Securities and Exchange Commission v. Elliott et al
| Securities and Exchange Commission |
| Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors L.L.C., Robert L. Weidenbaum and CLX Associates Inc. |
| 1:2009cv07594 |
| September 1, 2009 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| XX Out of State |
| Unassigned |
| None |
| 15 U.S.C. ยง 77 Securities Fraud |
| None |
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The following documents for this case are available for you to view or download:
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Filing
260
OPINION & ORDER. For the reasons set forth above, the Court concludes that the SEC's lien has priority over Patricia Jackson's liens with respect to the sale proceeds of the properties located at 30 Baycrest Avenue, Huntington Bay, Suffo lk County, New York 11743 and 724 Stonehouse Road, Winhall, Vermont 05340. The Liquidation Agent is hereby directed to distribute the proceeds from these two properties to the SEC in partial satisfaction of the July 26, 2012 Amended Judgment entered against Michael J. Xirinachs. Ms. Jackson is directed to dissolve all restraining notices, writs, or any other state efforts to encumber, garnish, or dissipate the sale proceeds from the Vermont Property or the Baycrest Property. (As further set forth in this order) (Signed by Judge Katherine B. Forrest on 4/15/2016) (lmb)
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Filing
148
OPINION AND ORDER: For the reasons set forth in this Opinion and Order, defendants are permanently enjoined from violating Section 5 of the Securities Act of 1933, 15 U.S.C. 77e; they are enjoined for a period of three years from engaging, participat ing or advising in any way in the sale of penny stocks; they shall pay a First Tier civil fine in the amount of $6,500 per transaction ( a total amount to be determined after a proffer from the SEC as to the precise number of violations) and def endants shall jointly and severally disgorge $3,052,752 in profits attributable to sales of Universal Express stock plus $730,621 in prejudgment interest and defendant Xirinachs shall disgorge $345,462 in amounts paid to him by North A tlantic in connection with sales of Universal Express stock he made on its behalf plus $82,680.01 in prejudgment interest. The SEC shall submit a proffer as to the number of transactions at issue, with citations to the record, not later than 6/25/2012. (Signed by Judge Katherine B. Forrest on 6/12/2012) (tro)
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Filing
103
MEMORANDUM OPINION AND ORDER #100666 re: 95 MOTION for Permanent Injunction and other relief against Weidenbaum and CLX & Associates Inc. based upon their Consents and 71 MOTION for Summary Judgment Against All Defendants, filed by Securities and Exchange Commission. For the reasons set forth within, the SECs motion 71 for summary judgment is GRANTED in part and DENIED in part as set forth in the following paragraphs. The SECs motion 95 for entry of an order an order permanently enjoining Weidenbaum and CLX from violating Section 5 and finding them liable for disgorgement, prejudgment interest, and civil penalties is GRANTED. (Signed by Judge Richard J. Holwell on 8/11/2011) (ab) Modified on 8/17/2011 (ajc).
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