FINAL JUDGMENT AS TO SCOTT LONDON by Judge R. Gary Klausner. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendants agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Judgment by personal service or otherwise are 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]... Defendant is liable for disgorgement of $100,000, representing profits gained as a result of the conduct alleged in the Complaint. The payment of disgorgement in this case shall be deemed satisfied by the entry of the order in the parallel criminal action, United States v. Scott London, Case No. CR13-10379 (C.D. Cal.), requiring London to pay a civil fine of $100,000. (See order for further details). (shb) (Entered: 11/07/2014)
JUDGMENT by Judge R. Gary Klausner. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendants agents, servants, employees, attorneys are 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, in connection with the purchase or sale of any security: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $1.27 million, representing profits gained as a result of the conduct alleged in the Complaint. The payment of disgorgement in this case shall be deemed satisfied by the entry of an order of restitution in the parallel criminal action, United States v. Bryan Shaw, Case No. CR13-10314. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREEDthat Defendant shall pay a civil penalty in the amount of $635,893.00 to theSecurities and Exchange Commission pursuant to 21A of the Exchange Act [15U.S.C. § 78u-1]. Related to: Settlement Agreement, 11 (MD JS-6, Case Terminated). (shb) (Entered: 08/08/2013)
ORDER by Judge R. Gary Klausner: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: Settlement Agreement 8 , for the following reasons: Proposed Document was not submitted as separate attachment. See Local Rule 5-4.4.1; (shb) (Entered: 08/02/2013)
PROOF OF SERVICE filed by Plaintiff Securities and Exchange Commission, re Settlement Agreement 8 (Consent of Defendant Bryan Shaw) served on 8/1/2013. (Dean, Lynn) (Entered: 08/01/2013)
[DOCUMENT STRICKEN PURSUANT TO ORDER G-106] - SETTLEMENT AGREEMENT (Consent of Defendant Bryan Shaw) filed by Plaintiff Securities and Exchange Commission. (Dean, Lynn) Modified on 8/2/2013 (shb). (Entered: 08/01/2013)
JUDGMENT by Judge R. Gary Klausner, in favor of Securities and Exchange Commission against Scott London. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendants agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Judgment by personal service or otherwise are 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]. Defendant shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty pursuant to 21A of the Exchange Act, [15 U.S.C. § 78u-1]. (See order for further details). (shb) (Entered: 06/27/2013)
PROOF OF SERVICE filed by Plaintiff Securities and Exchange Commission, re Settlement Agreement 5 Consent of Defendant Scott London served on June 24, 2013. (Dean, Lynn) (Entered: 06/24/2013)
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Scott London waiver sent by Plaintiff on 4/22/2013, answer due 6/21/2013. Waiver of Service signed by Jonathan Schwartz of The Law Office of Jonathan Schwartz, attorney for Scott London. (Dean, Lynn) (Entered: 04/24/2013)
COMPLAINT against Defendants Scott London, Bryan Shaw. Case assigned to Judge R. Gary Klausner for all further proceedings. Discovery referred to Magistrate Judge Patrick J Walsh.(Filing fee $ 350 NO FEE REQUIRED), filed by plaintiff Securities and Exchange Commission.(car) (Entered: 04/11/2013)
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