Securities and Exchange Commission v. Peter H. Pocklington et al
Filing
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FINAL JUDGMENT AS TO DEFENDANT VANESSA PULEO FINAL by Judge Jesus Bernal. The Securities and Exchange Commission having filed a Complaint and Defendant Vanessa Puleo ("Defendant") having entered a general appearance; c onsented to the Court 's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction and except as oth erwise provided herein in paragraph VI.); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: (See attached for further details), Related to: Stipulation for Judgment 70 (yl)
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DOUGLAS M. MILLER (Cal. Bar No. 240398)
Email: millerdou@sec.gov
KATHRYN C. WANNER (Cal. Bar No. 269310)
Email: wannerk@sec.gov
Attorneys for Plaintiff
Securities and Exchange Commission
Michele Wein Layne, Regional Director
John W. Berry, Associate Regional Director
Amy J. Longo, Regional Trial Counsel
444 S. Flower Street, Suite 900
Los Angeles, California 90071
Telephone: (323) 965-3998
Facsimile: (213) 443-1904
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UNITED STATES DISTRICT COURT
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CENTRAL DISTRICT OF CALIFORNIA
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EASTERN DIVISION
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SECURITIES AND EXCHANGE
COMMISSION,
Plaintiff,
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Case No. 5:18-cv-00701-JGB-SP
FINAL JUDGMENT AS TO
DEFENDANT VANESSA PULEO
vs.
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PETER H. POCKLINGTON,
LANTSON E. ELDRED, TERRENCE
J. WALTON, YOLANDA C.
VELAZQUEZ a/k/a LANA
VELAZQUEZ a/k/a LANA PULEO,
VANESSA PULEO, ROBERT A.
VANETTEN, NOVA OCULUS
PARTNERS, LLC, f/k/a THE EYE
MACHINE, LLC, and AMC
HOLDINGS, LLC,
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Defendants.
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EVA S. POCKLINGTON, DTR
HOLDINGS, LLC, COBRA
CHEMICAL, LLC, and GOLD STAR
RESOURCES, LLC,
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Relief Defendants.
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Case No. 5:18-cv-00701-JGB-SP
FINAL JUDGMENT AS TO DEFENDANT VANESSA PULEO
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The Securities and Exchange Commission having filed a Complaint and Defendant Vanessa
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Puleo (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over
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Defendant and the subject matter of this action; consented to entry of this Final Judgment without
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admitting or denying the allegations of the Complaint (except as to jurisdiction and except as
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otherwise provided herein in paragraph IV.); waived findings of fact and conclusions of law; and
waived any right to appeal from this Final Judgment:
I.
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IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is
permanently restrained and enjoined from violating Section 5 of the Securities Act of 1933
(“Securities Act”) [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable
exemption:
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(a)
Unless a registration statement is in effect as to a security, making use of any means
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or instruments of transportation or communication in interstate commerce or of the
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mails to sell such security through the use or medium of any prospectus or otherwise;
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(b)
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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
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transportation, any such security for the purpose of sale or for delivery after sale; or
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(c)
Making use of any means or instruments of transportation or communication in
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interstate commerce or of the mails to offer to sell or offer to buy through the use or
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medium of any prospectus or otherwise any security, unless a registration statement
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has been filed with the Commission as to such security, or while the registration
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statement is the subject of a refusal order or stop order or (prior to the effective date
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of the registration statement) any public proceeding or examination under Section 8
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of the Securities Act [15 U.S.C. § 77h].
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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal
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Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive
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actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers,
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agents, servants, employees, and attorneys; and (b) other persons in active concert or participation
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with Defendant or with anyone described in (a).
II.
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IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is
permanently restrained and enjoined from violating, directly or indirectly, Section 15(a) of the
Securities Exchange Act of 1934 (the “Exchange Act”) [15 U.S.C. § 78o(a)] by making use of the
mails or any means or instrumentality of interstate commerce to effect any transactions in, or to
induce or attempt to induce the purchase or sale of, any security, without being registered as a
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broker and/or dealer pursuant to Section 15(b) of the Exchange Act [15 U.S.C. § 78o(b)] or while
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Defendants are not associated with an entity registered with the Commission as a broker or dealer.
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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal
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Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive
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actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers,
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agents, servants, employees, and attorneys; and (b) other persons in active concert or participation
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with Defendant or with anyone described in (a).
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III.
IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is
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jointly and severally liable with Co-Defendant Yolanda C. Velazquez for disgorgement of
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$4.733,025.00, representing the amount of money Defendant raised from investors as a result of the
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conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of
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$808,770.57, and a civil penalty in the amount of $500,000 pursuant to Section 20(d) of the
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Securities Act [15 U.S.C. § 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. §
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78u(d)(3)]. Defendant shall satisfy this obligation within 14 days after entry of this Final Judgment.
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Defendant may transmit payment electronically to the Commission, which will provide
detailed ACH transfer/Fedwire instructions upon request. Payment may also be made directly from
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a bank account via Pay.gov through the SEC website at
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http://www.sec.gov/about/offices/ofm.htm. Defendant may also pay by certified check,
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bank cashier’s check, or United States postal money order payable to the Securities and Exchange
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Commission, which shall be delivered or mailed to
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Enterprise Services Center
Accounts Receivable Branch
6500 South MacArthur Boulevard
Oklahoma City, OK 73169
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and shall be accompanied by a letter identifying the case title, civil action number, and name of this
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Court; Vanessa Puleo as a defendant in this action; and specifying that payment is made pursuant to
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this Final Judgment.
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Defendant shall simultaneously transmit photocopies of evidence of payment and case
identifying information to the Commission’s counsel in this action. By making this payment,
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Defendant relinquishes all legal and equitable right, title, and interest in such funds and no part of
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the funds shall be returned to Defendant. The Commission shall send the funds paid pursuant to
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this Final Judgment to the United States Treasury.
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The Commission may enforce the Court’s judgment for disgorgement and prejudgment
interest by moving for civil contempt (and/or through other collection procedures authorized by
law) at any time after 14 days following entry of this Final Judgment. Defendant shall pay post
judgment interest on any delinquent amounts pursuant to 28 U.S.C. § 1961.
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IV.
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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of
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exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. §523, the
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allegations in the complaint are true and admitted by Defendant, and further, any debt for
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disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this
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Final Judgment or any other judgment, order, consent order, decree or settlement agreement 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).
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V.
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.
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VI.
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There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil
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Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice.
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Dated: January 9, 2019
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UNITED STATES DISTRICT JUDGE
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