Securities and Exchange Commission v. Art Intellect et al
Plaintiff: Securities and Exchange Commission
Defendant: Art Intellect, Patrick Merrill Brody, Laura A. Roser and Gregory D. Wood
Receiver: R. Wayne Klein
Cross_claimant: Patrick Merrill Brody, Laura A. Roser and Art Intellect
Cross_defendant: Gregory D. Wood
Case Number: 2:2011cv00357
Filed: April 18, 2011
Court: US District Court for the District of Utah
Office: Central Office
County: Salt Lake
Presiding Judge: Tena Campbell
Presiding Judge: David Nuffer
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15:0077
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
March 6, 2013 Opinion or Order Filing 279 ORDER AND MEMORANDUM DECISION granting 253 Motion to Strike; granting 255 Motion to Strike; granting 257 Motion to Strike; granting 259 Motion to Strike; granting 261 Motion to Strike; granting 263 Motion to Strike; denying 234 Cross Motion for Summary Judgment; granting 195 Motion for Summary Judgment. Mr. Brody and Ms. Roser are permanently enjoined from violating Section 17(a) of the Securities Act of 1933, 15 USC 77q(a); Section 10(b) of the Securities Exchange Act of 1934, 15 USC 78j(b), and Rule 10b-5 thereunder, 17 CFR 240-10b-5; Sections 5(a) and 5(c) of the Securities Act, 15 USC 77e(a), (c); and Sections 15(a) and 15(b) of the Securities Exchange Act of 1934, 15 USC 78o(a)-(b). Mr. Brody and Ms. Roser are also jointly and severally liable for $1,509,313.00 in disgorgement fees and prejudgment interest. The court finds that a civil penalty in an amount to be determined after further briefing will be imposed on both Mr. Brody and Ms. Roser. Signed by Judge Tena Campbell on 3/6/13 (alt)
March 7, 2012 Opinion or Order Filing 178 MEMORANDUM DECISION AND ORDER granting in part and denying in part 125 Motion to Quash Subpoena; granting 131 Motion to Compel Deposition. Signed by Magistrate Judge David Nuffer on 3/6/12 (alt)
February 13, 2012 Opinion or Order Filing 174 ORDER AND MEMORANDUM DECISION denying 156 Motion for Leave to Appeal. Signed by Judge Tena Campbell on 2/13/12 (alt)
November 15, 2011 Opinion or Order Filing 142 ORDER OF CIVIL CONTEMPT AND MEMORANDUM DECISION: The court finds Patrick M. Brody and Laura A. Roser in Contempt of Court. Contempt Hearing as to Laura A. Roser set for 12/14/2011 03:30 PM in Room 230 before Judge Tena Campbell. Upon release from federal prison, Patrick M. Brody is to self surrender to this court within 30 days (or be subject to arrest through a bench warrant) if he is unable to prove by then, to the satisfaction of the court, that he is purged of contempt. The court may immediately schedule a contempt hearing upon information of Mr. Brody's release. Signed by Judge Tena Campbell on 11/15/11 (alt)
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Plaintiff: Securities and Exchange Commission
Represented By: Daniel J. Wadley
Represented By: Cheryl M. Mori
Represented By: Thomas M Melton
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Defendant: Art Intellect
Represented By: Steven R. Paul
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Defendant: Patrick Merrill Brody
Represented By: Steven R. Paul
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Defendant: Laura A. Roser
Represented By: Steven R. Paul
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Defendant: Gregory D. Wood
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Receiver: R. Wayne Klein
Represented By: Neil A. Kaplan
Represented By: Jennifer A. James
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Cross_claimant: Patrick Merrill Brody
Represented By: Steven R. Paul
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Cross_claimant: Laura A. Roser
Represented By: Steven R. Paul
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Cross_claimant: Art Intellect
Represented By: Steven R. Paul
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Cross_defendant: Gregory D. Wood
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