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SEC v. Katy Industries, Et Al

SEC v. Katy Industries, Et Al

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Published by Mike Koehler

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Categories:Types, Business/Law
Published by: Mike Koehler on Sep 14, 2011
Copyright:Attribution Non-commercial

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09/14/2011

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CIVilCOVERSHEET
e
TheJS'44civilcevershell!andtheInformaUoncontainedhereinneitherreplacenorsupplementthe
filing
anaservicsofpleadingsorotherpapersasrequiredbylaw.e~ceplasprovidedbylocalrulesOfcourt.Thisform.approved
by
theJudicialConlerenceoftnaUnitedStatesInseplemoer
1974.
srequiredforIliauseoftheClerk01Courtlorthepurpose01Initialingthecivildocketsneer.
PLAINTIFFS
UnitedStatesSecuritiesand
flL
ExchangeCommission.
~t:t
~OC~
1978AUG30
DEFENDANTS
~atyIndustries,Inc.WallaceE.CarrollMelvanM.Jacobs
AM1050
CLEK
u.s.
DIS
Tnl
TCOURT
ATTORNEYS(FIRMNAME.ADORESl'.ANDTELEPHONENUMBER)
RonaldP.Kane,IrvingM.Einhorn,PhillipL.Stern,RobertF.J.1oyer,Jr.219SouthDearbornStreetChicago,Illinois60604353-7390
ATTORNEYS(IFKNOWNI
Gafdn~r"farton-,~
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~U.S.PLAINTIFF02
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1332.1441
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BASIS
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CAUSEOFACTION
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15U.~.C.7Bj(b),7Bm(a),78n(a)and78dd-1Violationofanti-fraud,periodicreporting,proxyandForeignPracticesSectionsof'thefederalsecuritiesstatutes
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~--------
--~------------~
INTHEUN!'rEDSTATESDISTRICTCOURTNORTHERNDISTRICTOFILLINOISEASTERNDIVISION
,i972AUG30
AM
10
50
·
·
CL(F,K
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ACfl'[])SffitCTCOURT
FILENO.SECURITIESANDEXCHANGECOMMISSION
:
Plaintiff,:
·
COMPLAINTPERMANENTANDOTHER~I~~F.,-,,,
4"";'(.;.
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~T
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i
v.
KATYINDUSTRIES,INC.WALLACE
E.
CARROLLMELVAN
M.
JACOBSDefendants.------Now--comes----the--F-l-a-i-nc-i-f-f-,--Seeu-'t'-i-t-ies---and--Ex-change-C_(Commission),andallegesasfollows:
1.
DefendantsKatyIndustries,Inc.("Katy"),WallaceE.Carroll("Carroll")andMelvan
M.
Jaco~s("Jacobs")haveengaged,'areengagedandareabouttoengagein.actsandpracticeswhichconstituteviolationsofSection17(a)oftheSecuritiesActof1933("SecuritiesAct"),[15U.S.C.77q(a)],andSectionslOtb),13(a),14(a)and
30A
oftheSecuritiesExchangeActof1934("ExchangeAct"),[15U.S.C.78j(b),78m(a),78n(a)and78dd-l],andRuleslOb-5,12b-20,l3a-l,13a-l1and14a-9,(17CFR~40.10b-5,12b-2Q,l3a-l,l3a-l1and14a-91,promulgatedthereunder.2.TheplaintiffbringsthisactiontoenjoinsuchactsandpracticespursuanttoSection20(b)oftheSecuritiesAct,[15U.S.C.77t(b)],andSections21{d)and21(e)oftheExchangeAct,[15U.S.C.78u(d}and78u(e)].
 
-2-
3.TheCourthasjurisdictionofthisactionpursuanttoSection
22(a)
oftheSecuritiesAct,[15U.S.C.77v(a)],andSection27oftheExchangeAct,[15U.S.C.78aa].4.Thedefendantswill,unlessrestrainedandenjoined,continuetoengageintheactsandpracticessetforth·inthiscomplaintandactsandpracticesofsimilarpurportandobject.5.TheactsandpracticesconstitutingtheviolationshereinhaveoccurredwithinthejurisdictionoftheUnitedStatesDistrictCourtfortheNorthernDistrictofIllinois,Eastern6.Thedefendants,directlyandindirectly,madeuseofthemails,meansandinstrumentalitiesofinterstatecommerceinconnectionwiththeactsandpracticesallegedhereinintheNorthernDistrictofIllinois,EasternDivision,andelsewhere
...
7.PursuanttoauthorityconferredontheCommissionbySections10(b),12(b),13~a)and14(a)oftheExchangeAct,[15U.S.C.78j(b),781(b),78m(a)and78n(a)],theCommissionhaspromulgatedRules10b-5,l2b-20,13a-1,13a-1land14a-9(17CFR240.10b-5,12b-20,13a-1,.13a-1landl4a-9],such·ru1esbeingineffectatalltimesmentionedhereinandatthepresenttime.
i

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