Securities and Exchange Commission v. Premium Point Investments LP et al
| Securities and Exchange Commission |
| Premium Point Investments LP, Anilesh Ahuja, Amin Majidi and Jeremy Shor |
| 1:2018cv04145 |
| May 9, 2018 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| Alison J. Nathan |
| Securities/Commodities/Exchanges |
| 15 U.S.C. ยง 78 |
| Plaintiff |
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Filing
79
FINAL JUDGMENT AS TO DEFENDANT JEREMY SHOR The Securities and Exchange Commission (the Commission) having filed an Amended Complaint and Defendant Jeremy Shor (Defendant) having entered a general appearance; consented to the Courts jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that D efendant 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 Rules 10b-5(a) and (c) promulgated thereunder [17 C.F.R. & #167;§ 240.10b-5(a) and (c)], 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: (a) to employ any dev ice, scheme, or artifice to defraud; or (b) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorpora ted herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. IT IS HEREBY 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. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (And as further set forth herein.) Jeremy Shor terminated. (Signed by Judge John P. Cronan on 11/7/2023) (jca)
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Filing
59
FINAL JUDGMENT AS TO DEFENDANT AMIN MAJIDIThe Securities and Exchange Commission (the "Commission") having filed an Amended Complaint and Defendant Amin Majidi ("Defendant") having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: IT IS HEREBY FURTHE R ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (And as further set forth herein.) Amin Majidi terminated. (Signed by Judge John P. Cronan on 4/11/2023) (jca)
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Filing
46
FINAL JUDGMENT AS TO DEFENDANTS PREMIUM POINT INVESTMENTS LP AND ANILESH AHUJA a/k/a NEIL AHUJA: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant Premium Point is permanently restrained and enjoined from violating, directly or indi rectly, Advisers Act Section 206(4) [15 U.S.C. § 80b-6(4)] and Rule 206(4)-2 [17 C.F.R. § 275.206(4)-2] promulgated thereunder by failing to obtain an annual audit of the investment funds Premium Point advised by an independent public accou ntant registered with and subject to regular inspection by the Public Company Accounting Oversight Board, failing to obtain a surprise examination of the investment funds Premium Point advised by an independent public accountant, and failing to distr ibute audited financial statements to investors in the investment funds Premium Point advised within 120 days of the end of those funds' fiscal years. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Ahuja shall pay a civil penalty in th e amount of $450,000 pursuant to Securities Act Section 20(d) [15 U.S.C. § 77t(d)], Exchange Act Section 21(d) [15 U.S.C. § 78u(d)], and Advisers Act Section 209 [15 U.S.C. § 80b-9]. Ahuja shall pay this penalty in six installment s to the Commission according to the following schedule: (1) $10,000, within 30 days after entry of this Final Judgment; (2) $90,000, on or before December 31, 2022; (3) $87,500, on or before March 31, 2023; (4) $87,500, on or bef ore June 30, 2023; (5) $87,500, on or before September 30, 2023; and (6) $87,500, on or before December 31, 2023. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enfo rcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (And as further set forth herein.) Anilesh Ahuja and Premium Point Investments LP terminated. (Signed by Judge John P. Cronan on 9/20/2022) (Attachments: # 1 Exhibit 1, # 2 Exhibit 2) (jca)
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Filing
34
ORDER: The Court is in receipt of the parties' joint status update in this case. (Dkt. 33.) Pursuant to the Honorable Alison J. Nathan's Order dated June 19, 2018 (Dkt. 18), this action remains stayed in its entirety pending further order o f this Court. The parties are hereby ordered to file a joint letter every ninety days, apprising the court of the status of the proceedings in United States v. Anilesh Ahuja et al., 18-CR-328, until the stay of this matter is lifted, with the first status letter due on January 14, 2021. SO ORDERED. (Signed by Judge John P. Cronan on 10/19/2020) (ama)
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Filing
32
NOTICE OF REASSIGNMENT: This case has been reassigned to the undersigned. Unless and until the Court orders otherwise, all prior orders, dates, and deadlines shall remain in effect notwithstanding the case's reassignment. Any currently sched uled conference or oral argument before this Court is adjourned pending further order of this Court, but any conference or oral argument before the Magistrate Judge will proceed as ordered. All counsel must familiarize themselves with the Court� 39;s Individual Rules, which are available at https://www.nysd.uscourts.gov/hon-john-p-cronan. Additionally, within two weeks of the filing of this Order, the parties are hereby ORDERED to file on ECF a joint letter, described below, updating t he Court on the status of the case. If this case has been settled or otherwise terminated, counsel are not required to submit such letter or to appear, provided that a stipulation of discontinuance, voluntary dismissal, or other proof of terminat ion is filed on the docket prior to the joint letter submission deadline, using the appropriate ECF Filing Event. See SDNY ECF Rules & Instructions §§ 13.17-13.19, available at http://nysd.uscourts.gov/ecf_filing.php. In accordance with the Court's Individual Rules and Practices, requests for extensions or adjournment may be made only by letter-motion filed on ECF and must be received at least 48 hours before the deadline or scheduled appearance, absent compelling circumsta nces. The written submission must state (1) the original date(s) set for the appearance or deadline(s) and the new date(s) requested; (2) the reason(s) for the request; (3) the number of previous requests for adjournment or extension; (4) whether these previous requests were granted or denied; and (5) whether opposing counsel consents, and, if not, the reasons given by opposing counsel for refusing to consent. SO ORDERED. (Signed by Judge John Peter Cronan on 10/2/2020) (jca)
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