Securities and Exchange Commission v. Mack et al, No. 2:2010cv08383 - Document 124 (C.D. Cal. 2016)
Court Description: FINAL JUDGMENT AGAINST DEFENDANT STEVEN ENRICO LOPEZ, SR. by Judge Dale S. Fischer: IT IS ORDERED, ADJUDGED, AND DECREED that Defendant is liable fordisgorgement of $577,000, representing profits gained as a result of the conductalleged in the C omplaint, together with prejudgment interest thereon in the amount of $40,219.55, and a civil penalty in the amount of $150,000 pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)(A)], Section 20 of the Securities Act [15 U.S.C. §77t(d)(2)], and Section 209(e) of the Advisers Act [15 U.S.C. § 80b-9(e)]. (See order for further details). (shb)
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Securities and Exchange Commission v. Mack et al Doc. 124 1 2 3 4 5 JS 6 6 7 8 UNITED STATES DISTRICT COURT 9 CENTRAL DISTRICT OF CALIFORNIA 10 11 12 13 SECURITIES AND EXCHANGE COMMISSION, 14 Plaintiff, 15 16 17 vs. Case No. CV 10-8383-DSF (PJWx) FINAL JUDGMENT AGAINST DEFENDANT STEVEN ENRICO LOPEZ, SR. ALERO ODELL MACK, JR., et al., Defendants. 18 19 20 21 22 23 24 25 26 27 28 Dockets.Justia.com 1 The Securities and Exchange Commission having filed a Complaint and 2 Defendant Steven Enrico Lopez, Sr. having entered a general appearance; consented 3 to the Court’s jurisdiction over Defendant and the subject matter of this action; 4 consented to entry of this Final Judgment without admitting or denying the 5 allegations of the Complaint (except as to jurisdiction); waived findings of fact and 6 conclusions of law; and waived any right to appeal from this Final Judgment: IT IS ORDERED, ADJUDGED, AND DECREED that Defendant is liable for 7 8 disgorgement of $577,000, representing profits gained as a result of the conduct 9 alleged in the Complaint, together with prejudgment interest thereon in the amount of 10 $40,219.55, and a civil penalty in the amount of $150,000 pursuant to Section 11 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)(A)], Section 20 of the Securities 12 Act [15 U.S.C. §77t(d)(2)], and Section 209(e) of the Advisers Act [15 U.S.C. § 80b- 13 9(e)]. 14 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court 15 shall retain jurisdiction of this matter for the purposes of enforcing the terms of this 16 Final Judgment. 17 18 19 September 1. 2016 ______________________________ UNITED STATES DISTRICT JUDGE DALE S. FISCHER 20 21 22 23 24 25 26 27 28 1
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