Securities and Exchange Commission v. Mack et al

Filing 124

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 Complaint, 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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UNITED STATES DISTRICT COURT

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CENTRAL DISTRICT OF CALIFORNIA

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SECURITIES AND EXCHANGE
COMMISSION,

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Plaintiff,

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vs.
ALERO ODELL MACK, JR., et al.,
Defendants.

Case No. CV 10-8383-DSF (PJWx)
FINAL JUDGMENT AGAINST
DEFENDANT STEVEN ENRICO
LOPEZ, SR.

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The Securities and Exchange Commission having filed a Complaint and

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Defendant Steven Enrico Lopez, Sr. having entered a general appearance; consented

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to the Court’s jurisdiction over Defendant and the subject matter of this action;

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consented to entry of this Final Judgment without admitting or denying the

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allegations of the Complaint (except as to jurisdiction); waived findings of fact and

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conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS ORDERED, ADJUDGED, AND DECREED that Defendant is liable for

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disgorgement of $577,000, representing profits gained as a result of the conduct

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alleged in the Complaint, together with prejudgment interest thereon in the amount of

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$40,219.55, and a civil penalty in the amount of $150,000 pursuant to Section

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21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)(A)], Section 20 of the Securities

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Act [15 U.S.C. §77t(d)(2)], and Section 209(e) of the Advisers Act [15 U.S.C. § 80b-

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9(e)].

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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court

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shall retain jurisdiction of this matter for the purposes of enforcing the terms of this

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Final Judgment.

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September 1. 2016

______________________________
UNITED STATES DISTRICT JUDGE
DALE S. FISCHER

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