Securities and Exchange Commison v. Michael W Perry et al

Filing 151

FINAL JUDGMENT AS TO DEFENDANT MICHAEL W. PERRY by Judge Manuel L. Real. IT IS HEREBY ORDERD, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all other persons in active concert or participation w ith them who receive actual notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from violating Section 17(a)(3) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(3) in the offer or sale of any security by the use of any means or instruments of transportation of communication in interstate commerce or by use of the mails, directly or indirectly, to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchase. (MD JS-6, Case Terminated). (bp)

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1 2 3 4 5 6 7 DONALD W. SEARLES, Cal. Bar No. 135705 E-mail: searlesd@sec.gov NICHOLAS S. CHUNG, Cal. Bar No. 192784 E-mail: chungni@sec.gov Attorneys for Plaintiff Securities and Exchange Commission Michele Wein Layne, Regional Director John M. McCoy, III Associate Regional Director John W. Berry, Regional Trial Counsel 5670 Wilshire Boulevard, 11th Floor Los Angeles, California 90036-3648 Telephone: (323) 965-3998 Facsimile: (323) 965-3908 J S -6 8 9 UNITED STATES DISTRICT COURT 10 CENTRAL DISTRICT OF CALIFORNIA 11 WESTERN DIVISION 12 13 14 SECURITIES AND EXCHANGE COMMISSION, 15 Plaintiff, 16 17 18 19 20 21 22 23 24 25 26 27 28 v. MICHAEL W. PERRY and A. SCOTT KEYS, Defendants. Case No. CV-11-1309-R FINAL JUDGMENT AS TO DEFENDANT MICHAEL W. PERRY 1 The Securities and Exchange Commission having filed a Complaint and 2 Defendant Michael W. Perry having entered a general appearance; consented to the 3 Court’s jurisdiction over Defendant and the subject matter of this action; consented 4 to entry of this Final Judgment without admitting or denying the allegations of the 5 Complaint (except as to jurisdiction); waived findings of fact and conclusions of 6 law; and waived any right to appeal from this Final Judgment: I. 7 8 9 IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant’s agents, servants, employees, attorneys, and all persons in active 10 concert or participation with them who receive actual notice of this Final Judgment 11 by personal service or otherwise are permanently restrained and enjoined from 12 violating Section 17(a)(3) of the Securities Act of 1933 (the “Securities Act”) [15 13 U.S.C. §§ 77q(a)(3)] in the offer or sale of any security by the use of any means or 14 instruments of transportation or communication in interstate commerce or by use 15 of the mails, directly or indirectly, to engage in any transaction, practice, or course 16 of business which operates or would operate as a fraud or deceit upon the 17 purchaser. II. 18 19 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant 20 shall pay a civil penalty in the amount of $80,000 pursuant to Section 20(d)(1) of the 21 Securities Act [15 U.S.C. § 77t(d)(1)]. Defendant shall make this payment within 14 22 days after entry of this Final Judgment by certified check, bank cashier’s check, or 23 United States postal money order payable to the Securities and Exchange Commission. 24 The payment shall be delivered or mailed to the Enterprise Service Center, Accounts 25 Receivable Branch, 6500 South MacArthur Boulevard, Oklahoma City, OK 73169, and 26 shall be accompanied by a letter identifying Michael W. Perry as a defendant in this 27 action; setting forth the title and civil action number of this action and the name of this 28 Court; and specifying that payment is made pursuant to this Final Judgment. Defendant 1 1 shall pay post-judgment interest on any delinquent amounts pursuant to 28 USC § 1961. 2 The Commission shall remit the funds paid pursuant to this paragraph to the United 3 States Treasury. 4 5 III. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent 6 is incorporated herein with the same force and effect as if fully set forth herein, and that 7 Defendant shall comply with all of the undertakings and agreements set forth therein. 8 9 IV. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court 10 shall retain jurisdiction of this matter for the purposes of enforcing the terms of this 11 Final Judgment. 12 13 14 15 16 DATED: Sept. 27, 2012 ___________________________________ UNITED STATES DISTRICT JUDGE 17 18 19 20 21 22 23 24 25 26 27 28 2

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