Securities and Exchange Commission v. Connell

Justia Dockets & Filings Second Circuit New York Southern District Securities and Exchange Commission v. Connell

Securities and Exchange Commission v. Connell

Plaintiff:	Securities and Exchange Commission
Defendant:	Barry F Connell
Case Number:	1:2017cv00831
Filed:	February 3, 2017
Court:	US District Court for the Southern District of New York
Office:	Foley Square Office
County:	New York
Presiding Judge:	Lorna G. Schofield
Nature of Suit:	Securities/Commodities/Exchanges
Cause of Action:	15 U.S.C. § 80
Jury Demanded By:	Plaintiff

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Date Filed	Document Text
December 30, 2020	Filing 51 FINAL JUDGMENT AS TO DEFENDANT BARRY F. CONNELL: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 206(1) and Section 206(2) of the Investment Advisers Ac t of 1940 ("Advisers Act") [15 U.S.C. §§ 80b-6(1) and 80b-6(2)], by using any means or instrumentality of interstate commerce, or of the mails: (a) to employ any device, scheme, or artifice to defraud any client or prospective cli ent; or (b) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $5,148 ,651.43, as a result of conduct alleged in the Complaint. Said disgorgement is deemed satisfied by the order of restitution entered in United States v. Connell, Crim. No. 17-cr-00116 (S.D.N.Y.), and as further set forth in this judgement. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. (Signed by Judge Lorna G. Schofield on 12/30/2020) (jwh)
December 2, 2020	Filing 47 ORDER: It is hereby ORDERED that Plaintiff shall file the status letter by December 7, 2020. (Signed by Judge Lorna G. Schofield on 12/2/2020) (jca)

Date Filed

Document Text

December 30, 2020

Filing 51 FINAL JUDGMENT AS TO DEFENDANT BARRY F. CONNELL: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 206(1) and Section 206(2) of the Investment Advisers Ac t of 1940 ("Advisers Act") [15 U.S.C. §§ 80b-6(1) and 80b-6(2)], by using any means or instrumentality of interstate commerce, or of the mails: (a) to employ any device, scheme, or artifice to defraud any client or prospective cli ent; or (b) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $5,148 ,651.43, as a result of conduct alleged in the Complaint. Said disgorgement is deemed satisfied by the order of restitution entered in United States v. Connell, Crim. No. 17-cr-00116 (S.D.N.Y.), and as further set forth in this judgement. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. (Signed by Judge Lorna G. Schofield on 12/30/2020) (jwh)

December 2, 2020

Filing 47 ORDER: It is hereby ORDERED that Plaintiff shall file the status letter by December 7, 2020. (Signed by Judge Lorna G. Schofield on 12/2/2020) (jca)

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Plaintiff: Securities and Exchange Commission
Represented By:	Dugan William Edward Bliss
Represented By:	Andrew Matthew Calamari
Represented By:	Jonathan Mitchell Grant
Represented By:	Wendy Beth Tepperman
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Defendant: Barry F Connell
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