Securities & Exchange Commission v. Sabhlok et al

Filing 302

ORDER - NOTICE AND ORDER REGARDING PROPOSED VERDICT FORM. Signed by Judge Edward M. Chen on 9/21/2010. (Attachments: # 1 Exhibit Verdict Form)(emcsec, COURT STAFF) (Filed on 9/21/2010)

Securities & Exchange Commission v. Sabhlok et al

Doc. 302 Att. 1

1 2 3 4 5 6 7 8 9 10 SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. MICHAEL C. PATTISON, Defendant. ___________________________________/ No. C-08-4238 EMC UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA

VERDICT

United States District Court

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For the Northern District of California

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Please provide a "yes" or "no" answer for each claim below. CLAIM 1 Do you find, by the preponderance of the evidence, that Defendant violated Rule 10b-5 of the Exchange Act? YES NO _____ _____

CLAIM 2 Do you find, by a preponderance of the evidence, that Defendant aided and abetted another person's violation of Rule 10b-5? YES NO _____ _____

Dockets.Justia.com

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CLAIM 3 Do you find, by a preponderance of the evidence, that Defendant aided and abetted a violation of Section 13(a) of the Exchange Act by Embarcadero? YES NO _____ _____

CLAIM 4 Do you find, by a preponderance of the evidence, that Defendant violated Section 13(b)(5) of the Exchange Act? YES NO _____ _____

United States District Court

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For the Northern District of California

12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Dated: September ____, 2010 _________________________ Jury Foreperson Please sign and date below, and return this verdict to the Clerk. CLAIM 5 Do you find, by a preponderance of the evidence, that Defendant violated Rule 13b2-1 of the Exchange Act? YES NO _____ _____

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