United States Securities and Exchange Commission v. Seaworld Entertainment Inc. et al
Plaintiff: Securities and Exchange Commission and United States Securities and Exchange Commission
Defendant: Seaworld Entertainment Inc. and James Atchison
Case Number: 1:2018cv08480
Filed: September 18, 2018
Court: US District Court for the Southern District of New York
Presiding Judge: Colleen McMahon
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. § 77
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on December 15, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
October 4, 2018 Opinion or Order Filing 11 FINAL JUDGMENT AS TO DEFENDANT SEA WORLD ENTERTAINMENT, INC.: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $4,000,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. Defendant shall satisfy this obligation by paying $4,000,000 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment, as further set forth in this Order. Seaworld Entertainment Inc. terminated. (Signed by Judge Colleen McMahon on 10/4/2018) (mml)
October 4, 2018 Opinion or Order Filing 10 FINAL JUDGMENT AS TO DEFENDANT JAMES ATCHISON: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $730,860 representing losses avoided as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $119,323, and a civil penalty in the amount of $150,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. Defendant shall satisfy this obligation by paying $1,000,183 to the Securities and Exchange Commission within 14 days after entry of this Final Judgment, as further set forth in this Order. James Atchison terminated. (Signed by Judge Colleen McMahon on 10/4/2018) (mml)
September 24, 2018 Opinion or Order Filing 9 PLAINTIFF'S UNOPPOSED MOTION FOR ENTRY OF JUDGMENT AGAINST DEFENDANTS SEAWORLD ENTERTAINMENT, INC. ANDJAMES ATCHISON: In light of the Consents, the Commission respectfully requests this Court enter the proposed Judgments against Defendants Sea World Entertainment, Inc. and James Atchison. The Commission has accepted Defendant James Atchison's offer of settlement, in which he consents to the entry of a final judgment that: a) permanently restrains and enjoins him from violations of Sections 17(a)(2) and (3) of the Securities Act [15 U.S.C. 77q(a)(2) and (3)], as further set forth in this Order. Granted. Motions terminated: #4 MOTION for Judgment - Unopposed. filed by United States Securities and Exchange Commission. (Signed by Judge Colleen McMahon on 9/24/2018) (cf)
September 20, 2018 Filing 8 ECF CASE granting #3 Motion for Stephen C. McKenna to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 9/20/2018) (jca)
September 19, 2018 Filing 7 CIVIL COVER SHEET filed. (McKenna, Stephen)
September 19, 2018 Filing 6 COMPLAINT against James Atchison, Seaworld Entertainment Inc.. Document filed by United States Securities and Exchange Commission.(McKenna, Stephen)
September 19, 2018 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Stephen C McKenna to RE-FILE Document No. #1 Complaint. The filing is deficient for the following reason: the name of the filer contains a typographical error on the docket entry. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (pne)
September 19, 2018 ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Stephen C McKenna to RE-FILE Document No. #2 Civil Cover Sheet. The filing is deficient for the following reasons: The name of the plaintiff contains a typographical error on the civil cover sheet. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (pne)
September 19, 2018 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Stephen C McKenna. The party information for the following party has been modified: United States Securities and Exchange Commission. The information for the party has been modified for the following reason: party name contained a typographical error. (pne)
September 19, 2018 Case Designated ECF. (pne)
September 19, 2018 Magistrate Judge Barbara C. Moses is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (pne)
September 19, 2018 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Colleen McMahon. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (pne)
September 18, 2018 Filing 5 NOTICE OF APPEARANCE by Jonathan K. Youngwood on behalf of Seaworld Entertainment Inc.. (Youngwood, Jonathan)
September 18, 2018 Filing 4 MOTION for Judgment - Unopposed. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Atchinson Consent, #2 Exhibit SeaWorld Consent, #3 Text of Proposed Order Atchinson Final Judgment, #4 Text of Proposed Order SeaWorld Final Judgment)(McKenna, Stephen)
September 18, 2018 Filing 3 MOTION for Stephen C. McKenna to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit - Declaration of Stephen C. McKenna, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(McKenna, Stephen)
September 18, 2018 Filing 2 FILING ERROR - PDF ERROR - CIVIL COVER SHEET filed. (McKenna, Stephen) Modified on 9/19/2018 (pne).
September 18, 2018 Filing 1 FILING ERROR - DEFICIENT PLEADING - FILER ERROR - COMPLAINT against James Atchison, Seaworld Entertainment Inc.. Document filed by Securities and Exchange Commission.(McKenna, Stephen) Modified on 9/19/2018 (pne).
September 18, 2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Stephen C. McKenna to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)

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Defendant: Seaworld Entertainment Inc.
Represented By: Jonathan K. Youngwood
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Defendant: James Atchison
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Plaintiff: Securities and Exchange Commission
Represented By: Stephen C McKenna
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Plaintiff: United States Securities and Exchange Commission
Represented By: Stephen C McKenna
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