SECURITIES AND EXCHANGE COMMISSION v. MACK, CV 10-8383-DSF (PJWx). (2016)
Court: District Court, C.D. California
Number: infdco20160902855
Visitors: 11
Filed: Sep. 01, 2016
Latest Update: Sep. 01, 2016
Summary: FINAL JUDGMENT AGAINST DEFENDANT STEVEN ENRICO LOPEZ, SR. DALE S. FISCHER , District Judge . The Securities and Exchange Commission having filed a Complaint and Defendant Steven Enrico Lopez, Sr. having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusio
Summary: FINAL JUDGMENT AGAINST DEFENDANT STEVEN ENRICO LOPEZ, SR. DALE S. FISCHER , District Judge . The Securities and Exchange Commission having filed a Complaint and Defendant Steven Enrico Lopez, Sr. having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusion..
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FINAL JUDGMENT AGAINST DEFENDANT STEVEN ENRICO LOPEZ, SR.
DALE S. FISCHER, District Judge.
The Securities and Exchange Commission having filed a Complaint and Defendant Steven Enrico Lopez, Sr. having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $577,000, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $40,219.55, and a civil penalty in the amount of $150,000 pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)(A)], Section 20 of the Securities Act [15 U.S.C. §77t(d)(2)], and Section 209(e) of the Advisers Act [15 U.S.C. § 80b-9(e)].
IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment.
Source: Leagle
