Securities and Exchange Commission v. Caufield
| Securities and Exchange Commission |
| Thomas J Caufield |
| 3:2018cv02468 |
| September 17, 2018 |
| US District Court for the Northern District of Texas |
| David C Godbey |
| Other Statutes: Securities/Commodities/Exchange |
| 15 U.S.C. ยง 77 |
| None |
Docket Report
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Filing 6
JUDGMENT: IT IS ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $160,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)], Section 21(d) of the Exchange Act [15 U.S.C. 78u(d)], and Section 203(i) of the Advisers Act [15 U.S.C. 80b-3(i)]. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $615,815.14, representing profits gained as a result of the conduct alleged in the Complaint along with prejudgment interest in the amount of $126,032.11, for a total of $741,847.25. Based on the payment of $1,329,976.97 million made for the benefit of investors inconnection with the sale of Defendant's franchise business, Defendant's disgorgement and prejudgment interest obligations are deemed satisfied (Ordered by Judge David C Godbey on 9/21/2018) (epm)
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| Filing 5 Summons Issued as to Thomas J Caufield. (sss) |
| Filing 4 New Case Notes: A filing fee is not due for this case. Pursuant to Misc. Order 6, Plaintiff is provided the Notice of Right to Consent to Proceed Before A U.S. Magistrate Judge (Judge Toliver). Clerk to provide copy to plaintiff if not received electronically. (sss) |
| Filing 3 Plaintiff's Unopposed Motion to Enter Final Judgment Against Defendant Thomas Caufield filed by Securities and Exchange Commission (Attachments: #1 Exhibit(s) A-Consent, #2 Exhibit(s) B-Judgment) (Davis, Chris) Modified on 9/17/2018 (dss). |
| Filing 2 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Securities and Exchange Commission. (Davis, Chris) |
| Filing 1 COMPLAINT against Thomas J. Caufield filed by Securities and Exchange Commission. (Filer fee note- Filed by the USA) Clerk to issue summons(es). In each Notice of Electronic Filing, the judge assignment is indicated, and a link to the # Judges Copy Requirements is provided. The court reminds the filer that any required copy of this and future documents must be delivered to the judge, in the manner prescribed, within three business days of filing. Unless exempted, attorneys who are not admitted to practice in the Northern District of Texas must seek admission promptly. Forms, instructions, and exemption information may be found at www.txnd.uscourts.gov, or by clicking here: # Attorney Information - Bar Membership. If admission requirements are not satisfied within 21 days, the clerk will notify the presiding judge. (Attachments: #1 Cover Sheet) (Davis, Chris) |
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| Defendant: Thomas J Caufield | |
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| Plaintiff: Securities and Exchange Commission | |
| Represented By: | Chris Davis |
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