Securities and Exchange Commission v. Daniel B Vazquez, Sr. et al

Filing 34

FINAL JUDGMENT AS TO DANIEL B. VAZQUEZ, SR. by Judge Cormac J. Carney. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Vazquez is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder. SEE ORDER FOR DETAILS. (MD JS-6, Case Terminated). (iv)

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UNITED STATES DISTRICT COURT

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CENTRAL DISTRICT OF CALIFORNIA

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SOUTHERN DIVISION

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SECURITIES AND EXCHANGE
COMMISSION,

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Plaintiff,

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vs.
DANIEL B. VAZQUEZ, SR.,
GILBERT FLUETSCH, AND
HOPLON FINANCIAL GROUP,
Defendant.

Case No. 8:18−cv−0047 CJC (KESx)
FINAL JUDGMENT AS TO
DANIEL B. VAZQUEZ, SR.

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JUDGMENT AS TO DEFENDANT DANIEL B. VAZQUEZ, SR.

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This cause came before the Court upon Plaintiff Securities and Exchange

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Commission’s (“SEC”) Motion for Entry of Default Judgment (“Motion”) against

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Defendant Daniel B. Vazquez, Sr. (“Vazquez”). Having considered the SEC’s

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Complaint, the Motion, the supporting Memorandum of Points and Authorities, the

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supporting declarations and exhibits, and the other evidence and argument presented

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to the Court, the SEC’s Motion is GRANTED.

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I.
IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Vazquez is

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permanently restrained and enjoined from violating, directly or indirectly, Section

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10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) [15 U.S.C. §

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78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using

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any means or instrumentality of interstate commerce, or of the mails, or of any

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facility of any national securities exchange, in connection with the purchase or sale of

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any security:

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(a)

to employ any device, scheme, or artifice to defraud;

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(b)

to make any untrue statement of a material fact or to omit to state a

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material fact necessary in order to make the statements made, in the light of the

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circumstances under which they were made, not misleading; or

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(c)

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would operate as a fraud or deceit upon any person.

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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as

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provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also

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binds the following who receive actual notice of this Final Judgment by personal

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service or otherwise: (a) Defendant’s officers, agents, servants, employees, and

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attorneys; and (b) other persons in active concert or participation with Defendant or

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with anyone described in (a).

to engage in any act, practice, or course of business which operates or

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II.

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IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that

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Vazquez is permanently restrained and enjoined from violating, directly or indirectly,

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Section 17(a) of the Securities Act of 1933 (the “Securities Act”) [15 U.S.C. §

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77q(a)] in the offer or sale of any security by the use of any means or instruments of

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transportation or communication in interstate commerce or by use of the mails,

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directly or indirectly:

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(a)

to employ any device, scheme, or artifice to defraud;

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(b)

to obtain money or property by means of any untrue statement of a

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material fact or any omission of a material fact necessary in order to make the

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statements made, in light of the circumstances under which they were made,

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not misleading; or

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(c)

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operates or would operate as a fraud or deceit upon the purchaser.

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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as

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provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also

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binds the following who receive actual notice of this Final Judgment by personal

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service or otherwise: (a) Defendant’s officers, agents, servants, employees, and

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attorneys; and (b) other persons in active concert or participation with Defendant or

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with anyone described in (a).

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to engage in any transaction, practice, or course of business which

III.
IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that

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Vazquez is permanently restrained and enjoined from violating, directly or indirectly,

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Section 15(a) of the Exchange Act [15 U.S.C. § 78o(a)] by the use of any means or

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instruments of transportation or communication in interstate commerce or by use of

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the mails, to effect any transaction in, or induce or attempt to induce the purchase or

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sale of, any security without being registered with the Commission or being

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associated with a registered broker or dealer that is not a natural person.
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IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as

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provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also

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binds the following who receive actual notice of this Final Judgment by personal

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service or otherwise: (a) Defendant’s officers, agents, servants, employees, and

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attorneys; and (b) other persons in active concert or participation with Defendant or

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with anyone described in (a).

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IV.
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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V.

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There being no just reason for delay, pursuant to Rule 54(b) of the Federal

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Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith

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and without further notice.

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Dated: December 11, 2019

THE HON. CORMAC J. CARNEY
UNITED STATES DISTRICT JUDGE

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