Justia Dockets & Filings Tenth Circuit Utah District Court Securities & Exchange Commission v. Novus Technologies et al

Securities & Exchange Commission v. Novus Technologies et al

Plaintiff:	Securities & Exchange Commission
Defendant:	Duane C. Johnson, Novus Technologies, Ralph W. Thompson, Jr., RCH2, Robert Casey Hall, Eric J. Wheeler, US Ventures, US Ventures International, Robert L. Holloway, Online Strategies Group and David Story
Receiver:	Lon A. Jenkins
Movant:	Calypso Financial and Siren Network
Intervenor:	JP Morgan Chase Bank National Association
Case Number:	2:2007cv00235
Filed:	April 11, 2007
Court:	US District Court for the District of Utah
Office:	Central Office
County:	Salt Lake
Presiding Judge:	Paul G. Cassell
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 0077 Securities Fraud
Jury Demanded By:	Defendant

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed	Document Text
June 23, 2011	Filing 720 ORDER AND MEMORANDUM DECISION granting 595 Motion as to Disgorgement, Prejudgment Interest, and Civil Penalty: Ralph W. Thompson is to pay a $7,500 penalty, disgorge $623,101.00, and pay prejudgment interest in the amount of $180,758.97. The SEC mya submit a proposed order re a Fair Fund to the court no later than 7/11/11. Signed by Judge Tena Campbell on 6/23/11 (alt)
December 8, 2010	Filing 698 FINAL JUDGMENT of Disgorgement, Prejudgment Interest and Civil Penalty against Robert Casey Hall in favor of Securities and Exchange Commission, against Robert Casey Hall: Mr. Hall is liable for disgorgement in the amount of $3,151,644.00 plus prejudgment interest of $772,859.29 (total of $3,924,503.29), and a civil penalty in the amount of $130,000.00. Signed by Judge Tena Campbell on 12/8/10 (alt)
October 20, 2010	Filing 677 ORDER AND MEMORANDUM DECISION granting in part and denying in part 595 Motion for Summary Judgment against Defendant Ralph W. Thompson, Jr. Signed by Judge Tena Campbell on 10/20/10 (alt)
September 2, 2010	Filing 662 ORDER AND MEMORANDUM DECISION granting 593 Motion in Limine re: Ernest W. Patterson. Signed by Judge Tena Campbell on 9/2/10 (alt)
May 11, 2009	Filing 494 MEMORANDUM DECISION AND ORDER granting 426 Motion for Bruce S. Frank to Disgorge Funds; denying 483 Motion to Strike Exhibits. Signed by Magistrate Judge Brooke C. Wells on 5/8/09 (alt)

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 Utah District Court's Electronic Court Filings (ECF) System

Search for this case: Securities & Exchange Commission v. Novus Technologies et al
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Web	[ Unicourt \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: Duane C. Johnson
Represented By:	Bruce S. Frank
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 ]
Defendant: Novus Technologies
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 ]
Defendant: Ralph W. Thompson, Jr.
Represented By:	David G. Turcotte
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 ]
Defendant: RCH2
Represented By:	Knute A. Rife
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 ]
Defendant: Robert Casey Hall
Represented By:	Paul T. Moxley
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 ]
Defendant: Eric J. Wheeler
Represented By:	Joshua K. Peterman
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 ]
Defendant: US Ventures
Represented By:	Jeffrey A. Toll
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 ]
Defendant: US Ventures International
Represented By:	James C. Haskins
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 ]
Defendant: Robert L. Holloway
Represented By:	Jeffrey A. Toll
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 ]
Defendant: Online Strategies Group
Represented By:	James C. Haskins
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 ]
Defendant: David Story
Represented By:	James C. Haskins
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 & Exchange Commission
Represented By:	Lindsay S McCarthy
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 ]
Receiver: Lon A. Jenkins
Represented By:	Steven T. Waterman
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 ]
Movant: Calypso Financial
Represented By:	James E. Magleby
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 ]
Movant: Siren Network
Represented By:	James E. Magleby
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 ]
Intervenor: JP Morgan Chase Bank National Association
Represented By:	Robert G. Wing
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.

Why Is My Information Online?