Securities and Exchange Commission v. Ellison et al
| Securities and Exchange Commission |
| Caroline Ellison, Zixiao "Gary" Wang and Zixiao Gary Wang |
| 1:2022cv10794 |
| December 21, 2022 |
| US District Court for the Southern District of New York |
| P Kevin Castel |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on December 23, 2022. A more recent docket listing may be available from PACER.
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Filing 16
JUDGMENT AS TO DEFENDANT ZIXIAO ("GARY") WANG: 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 ofinterstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: as set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. 523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Judgment or any other judgment, order, consent order, decree or settlement agreement entered inconnection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 523(a)(19). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retainjurisdiction of this matter for the purposes of enforcing the terms of this Judgment., Zixiao Gary Wang terminated. (Signed by Judge P. Kevin Castel on 12/23/2022) (ama)
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Filing 15
JUDGMENT AS TO DEFENDANT CAROLINE ELLISON: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section l0(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, in connection with the purchase or sale of any security: as set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided inFederal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this 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 permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly: as set forth herein. 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 Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert orparticipation with Defendant or with anyone described in (a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, pursuant to Section 21(d)(2) of the Exchange Act (15 U.S.C. 78u(d)(2)] and/or Section 20(e) of the Securities Act[15 U.S.C. 77t(e)], Defendant is prohibited from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act (15 U.S.C. 781] or that is required to file reports pursuant to Section 15(d) of the Exchange Act (15 U.S.C. 78o(d)]. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided inFederal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this 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). as set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. 523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under thisJudgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 523(a)(19). 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. (Signed by Judge P. Kevin Castel on 12/23/2022). *** Party Caroline Ellison terminated. (ama) Modified on 12/23/2022 (ama).
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| CASE ACCEPTED AS RELATED. Create association to 1:22-cv-10501-PKC. Notice of Assignment to follow. (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) |
| NOTICE OF CASE REASSIGNMENT to Judge P. Kevin Castel. Judge Unassigned is no longer assigned to the case. (vba) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #3 Proposed Judgment was reviewed and approved as to form. (km) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #4 Proposed Judgment was reviewed and approved as to form. (km) |
| Filing 14 NOTICE OF APPEARANCE by Stephanie Avakian on behalf of Caroline Ellison..(Avakian, Stephanie) |
| Filing 13 NOTICE OF APPEARANCE by Nicholas Werle on behalf of Caroline Ellison..(Werle, Nicholas) |
| Filing 12 NOTICE OF APPEARANCE by Anjan Sahni on behalf of Caroline Ellison..(Sahni, Anjan) |
| Filing 11 NOTICE OF APPEARANCE by Peter Gillies Neiman on behalf of Caroline Ellison..(Neiman, Peter) |
| Filing 10 NOTICE OF APPEARANCE by Alex B. Miller on behalf of Zixiao "Gary" Wang..(Miller, Alex) |
| Filing 9 NOTICE OF APPEARANCE by Ilan Tuviah Graff on behalf of Zixiao "Gary" Wang..(Graff, Ilan) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Jorge Gerardo Tenreiro. The party information for the following party/parties has been modified: Zixiao "Gary" Wang. The information for the party/parties has been modified for the following reason/reasons: party name was entered with quotation marks. (vf) |
| CASE REFERRED TO Judge P. Kevin Castel as possibly related to 1:22-cv-10501-PKC. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (vf) |
| Case Designated ECF. (vf) |
| Filing 8 NOTICE OF APPEARANCE by Ladan Fazlollahi Stewart on behalf of Securities and Exchange Commission..(Stewart, Ladan) |
| Filing 7 NOTICE OF APPEARANCE by David D'Addio on behalf of Securities and Exchange Commission..(D'Addio, David) |
| Filing 6 NOTICE OF APPEARANCE by Amy Harman Burkart on behalf of Securities and Exchange Commission..(Burkart, Amy) |
| Filing 5 STATEMENT OF RELATEDNESS re: that this action be filed as related to 22-cv-10501. Document filed by Securities and Exchange Commission..(Tenreiro, Jorge) |
| Filing 4 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Tenreiro, Jorge) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 3 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Tenreiro, Jorge) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 2 CIVIL COVER SHEET filed..(Tenreiro, Jorge) |
| Filing 1 COMPLAINT against Caroline Ellison, Zixiao "Gary" Wang. Document filed by Securities and Exchange Commission..(Tenreiro, Jorge) |
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