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06-4217 - Securities and Exchange Commission v. One Wall Street, Inc. et al


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06-4217 - Securities and Exchange Commission v. One Wall Street, Inc. et al
October 24, 2006
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ORDER: See attached order denying 16. Ordered by Judge Arlene R. Lindsay on 10/24/06. (c/ecf) (Goodstein, Alyce)
May 22, 2007
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Partial Judgment of Permanent Injunction and Other Relief by Consent against Alan Brown. 49 Motion for Permanent Injunction Granted. Ordered by JudgeNicholas G. Garaufis on 4/26/2007. (c/m-ecf) (Lee, Tiffeny)
June 25, 2007
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ORDER: See attached order denying 64 Motion to Seal Documents. Ordered by JudgeArlene R. Lindsay on 6/25/07. (c/ecf) (Goodstein, Alyce)
December 12, 2007
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REPORT AND RECOMMENDATIONS: See attached report recommending that defendant Alan Brown disgorge ill-gotten gains in the amount of $95,965 plus prejudgment interest and pay a civil penalty in the amount of $60,000. Recommended by Magistrate Judge Arlene R. Lindsay on 12/12/07. (c/ecf) (Goodstein, Alyce)
January 3, 2008
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ORDER adopting in part Report and Recommendations ("R & R") as to Defendant Alan Brown. This court has reviewed the R & R and is satisfied that there is no clear error on the face of the record, other than a miscalculation of the amount of prejudgment interest based on the disgorgement. Accordingly, the court hereby orders: (1) disgorgement in the amount of $95,965; (2) prejudgment interest in the amount of $12,107.18; (3) additional interest to be calculated at the IRS underpayment rate from January 2, 2008 through final judgment; and (4) the imposition of a civil penalty in the amount of $60,000. The Clerk of the Court is directed to enter judgment accordingly. So Ordered by Judge Nicholas G. Garaufis on 1/3/08. (Levin, Duncan)
January 15, 2008
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JUDGMENT in favor of Securities and Exchange Commission against Alan Brown. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Judge Lindsays report and recommendation is hereby adopted by the Court, and Defendant is liable for disgorgement in the amount of $95,965, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $12,107.18, and a civil penalty in the amount of $60,000 pursuant to Section 20(d) of the Securities Act of 1933, 15 U.S.C. § 771(d), and Section 21(d)(3) of the Securities Exchange Act of 1934, 15 U.S.C. § 78u(d)(3). Defendant shall satisfy this obligation by paying $168,072.18 within ten business days to the Clerk of this Court, together with a cover letter identifying Alan Brown as a defendant in this action; setting forth the title and civil action number of this action and the name of this Court; and specifying that payment is being made pursuant to this Final Judgment. Defendant shall simultaneously send a photocopy of such letter and payment to the Commissions counsel in this action. By making this payment, Defendant relinquishes all legal and equitable right, title, and interest in and to such funds, and no part of such finds shall be returned to Defendant. Defendant shall pay post-judgment interest on any delinquent amounts pursuant to 28 U.S.C. § 1961. Ordered by Judge Nicholas G. Garaufis on 1/3/2008. c/m-ecf (See Order for All Further Detail) (Lee, Tiffeny)
January 15, 2008
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CLERK'S JUDGMENT that the Report and Recommendation of Magistrate Judge Arlene R. Lindsay is adopted; that judgment is hereby entered awarding disgorgement in the amount of $95,965.00 against Alan Brown; prejudgment interest in the amount of $12,107.18; additional interest calculated at the IRS underpayment of 7% from January 2, 2008 in the amount of $184.04 per day through entry of final judgment; and that a civil penalty in the amount of $60,000.00 is imposed; and it is further, ORDERED and ADJUDGED that all provisions of the Partial Judgment of Permanent Injunction and Other Relief by Consent Against Alan Brown entered on May 22, 2007 shall remain in full force and effect; and it is further, ORDERED and ADJUDGED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment; and that there being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, judgment is entered forthwith and without further notice. Ordered by Robert C. Heinemann, Clerk of Court on 1/14/2008. (c/m-ecf) (Lee, Tiffeny)
September 4, 2008
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REPORT AND RECOMMENDATIONS re 57 MOTION for Default Judgment. See the attached R&R. Objections are due within 10 days of service upon the defendants. Recommended by Magistrate Judge Arlene R. Lindsay on 9/4/2008. (c/ecf-p) (Warshaw, Aaron)
November 26, 2008
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, Tiffeny)ORDER ADOPTING 89 Report and Recommendations of Magistrate Judge Arlene Lindsay regarding 57 Motion for Default Judgment, filed by Securities and Exchange Commission. Ordered by Judge Nicholas G. Garaufis on 11/26/2008. (fwd'd for jgm) (Lee