U.S. Securities and Exchange Commission v. Anderson et al, No. 1:2010cv06420 - Document 41 (N.D. Ill. 2014)
Court Description: MOTION by Plaintiff United States Securities and Exchange Commission to dismiss Securities and Exchange Commission's Motion for Voluntary Dismissal of its Requests for Monetary Relief and Entry of Final Judgment Against the Defendants, MO TION by Plaintiff United States Securities and Exchange Commission for judgment (Attachments: # 1 Exhibit A -- Criminal Sentence, # 2 Exhibit B -- Proposed Final Judgment Against Defendant Anderson, # 3 Exhibit C -- Proposed Final Judgment Against Defendant Rosand Enterprises, # 4 Certificate of Service)(Seeger, Steven)
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U.S. Securities and Exchange Commission v. Anderson et al Doc. 41 Att. 2 EXHIBIT B Dockets.Justia.com UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ROBERT R. ANDERSON and ROSAND ENTERPRISES, INC., Defendants. ) ) ) ) ) ) ) ) ) ) ) Case No. 10-cv-6420 [PROPOSED] FINAL JUDGMENT AS TO ROBERT ROY ANDERSON The Securities and Exchange Commission having filed a Complaint, and Defendant Robert Roy Anderson (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter of this action; consented to entry of the Judgment as to Robert Roy Anderson as entered by the Court on February 16, 2011 (Dckt. No. 19) without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from that Judgment; and the SEC now having moved for the voluntary dismissal of the requests in its Complaint for monetary relief in light of the prison sentence and order of restitution already imposed against Defendant in his criminal case, final judgment is hereby entered in favor of the SEC and against Defendant as follows: I. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant’s 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], 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: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. II. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant’s 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 Section 17(a) of the Securities Act of 1933 (the “Securities Act”) [15 U.S.C. § 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly: (a) to employ any device, scheme, or artifice to defraud; (b) to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements 2 made, in light of the circumstances under which they were made, not misleading; or (c) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser. III. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant’s 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 Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption: (a) Unless a registration statement is in effect as to a security, making use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; (b) Unless a registration statement is in effect as to a security, carrying or causing to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale; or (c) Making use of any means or instruments of transportation or communication in interstate commerce or of the mails to offer to sell or offer to buy through the use or medium of any prospectus or otherwise any security, unless a registration statement has been filed with the Commission as to such security, or while the 3 registration statement is the subject of a refusal order or stop order or (prior to the effective date of the registration statement) any public proceeding or examination under Section 8 of the Securities Act [15 U.S.C. § 77h]. IV. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that, pursuant to the SEC’s motion for voluntary dismissal of the requests for monetary relief in its Complaint, the Court dismisses the Complaint’s prayers for disgorgement, prejudgment interest, and civil penalties against Defendant. V. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that the previously-filed Consent (Dckt. No. 16-1) is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. VI. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. Dated: ______________, 2014 ____________________________________ UNITED STATES DISTRICT JUDGE 4
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