United States Securities and Exchange Commission v. Paulsen, No. 1:2018cv06718 - Document 167 (S.D.N.Y. 2021)

Court Description: FINAL JUDGMENT AS TO DEFENDANT JOHN A. PAULSEN: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 1O(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule lOb-5 promulgated thereunder [17 C.F.R. § 240.1 Ob-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securitie s exchange, in connection with the purchase or sale of any security: As further set forth in this order. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $100,000 to the Securities and Exchange Commission pursuant to Section 20 of the Securities Act [15 U,S.C, § 77t] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)]. Defendant shall make this payment within 30 days after entry of this Final Judgme nt. As further set forth in this Order. 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. (Signed by Judge Paul G. Gardephe on 11/22/2021) John A Paulsen terminated. (ks)