E Johnson |
| Thomas W Thrash |
| Securities/Commodities |
| 15 U.S.C. ยง 80 Investment Companies and Advisers |
| None |
Docket Report
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This docket was last retrieved on March 15, 2022. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 9 Abstract of Judgment Issued in the amount of $150,000 (2 Originals to U.S. Attorney in SASE) (rlh) |
Filing 8
FINAL CONSENT JUDGMENT, the Commission Order is enforced; Grant M. Carter shall pay the balance of civil money penalty in the amount of $150,000, plus outstanding interest until the entry of Judgment, together with post judgment interest from the date of the entry of this Judgment; Carter shall cease and desist from committing or causing any violations and any future violations; Carter shall make payment of the civil penalty to the Receiver appointed in Randal Lewis v. Tyler Tysdal, et al., Case No. 2018CV30684 for distribution to the harmed Cobalt and Cobalt II senior debt investors pursuant to a distribution plan approved in that case. the Court, subject to the foregoing, may order such relief as may be necessary for enforcement of any order of this Court as to the civil monetary penalty ; the Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. Post Judgment interest shall accrue pursuant to 28 U. S.C. 1961. Signed by Judge Thomas W. Thrash, Jr. on 8/10/2021. c:Financial Office(adg)
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| Miscellaneous Case Terminated. (adg) |
| Filing 7 NOTICE by Securities and Exchange Commission re #2 Order to Show Cause CONSENT OF GRANT M. CARTER TO ENTRY OF JUDGMENT ENFORCING ORDER OF THE SECURITIES AND EXCHANGE COMMISSION (Attachments: #1 Text of Proposed Order)(Roessner, Michael) |
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Filing 6
CERTIFICATE OF CONSENT to withdrawal Casey Geiger as counsel for defendant by Grant M. Carter |
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Filing 5
ORDER granting #4 Motion for Extension of Time and to Continue Hearing. The Respondent shall have up to and including August 2, 2021 to file opposing papers, the Securities and Exchange Commission shall have up to and including August 5, 2021 to file any reply papers, and the Court grants an extension of time up to and including August 9, 2021 for the hearing. Signed by Judge Thomas W. Thrash, Jr. on 7/7/2021. (jeh)
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| Show Cause Hearing reset for 8/10/2021 at 10:00 AM in ATLA Courtroom 2108 before Judge Thomas W. Thrash Jr. (jeh) |
| Submission of #4 Unopposed MOTION for Extension of Time to File Response and MOTION to Continue Hearing, to District Judge Thomas W. Thrash Jr.. (adg) |
| Filing 4 Unopposed MOTION for Extension of Time to File Response and MOTION to Continue Hearing by Grant M. Carter. (Geiger, Andrew) . Added MOTION to Continue on 7/1/2021 (adg). |
| Filing 3 Return of Service Executed by Securities and Exchange Commission. (Roessner, Michael) |
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Filing 2
ORDER TO SHOW CAUSE Show Cause Hearing set for 7/8/2021 at 11:00 AM in ATLA Courtroom 2108 before Judge Thomas W. Thrash Jr. Signed by Judge Thomas W. Thrash, Jr. on 6/18/2021. (ah)
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| Filing 1 APPLICATION for an order pursuant to Section 20(c) of the Securities Act, Section 21(e) of the Securities Exchange Act, Section 209(d) of the Investment Advisers Act and Section 42(d) of the Investment Company Act to enforce compliance with Commission Order by Securities and Exchange Commission. (Attachments: #1 Declaration of Michael J. Roessner, #2 Text of Proposed Order, #3 Civil Cover Sheet)(adg) (Additional attachment(s) added on 6/16/2021: #4 Exhibit 1) (adg). |
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| Respondent: Grant M. Carter | |
| Represented By: | Mark Gerald Trigg |
| Represented By: | Taylor M. Koshak |
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| Petitioner: Securities and Exchange Commission | |
| Represented By: | Michael J Roessner |
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