Securities and Exchange Commission v. James V Mazzo et al, No. 8:2012cv01327 - Document 258 (C.D. Cal. 2019)
Court Description: AMENDED FINAL JUDGMENT AS TO DEFENDANT DAVID L. PARKER by Judge David O. Carter. Related to: Judgment, 256 , Joint NOTICE OF MOTION AND MOTION to AMEND Judgment 257 . Defendant liable for disgorgement of $343,954; Civil penalty in the amount of $56,046; Defendant shall satisfy this obligation by paying $400,000 to the SEC. SEE DOCUMENT FOR FURTHER INFORMATION. (twdb)
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Securities and Exchange Commission v. James V Mazzo et al Doc. 258 Dockets.Justia.com 1 (i) to the officers, directors, partners or employees of the 2 offering person, to its advisors or to other persons, involved 3 in the planning, financing, preparation or execution of such 4 tender offer; 5 (ii) to the issuer whose securities are sought or to be sought by 6 such tender offer, to its officers, directors, partners, 7 employees or advisors or to other persons involved in the 8 planning, financing, preparation or execution of the 9 activities of the issuer with respect to such tender offer; or 10 11 12 13 (iii) to any person pursuant to a requirement of any statute or rule or regulation promulgated thereunder. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal 14 Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive 15 16 actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, 17 agents, servants, employees, and attorneys; and (b) other persons in active concert or participation 18 with Defendant or with anyone described in (a). 19 20 21 III. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $343,954, representing profits gained as a result of the conduct alleged in the 22 23 Complaint, and a civil penalty in the amount of $56,046 pursuant to Section 21A of the Exchange 24 Act [15 U.S.C. § 78u-1]. Defendant shall satisfy this obligation by paying $400,000 to the 25 Securities and Exchange Commission pursuant to the Payment Plan described in Paragraph IV, the 26 first installment which is due within 60 days after entry of this Final Judgment. 27 28 4 [PROPOSED] AMENDED FINAL JUDGMENT AS TO DEFENDANT DAVID L. PARKER Case No. SACV 12-1327 DOC (AFM) VI. 1 2 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of 3 exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. §523, the 4 allegations in the complaint are true and admitted by Defendant, and further, any debt for 5 disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this 6 Final Judgment or any other judgment, order, consent order, decree or settlement agreement 7 8 9 10 entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. §523(a)(19). 11 12 13 VII. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. 14 15 16 17 18 December 11 19 Dated: ______________, 20__ ____________________________________ THE HONORABLE DAVID O. CARTER UNITED STATES DISTRICT JUDGE 19 20 21 22 23 24 25 26 27 28 8 AMENDED FINAL JUDGMENT AS TO DEFENDANT DAVID L. PARKER Case No. SACV 12-1327 DOC (AFM)
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