SECURITIES AND EXCHANGE COMMISSION v. JONES
| SECURITIES AND EXCHANGE COMMISSION |
| JAMES ROLAND JONES |
| 1:2021cv00659 |
| March 18, 2021 |
| US District Court for the Southern District of Indiana |
| Mark J Dinsmore |
| James R Sweeney |
| Securities/Commodities |
| 12 U.S.C. ยง 22 |
| Plaintiff |
Docket Report
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This docket was last retrieved on March 19, 2021. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 6 JUDGMENT AS TO JAMES ROLAND JONES - That Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], 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. That Defendant shall pay disgorgement of ill-gotten gains and prejudgment interest thereon; that the amounts of the disgorgement and civil penalty shall be determined by the Court upon motion of the Commission; and that prejudgment interest shall be calculated from July 31, 2017, based on the rate of interest used by the Internal Revenue Service for the underpayment of federal income taxas set forth in 26 U.S.C. 6621(a)(2). Upon motion of the Commission, the Court shalldetermine whether a civil penalty pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)] is appropriate and, if so, the amount of the penalty. Signed by Judge James R. Sweeney II on 3/19/2021. (See Order for Additional Information) Copy Mailed to Defendant via U.S. Mail. (CKM) |
Filing 5
ORDER - granting #3 Motion to Enter Judgment as to Defendant James Roland Jones; Pending before the Court is Plaintiff Securities and Exchange Commission's Unopposed Motion to Enter Judgment as to Defendant James Roland Jones ("Defendant"). After review of the motion and the entirety of the record, the Court has determined the motion should be, and hereby is, GRANTED. By separate document, the Court will enter judgment as to Defendant in the form submitted with the motion. Signed by Judge James R. Sweeney II on 3/19/2021. Copy Mailed to Counsel for the Defendant (CKM)
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| Filing 4 MAGISTRATE JUDGE's NOTICE of Availability to Exercise Jurisdiction issued. (AKH) |
| Filing 3 Unopposed MOTION to Enter Judgment as to Defendant James Roland Jones, filed by Plaintiff SECURITIES AND EXCHANGE COMMISSION. (Attachments: #1 Exhibit A Consent of James Roland Jones, #2 Text of Proposed Order as to the Motion, #3 Text of Proposed Order as to the Judgment)(Bernstein, Keefe) |
| Filing 2 NOTICE of Appearance by Keefe M. Bernstein on behalf of Plaintiff SECURITIES AND EXCHANGE COMMISSION. (Bernstein, Keefe) |
| Filing 1 COMPLAINT against JAMES ROLAND JONES, filed by SECURITIES AND EXCHANGE COMMISSION. (No fee paid with this filing) (Attachments: #1 Civil Cover Sheet)(Bernstein, Keefe) |
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| Defendant: JAMES ROLAND JONES | |
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| Plaintiff: SECURITIES AND EXCHANGE COMMISSION | |
| Represented By: | Keefe M. Bernstein |
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