Securities and Exchange Commission

Filing 6

MOTION by Plaintiff Securities and Exchange Commission for judgment against Defendant Robert J. Steffes (Attachments: # 1 Exhibit 1, Proposed Order of Judgment, # 2 Exhibit 2, Consent of Robert J. Steffes)(Moye, Robert)

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Securities and Exchange Commission Doc. 6 UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. REX C. STEFFES, CLIFF M. STEFFES, REX R. STEFFES, BRET W. STEFFES, ROBERT J. STEFFES, and W. GARY GRIFFITHS, Defendants. ) ) ) ) ) ) ) ) ) ) ) ) ) Case No. 1:10-cv-06266 Judge Robert M. Dow, Jr. PLAINTIFF'S AGREED MOTION FOR THE ENTRY OF FINAL JUDGMENT AGAINST DEFENDANT ROBERT J. STEFFES By agreement of the parties, and pursuant to Rule 58(d) of the Federal Rules of Civil Procedure, Plaintiff, the U.S. Securities and Exchange Commission ("the Commission"), respectfully requests that this Court enter the proposed order of final judgment against Defendant Robert J. Steffes which is attached hereto as Exhibit 1. 1. The Commission has filed a civil complaint against Defendant Robert J. Steffes and others. (See Docket No. 1) 2. Defendant Robert J. Steffes has agreed previously to resolve this matter by the entry of a final judgment which: (a) permanently enjoins him from violating Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. § 240.10b-5; and (b) requires him to pay a total of $225,913 in disgorgement of ill-gotten gains, prejudgment interest and a statutory civil penalty. (See Exhibit 2, Consent of Robert J. Steffes at ¶ 2(a) ­ (c).) Dockets.Justia.com 3. The proposed judgment order has been reviewed and approved by Defendant Robert J. Steffes and his counsel. (See Exhibit 1) 4. Accordingly, the Commission requests that this Court enter the proposed order of Final Judgment as to Defendant Robert J. Steffes. 5. The Commission's case against the other Defendants will continue. Dated: September 30, 2010. Respectfully submitted, _/s/Robert M. Moye___________________ Robert M. Moye (Illinois Bar No. 6225688) Steven C. Seeger (Illinois Bar No. 6243849) Scott B. Tandy (Illinois Bar No. 6226214) U.S. Securities and Exchange Commission Chicago Regional Office 175 West Jackson Boulevard, Suite 900 Chicago, IL 60604-2615 (312) 353-7390 (312) 353-7398 (FAX) moyer@sec.gov seegers@sec.gov tandys@sec.gov Attorneys for Plaintiff, the U.S. Securities and Exchange Commission CERTIFICATE OF SERVICE The undersigned hereby certifies that a copy of the foregoing Plaintiff's Agreed Motion for the Entry of Judgment against Defendant Robert J. Steffes has been served upon the following individuals by email delivery: Chris Gekas (cjg@gekaslaw.com) John Gekas (jgekas@gekaslaw.com) Gekas Law LLP 11 South LaSalle Street Suite 1700 Chicago, Illinois 60603 Counsel for Rex C. Steffes, Cliff M. Steffes, Rex R. Steffes, Bret W. Stefffes and Robert J. Steffes Thomas E. Bishop (tbishop@tannerbishop.com) Tanner Bishop One Independent Drive Suite 1700 Jacksonville, Florida 32202 Counsel for W. Gary Griffiths ___/s/Robert M. Moye________ Robert M. Moye

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