Securities and Exchange Commission v. Lucas
Plaintiff: Securities and Exchange Commission
Defendant: Jonathan C Lucas
Case Number: 1:2019cv08771
Filed: September 20, 2019
Court: US District Court for the Southern District of New York
Presiding Judge: Andrew L Carter
Nature of Suit: Securities/Commodities
Cause of Action: 15:77
Jury Demanded By: None
Docket Report

This docket was last retrieved on October 2, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
October 2, 2019 Opinion or Order 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.
September 23, 2019 ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #4 Proposed Judgment, was reviewed and approved as to form. (dt)
September 23, 2019 Case Designated ECF. (pc)
September 23, 2019 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)
September 23, 2019 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)
September 23, 2019 ***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)
September 20, 2019 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.
September 20, 2019 Filing 3 NOTICE OF APPEARANCE by Richard S. Hong on behalf of Securities and Exchange Commission. (Hong, Richard)
September 20, 2019 Filing 2 CIVIL COVER SHEET filed. (Berger, Marc)
September 20, 2019 Filing 1 COMPLAINT against Jonathan C Lucas. Document filed by Securities and Exchange Commission.(Berger, Marc)

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Defendant: Jonathan C Lucas
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Plaintiff: Securities and Exchange Commission
Represented By: Marc Peter Berger
Represented By: Richard S. Hong
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