Securities and Exchange Commission v. Carrillo Huettel LLP et al
| Securities and Exchange Commission |
| Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibralter Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton, Luniel De Beer, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd. and Luis Carrillo |
| Luis Carrillo |
| 1:2013cv01735 |
| March 15, 2013 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| George B. Daniels |
| Securities/Commodities |
| 15 U.S.C. ยง 77 Securities Fraud |
| Plaintiff |
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Filing
323
ORDER for 279 Motion for Default Judgment, filed by Securities and Exchange Commission, 304 Report and Recommendations: Having adopted the Report, the SEC's motion for default judgment is granted. This Court accepts the Report's disgorgement and civil penalties recommendations to the extent that: a. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, and Luniel de Beer are jointly and severally liable for the disgorgement of $13,376,519.99, reduced by the $6,6 73,035.84 the SEC has procured from other defendants through settlement agreements, for a total of $6,703,484.15, plus prejudgment interest as calculated by the SEC using the IRS underpayment rate; b. The defendants are liable for the following civil monetary penalties: i. Carrillo Huettel -- $375,000 ii. Luis J. Carrillo -- $375,000 iii. Wade D. Huettel -- $375,000 iv. Luniel de Beer -- $375,000 The Clerk of Court is directed to close the motion at ECF No. 279. (Signed by Judge George B. Daniels on 3/28/2017) (jwh) Modified on 3/28/2017 (jwh).
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Filing
304
REPORT AND RECOMMENDATION. For the foregoing reasons, I recommend that the plaintiff's motion for default judgment (Docket no. 279) be granted in part. Specifically, I recommend that 1. Default judgments be entered against Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, and Luniel de Beer; 2. Permanent injunctions be entered barring Luis J. Carrillo, Wade D. Huettel, and Luniel de Beer from a. Committing or aiding and abetting future viola tions of the securities laws and rules alleged against them; b. Participating in any offering of a penny stock; and c. Serving as an officer or director of any public company; 3. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, and Luniel de Beer be held jointly and severally liable for the disgorgement of $13,376,519.99 plus prejudgment interest as calculated by the plaintiff using the IRS underpayment rate; 4. Gibraltar Global Securities and Warren Davis be held jointly and severa lly liable for the disgorgement of $9,674,276.20 plus prejudgment interest as calculated by the plaintiff using the IRS underpayment rate; 5. The defendants be held liable for the following civil monetary penalties: a. Carrillo Huettel -- $ 375,000. b. Luis J. Carrillo -- $375,000. c. Wade D. Huettel -- $375,000. d. Luniel de Beer -- $375,000. e. Gibraltar Global Securities -- $225,000. f. Warren Davis -- $150,000. re: 279 MOTION for Default Judgment as t o Luis Carrillo, Wade Huettel, Carrillo Huettel LLP, Luniel De Beer, Warren A. Davis, and Gibraltar Global Securities and for Final Judgment against John Kirk filed by Securities and Exchange Commission. Objections to R&R due by 1/31/2017. (Signed by Magistrate Judge James C. Francis on 1/17/2017) Copies transmitted this date via ECF, email and U.S. Mail. (rjm)
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Filing
221
MEMORANDUM AND ORDER granting in part and denying in part 192 Motion to Compel: For the reasons set forth above, the SEC's motion to compel (Docket no. 192) is granted in part and denied in part. CHLLP, Luis J. Carrillo, and Wade D. Huettel shall produce within one week of the date of this Order all documents previously withheld on the basis of privilege relating to Pacific Blue, Tradeshow, Sandstrom, and Skymark Media Group Ltd. (including Skymark Research). They shall also testify wi th respect to communications with these entities. They need not, however, produce privileged documents or testify as to privileged communications with respect to Punch Line Games, GMU Wireless, or Gibraltar, though the Gibraltar document shall be su bmitted for my in camera review within one week. Luniel de Beer has waived the attorney-client privilege by asserting an advice-of-counsel defense and may not withhold related documents or object to testifying concerning pertinent legal advice. Benja min T. Kirk will likewise waive the attorney-client privilege unless, within one week of the date of this Order, he advises the SEC that he is withdrawing any advice-of-counsel defense. (Signed by Magistrate Judge James C. Francis on 4/8/2015) Copies Transmitted By Chambers. (tn)
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