Securities and Exchange Commission v. Cody et al

Filing 62

Judge F. Dennis Saylor, IV: ORDER entered. JUDGMENT (Halley, Taylor)

UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS
Securities and Exchange Commission
Plaintiff(s)
CIVIL ACTION NO. 1:16-cv-12510-FDS

v.

Richard G Cody et al
Defendant(s)

JUDGMENT IN A CIVIL CASE

Saylor U.S.D.J

IT IS ORDERED AND ADJUDGED: Pursuant to the Memorandum and Order
of this court on 12/5/2019, Summary Judgment is GRANTED for the Plaintiff.
Defendants Richard G. Cody and Boston Investment Partners, LLC, are
hereby ENJOINED from committing any act or practice in violation of § 10(b)
of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b); Rule 10b-5, 17
C.F.R. § 340.10b-5; and §§ 206(1)-(2) of the Investment Advisers Act of 1940,
15 U.S.C. §§ 80b-6(1)-(2), and from aiding, abetting, counseling, commanding,
inducing, or procuring any such act or practice. Defendant Richard G. Cody is
hereby ORDERED to disgorge the amount of $14,171, plus prejudgment
interest in the amount of $3,490, to the United States Securities and Exchange
Commission.

ROBERT M. FARRELL
CLERK OF COURT

Dated: 12/5/2019
By /s/ Taylor Halley
Deputy Clerk