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Case 2:09-cv-00104-LDG -GWF Document 121

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Case 2:09-cv-00104-LDG -GWF Document 121

Filed 04/11/12 Page 2 of 5

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Pl ntf Securtesand Exchange Com m i s on havi f l a Com pl ntand ai if ii si ng ied ai

2 De e da tM a c Gls o Cr lson' ha n e ee age rla aa ce f n n r o is n is ' vig ntrd ne a ppe r n ' ) , 3 c s ne t t Co tsj iditono rDe e da ta t s j c matro ti on e td o he ur' urs ci ve f n n nd he ube t te f hs
4 ac i ,c e ed t enty oft sFi J ton' ons nt o r hi nal udgm entw ihoutadm itng orde ng t t ti nyi he

5 algainso t Co ant(xc p a t j iditonl wave fndi offc a d le to f he mpli e e t s o urs ci ; i d i ngs a t n
6 ooncl i ofl ;and w a ved any r ghtt appealfom t sFi Judgm ent usons aw i i o r hi nal :
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I I HEREBY O RDERED ,A DJUD GED ,Ar T S

D ECREED t tDef ha endant

9 and D ef endant sage s,s vant ,em pl ' nt er s oyees,ator t neys a a1 per ons i ad i , nd l s n ve 10 c oncer orpa tci i w ih t t r i paton t hem w ho r ve act notc oft s Fi Judgm ent ecei ual i e hi nal

11 b pes na s r c o ohe iea epema n l rsr i da e j ne fom y ro l evie r t m s r r ne ty e tane nd noi d r 1 vi aigSe to 5()a 5c oft Se urte Ac of1 3Cse urte Ac',l 2 oltn cins a nd () he c iis t 93 c iis t' 5 ) 1 U. C.j7 ()a ( ) b die tyori rcl i t a e eo a a ia e 3 S. 7ea nd c , y, rcl ndie ty,n he bs nc f ny ppl bl c
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() Unls argitainsae n i i efc a t as c iy, kigus a e s e srto ttme t s n fe t s o e urt ma n e
ofany m eans ori t um ent oftans t i orcom m t i ton i nsr s r poraton m ca i n i er t e com m er oroft m aist s ls s iy t ough t nt sat ce he l o el uch ecurt hr he us orm edi ofany pr pec usorot e um os t hem i e; s

1 9
20 21

( Unls argitainsae nti i ef c a t as urt c ryi o b) e s e srto ttme s n fe t s o ec iy, a r ng r
causng t be car i d t ough t m aisori i e s at com m er e,by i o r e hr he l n nt r t e c any m eansori t um ent oftans aton,any s s iy f t ns r s r port i uch ecurt or he

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pur pose ofs e orf delver ahers e;or al or i y al

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() M a ngus ofa y me nsori tume t ofta po tto or c ki e n a nsr ns r ns rain
com m uni ton i i er t e com m er e oroft m aist of ert s l ca i n nt s at c he l o f o el orof ert buy t ough t us orm edi ofany pr pe usor f o hr he e um os ct ot w ie any s urt unl sa r s r i sat enthasbeen fl d hel s ec iy, es egitaton t em ie

1

Case 2:09-cv-00104-LDG -GWF Document 121

Filed 04/11/12 Page 3 of 5

1

w ih t Com m i si ast s h s urt , orw hie t r s r i t he s on o uc ec iy l he egi taton

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sae n i t s b e tofar f a or rorso o de or( irt t ttme t s he u j c eus l de tp r r pro o he e fci daeoft rgitainsae nt a pu i p oc edn o fe tve t he e srto ttme ) ny blc r e ig r
exam i i underSec i 8 oft SecurtesA c , 1 U. C.j77 naton ton he ii t 5 S. h.
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I I FU RTH ER ORD ERED , AD J J GED AN D D ECREED t t T S ID ha 7 Def endantand D ef enda ' age s s vant ,em pl nt s nt , er s oyees ator , t neys and a1 pe s , l r ons

8 i ac i c n tve once orpar i paton w ih t rt tci i t hem who r i act notce oft sFi ece ve ual i hi nal

9 J g ntb pes na s r ieo ohe wieaepe ma nl rsr i da ej n ud me y r o l e vc r t r s r r ne ty etane nd n oied 1 fo viltn Se to 1 a oft Se urte Exc ngeAc o 1 4 (ç h ng 0 rm oaig cin 5() he c iis ha t f 93 ç a e Exc 11 Ac' ,1 U. C. 78 a,b ma ngus oft mal ora yme n or t' 5 S. j o() y ki e he is n a s )
12 i t um e alt of i er t e com m er t e f tany t a ac i i , ort i ns r nt iy nt s at ce o f ec r ns ton n o nduce or
1 atem ptt i 3 t o nduce t pur he chœs orsal of any s urt w ihoutbei r ser as e e , ec iy, t ng egit ed

1 abr e orde lri a c d nc wih Se to 1 b)oft Exc a Ac, 15 4 ok r ae n c or a e t cin 5( he h nge t 1 U. C.j78ob) 5 S. (.
16 1 7 1 . 11 I I FURTH ER ORD ERED , A D J G ED ,AN D D ECREED t T S UD hat

1 Def 8 endanti pe mane l bared fom pari pai i an oferng ofpenny soc , s r nty r r tci tng n f i t k
1 i l ng enga ng i a i tesw ih a br , deal ,ori s f pur esof 9 nc udi gi n ctvii t oker er s uer or pos 20 isui t a ngaori s nga r di nduci ora t ptng t i ng tem i o nduce t plr e ors e ofany he zchas al 21 penny s ock. A pe s oc i any equiy s iy t hisa pr c ofl st fve t nny t k s t ecurt hat i e es han i 22 dolar ,exc ptaspr ded i Rul 3a51 undert Exchange A c , 17 C. R . ls e ovi n e -1 he t F.

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I I FU RTI ER ORD ERED ,A D JUD GED , AN D D ECREED t T S I hat

26 Def endanti labl f digor e of$2,765, 65,r pr entng pr isgai d s i e or s gem nt 650. e es i oft ne
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Case 2:09-cv-00104-LDG -GWF Document 121

Filed 04/11/12 Page 4 of 5

1 a ars toft ec c alge i t Co an, o t e wihprj gme t s e ul h ondu t le d n he mplitt geh r t eud n
2 i er tt eon i t am ot of$670, 79,f at alof$3, 225. The nt es her n he mt 574. or ot 436, 44.

3 Commiso ma e f r et Cour' j dg ntfrdigoge n a prj gme t sin y n o c he ts u me o s r me t nd eud n 4 itrs b mo ngf rcvi c tmp (n o tr , ohe c lcinpr e urs nee t y vi o i l on e t a d/r h oug t r ole to oc d e h 5 a t iedby lw)a a tmea r1 da f l nge tyoft sFi l uhorz a t ny i qe 4 ys olowi nr hi na
6 J udgm e . I r pons t any s ci lcont m ptm oton by t Com m i s on, t nt n es eo uch vi e i he s i he

7 Def endantma as er any lgaly per s i edef e. y s t e l misbl ens
8 Def endants ls i f hi oblga i unde t spar aph by payi t hal ats y s i tons r hi agr ng he

9 t a oul mounsofdig g n an prj gme itrs stf rha ewihn 1 t s or eme t d eud nt ne et e o t bov t i 4
10 daysaAere r oft s Fi J nty hi nal udgm entby ce ii d check,bank cas e ' check, or rtte hi r s

11 Unied Stt sposalm oney or payabl t t Securtesand Exc t ae t der e o he ii hange
1 Com m isi The pa e s lbe delver d orm aied t t O f i e ofFi 2 s on. ym nt hal i e l o he fc nanci al 13 M anagem ent Securtes and Exchange Com m i i 1 F Steet N E,St 6042, , ii sson, 00 r , op
1 W as ngt D C 20549,and s lbe a 4 hi on, hal coom pani by a lter i iyi t ed e t dentf ng he 15 r it asa def em ter enda i t sac i s tng f t t tte a ci lac i num be nt n hi ton; eti or h he il nd vi ton r 1 oft sac i and t nam e oft s Cour ;and s f ng t paym enti m ade 6 hi ton he hi t peciyi hat s

1 pus nt ot sFi lJ me .Dee nts lpa po tj gme i ee to 7 rua t hi na udg nt fnda hal y s-ud ntntrs n 1 a ydei ue ta nt puru nt o28U. C. 1 .TheCo si s al 8 n lnq n mou s s a t S. j 961 mmison h l
19 r i t f em t he undspai pur uantt t spar a t t U nied St t Tr s y. d s o hi agr ph o he t a es ea ul
20 : 21 V. I IS FU RTH ER O RDERED ,A DJUDG ED ,A r T DECR EED t t ha

22 Def nda s lpay a ci lpenaly i t amountof$1, 000. pur uantt e nt hal vi t n he 400, 00 s o

23 Se ton20( o t Se urte Ac,l U. C. 77( , ndSe ton21d( oft ci d) f he c iis t 5 S. j td) a c i ( )3) he 24 Exc ngeAc,1 U. C.j78 d ( .Dee a s l ma t spa ntwihi ha t 5 S. u( )3) fnd nt hal ke hi yme t n
25 1 daysahere r oft s Fi Judgm entby cer ii check,bank cas er s c k, 4 nty hi nal tfed hi ' hec 26 orUnied St t pos alm oney or payabl t t Secur tes and Exc t a es t der e o he ii hange
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Case 2:09-cv-00104-LDG -GWF Document 121

Filed 04/11/12 Page 5 of 5

1 Com m isi The paym ents lbe delver d orm a l t t O f i ofFi s on. hal i e ied o he fce nanci al 2 M ana ent Securtesand Exchange Com m isi 1 F Steet N E,St 6042, gem , ii s on, 00 r , op 3 W as ngt DC 205 and s lbe accom pa ed by a l teri iyi M a co hi on 49, hal ni e t dentf ng r

4 Glss asa def i on endanti t s a i se tng f t t tte and ci lad i num ber n hi cton; ti orh he il vi on 5 oft sacton and t nam e oft s Cour and s f ng t tpaym enti m a hi i he hi q peciyi ha s de

6 purua tt ti Fi l u s n o hs na J dgme .Dee a ts alpa po tj me ti ee ton nt fnd n h l y s-udg n ntr s 7 a d i ue a un spurua tt 28U. C.j1 .TheCommiso s l ny elnq nt mo t s n o S. 961 s in hal
8 r it f em t he undspai pur ua t t spar a t t U nied St t Tr ur d s nt o hi agr ph o he t a es eas y.
9 V1.

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I I FU RTHER O RD ERED ,AD JUDG ED .A N D D ECREED t tt T S ha he

11 Cons ofDef ent endantM ar G lss i i por t her n w ih t s e f ce co i on s ncor a ed ei t he am or
12 a ef ec asi f l se f ' he ei and t Def nd f t f uly t olh r n, t hat endants lc pl w ih al of hal om y t l 13 t underaki and agr ent s tf t t ei he t ngs eem s e orh her n.
14 VI I.

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I I FU RTI ER O RDER ED ,AD JUD GED ,AN D D ECREED t tt s T S I ha hi

1 Cou ts alrti urs ci oft sma trf rt p p e ofe or i t tr 6 r h l eanj iditon hi te o he ur os s nf cng he e ms
17 oft sFi J hi nal udgm ent .
18 VII I.

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Theeben noj tr s nf rdea puru n t Rul 5 b)oft Fe r l r ig us ea o o ly, s a t o e 4( he dea

20 Rul ofCi lPr dur t Cl k i or ed t ent rt sFi J es vi oce e, he er s der o e hi nal udgm ent 21 f t ih a w ihoutf t notce. orhw t nd t urher i
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