Securities and Exchange Commission v. Gibraltar Global Securities, Inc. et al

Plaintiff: Securities and Exchange Commission
Defendant: Gibraltar Global Securities, Inc. and Warren A. Davis
Case Number: 1:2013cv02575
Filed: April 18, 2013
Court: New York Southern District Court
Office: Foley Square Office
County: XX Out of State
Presiding Judge: George B. Daniels
Nature of Suit: Securities/Commodities
Cause of Action: 15:78m(a) Securities Exchange Act
Jury Demanded By: None

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed#Document Text
January 12, 2016 84 Opinion or Order of the Court MEMORANDUM DECISION AND ORDER adopting 81 Report and Recommendation. Before this Court is Magistrate Judge Francis's October 16, 2015 Report and Recommendation ("Report," (ECF No. 81 )), recommending that Defendants be held jointly and severally liable for disgorgement in the amount of $14,449,176 and for prejudgment interest in the amount of $2,700,443. (Report at 2.) Magistrate Judge Francis also recommended that this Court enter a tier two civil penalty against each Defendant in the amount of $3,667,146. (See id.) This Court adopts all of the Report, save for the error in calculation of total prejudgment interest. Judgment therefore is entered against Defendants as follows: 1. Disgo rgement of $14,449,176, representing Defendants' illicit profits, joint and several; 2. Disgorgement of $2,700,483, representing prejudgment interest on Defendants' illicit profits, joint and several; and 3. A tier two civi l penalty against each Defendant in the amount of $3,667,146. This Order resolves the motion at ECF No. 68. The Clerk of the Court is directed to enter judgment accordingly and close this case. (As further set forth in this Memorandum Decision and Order.) (Signed by Judge George B. Daniels on 1/11/2016) (mro)
May 8, 2015 64 Opinion or Order of the Court MEMORANDUM AND ORDER denying 56 Motion to Withdraw as Attorney. In light of the disruption DOR's withdrawal would cause under the present circumstances, DOR's motion (Docket no. 56) is denied without prejudice to any future applicati on made upon a showing that: (1) Gibraltar and Mr. Davis have produced the required discovery, (2) Mr. Davis and Gibraltar's witnesses have appeared for deposition, and (3) the SEC has been provided with Mr. Davis' e-mail address, phone number, and physical address, as well as a physical address at which Gibraltar may be served. (Signed by Magistrate Judge James C. Francis on 5/8/2015) Copies Mailed By Chambers. (lmb)
April 1, 2015 52 Opinion or Order of the Court MEMORANDUM AND ORDER. For the reasons set forth in this Memorandum and Order, the defendants' motion for a protective order (Docket no. 43) is denied. The defendants shall produce the requested documents within two weeks of the date of this order. Denying 43 Motion for Protective Order. (Signed by Magistrate Judge James C. Francis on 4/1/2015) Copies Sent By Chambers. (rjm)

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Plaintiff: Securities and Exchange Commission
Represented By: Robert A. Giallombardo
Represented By: Gerald W. Hodgkins
Represented By: James Andrew Kidney
Represented By: Douglas C. McAllister
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Defendant: Gibraltar Global Securities, Inc.
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Defendant: Warren A. Davis
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