Securities and Exchange Commission v. Wachovia Securities, LLC

Filing 6

MOTION by Plaintiff Securities and Exchange Commission for judgment to be entered as to Defendant Wachovia Securities, LLC (Attachments: # 1 Text of Proposed Order Exhibit A -- Proposed Order, # 2 Exhibit Exhibit B -- Consent)(Nelson, Margaret)

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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. WACHOVIA SECURITIES, LLC, Defendant. ) ) ) ) ) ) ) ) ) ) Electronically Filed Civil Case No. 09 CV 743 Judge Virginia M. Kendall Magistrate Judge Geraldine Soat Brown MOTION FOR ENTRY OF FINAL JUDGMENT AS TO DEFENDANT WACHOVIA SECURITIES, LLC Plaintiff Securities and Exchange Commission (the "Commission") respectfully moves this Court to enter the proposed Judgment as to Defendant Wachovia Securities, LLC (the "Proposed Order"), attached hereto as Exhibit A. In support of this Motion, the Commission states that: 1. Defendant has consented to the Court's jurisdiction over it and the subject matter of this action and consented to entry of the Proposed Order. The Consent is attached hereto as Exhibit B. 2. The Proposed Order would permanently enjoin the Defendant from violating Section 15(c)(1) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78o(c)(1)]. 3. The Proposed Order provides that upon motion by the Commission, the Court shall determine whether it is appropriate to order Defendant to pay a civil penalty pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. WHEREFORE, the Securities and Exchange Commission respectfully moves this Court for entry of the Proposed Order. Respectfully submitted, February 6, 2009 /s/ Margaret Gembala Nelson Margaret Gembala Nelson, Illinois Bar No. 6269798 nelsonm@sec.gov Ruta G. Dudenas, Illinois Bar No. 6274848 dudenasr@sec.gov Thomas J. Meier, Illinois Bar No. 6225621 meiert@sec.gov Attorneys for Plaintiff U.S. Securities and Exchange Commission 175 W. Jackson Boulevard, Suite 900 Chicago, Illinois 60604-2615 Phone: 312.353.7390 Fax: 312.353.7398 2

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