Securities and Exchange Commission v. Lucas
Securities and Exchange Commission |
Jonathan C Lucas |
1:2019cv08771 |
September 20, 2019 |
US District Court for the Southern District of New York |
Andrew L Carter |
Securities/Commodities |
15 U.S.C. ยง 77 |
None |
Docket Report
This docket was last retrieved on October 2, 2019. A more recent docket listing may be available from PACER.
Document Text |
---|
Filing 5 FINAL JUDGMENT AS TO DEFENDANT JONATHAN C. LUCAS: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant 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 Rule 10b-5 promulgated thereunder [17 C.F.R. 240.1 Ob-5], 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. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $15,000 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 2l(d) of the Exchange Act[15 U.S.C. 78u(d)]. Defendant shall make this payment pursuant to the terms of the payment schedule set forth in paragraph VII below after entry of this Final Judgment. Defendant may transmit payment electronically to the Commission, which will provide detailed ACH transfer/Fedwire instructions upon request. Payment may also be made directly from a bank account via Pay.gov through the SEC website at http://www.sec.gov/about/offices/ofm.htm. 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. (And as further set forth in this Order.) (Signed by Judge Andrew L. Carter, Jr on 10/2/2019) (jca) Transmission to Finance Unit (Cashiers) for processing. |
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. (pc) |
Case Designated ECF. (pc) |
***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #4 Proposed Judgment, was reviewed and approved as to form. (dt) |
CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Andrew L. Carter, Jr. 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. (pc) |
***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Marc Peter Berger. The following case opening statistical information was erroneously selected/entered: Jurisdiction code 3 (Federal Question);. The following correction(s) have been made to your case entry: the Jurisdiction code has been modified to 1 (U.S. Government Plaintiff);. (pc) |
Filing 4 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Signed Consent of Defendant Jonathan C. Lucas) (Hong, Richard) Proposed Judgment to be reviewed by Clerk's Office staff. |
Filing 3 NOTICE OF APPEARANCE by Richard S. Hong on behalf of Securities and Exchange Commission. (Hong, Richard) |
Filing 2 CIVIL COVER SHEET filed. (Berger, Marc) |
Filing 1 COMPLAINT against Jonathan C Lucas. Document filed by Securities and Exchange Commission.(Berger, Marc) |
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
Search for this case: Securities and Exchange Commission v. Lucas | |
---|---|
Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
Search Web | [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ] |
Defendant: Jonathan C Lucas | |
Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Plaintiff: Securities and Exchange Commission | |
Represented By: | Marc Peter Berger |
Represented By: | Richard S. Hong |
Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.