Securities & Exchange Commission v. Wong
| Securities & Exchange Commission |
| Brian Wong |
| 1:2022cv09618 |
| November 10, 2022 |
| US District Court for the Southern District of New York |
| Victor Marrero |
| Securities/Commodities |
| 15 U.S.C. ยง 77 Securities Fraud |
| Plaintiff |
Docket Report
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Filing 10
JUDGMENT AS TO DEFENDANT BRIAN WONG The Securities and Exchange Commission having filed a Complaint and Defendant Brian Wong 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 Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Judgment: 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. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated 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 FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this 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 Judgment forthwith and without further notice. (And as further set forth herein.) (Signed by Judge Victor Marrero on 11/17/2022) (jca)
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| Filing 9 LETTER addressed to Judge Victor Marrero from Tracy Sivitz dated 11/15/2022 re: Proposed Order. Document filed by Securities & Exchange Commission..(Sivitz, Tracy) |
| ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Tracy Sivitz to RE-FILE Document #8 Proposed Order. Use the event type Letter found under the event list Other Documents. (nd) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #4 Proposed Judgment was reviewed and approved as to form. (tp) |
| Filing 8 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - PROPOSED ORDER. Document filed by Securities & Exchange Commission. Related Document Number: [#4]..(Sivitz, Tracy) Proposed Order to be reviewed by Clerk's Office staff. Modified on 11/16/2022 (nd). |
| CASE ACCEPTED AS RELATED. Create association to 1:22-cv-06276-VM. Notice of Assignment to follow. (vba) |
| NOTICE OF CASE REASSIGNMENT to Judge Victor Marrero. Judge Unassigned is no longer assigned to the case. (vba) |
| Magistrate Judge Robert W. Lehrburger 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: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (vba) |
| Filing 7 NOTICE OF APPEARANCE by John Van Son on behalf of Brian Wong..(Van Son, John) |
| Filing 6 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED JUDGMENT. Document filed by Securities & Exchange Commission..(Sivitz, Tracy) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 11/14/2022 (tp). |
| CASE REFERRED TO Judge Victor Marrero as possibly related to 1:22-cv-06276. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (vf) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Tracy Ellen Sivitz. The following case opening statistical information was erroneously selected/entered: Cause of Action code 15:77 Securities Fraud; County code Albany. The following correction(s) have been made to your case entry: the Cause of Action code has been modified to 15:78m(a) Securities Exchange Act; the County code has been modified to XX Out of State. (vf) |
| Case Designated ECF. (vf) |
| Filing 5 NOTICE OF APPEARANCE by David Oliwenstein on behalf of Brian Wong..(Oliwenstein, David) |
| Filing 4 PROPOSED JUDGMENT. Document filed by Securities & Exchange Commission..(Sivitz, Tracy) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 11/14/2022 (tp). Modified on 11/14/2022 (tp). |
| Filing 3 STATEMENT OF RELATEDNESS re: that this action be filed as related to 22-cv-06276 (VM). Document filed by Securities & Exchange Commission..(Sivitz, Tracy) |
| Filing 2 CIVIL COVER SHEET filed..(Sivitz, Tracy) |
| Filing 1 COMPLAINT against Brian Wong. Document filed by Securities & Exchange Commission..(Sivitz, Tracy) |
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| Plaintiff: Securities & Exchange Commission | |
| Represented By: | Tracy Ellen Sivitz |
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| Defendant: Brian Wong | |
| Represented By: | David Oliwenstein |
| Represented By: | John Van Son |
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