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Securities and Exchange Commission v. Gross

United States District Court, C.D. California

February 12, 2014

SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
DEAN P. GROSS and GREGORY W. LASER, Defendants.

JOHN W. BERRY (bar admission pending, L.R. 83-2.4.1), SOLOMON R. MANGOLINI, Cal. Bar No. 149811, Attorneys for Plaintiff, Securities and Exchange Commission, Michele Wein Layne, Regional Director, John W. Berry, Regional Trial Counsel, Los Angeles, California.

[AMENDED PROPOSED] FINAL JUDGMENT AS TO DEFENDANT GREGORY W. LASER

CHRISTINA A. SNYDER, District Judge.

The Court, having considered the motion of Plaintiff Securities and Exchange Commission ("SEC") to set disgorgement and civil penalties, and for entry of final judgment, against Defendant Gregory W. Laser ("Defendant"), hereby orders, adjudges and decrees as follows:

I.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant's agents, servants, employees, attorneys, and all persons in active concert or participation with them who receive actual notice of this Final Judgment by personal service or otherwise and each of them, be and hereby are permanently restrained and enjoined from, directly or indirectly, making use of any means or instruments of transportation or communication in interstate commerce or of the mails, to sell, to offer to sell, or to offer to buy any security, or carrying or causing securities to be carried through the mails or in interstate commerce, by any means or instruments of transportation, for the purpose of sale or delivery after sale, in violation of Sections 5(a) and 5(c) of the Securities Act of 1933 (the "Securities Act"), 15U.S.C. §§ 77(e)(a) and 77(e)(c).

II.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant and his officers, agents, servants, employees, attorneys, subsidiaries and affiliates, and those persons in active concert or participation with any of them, who receive actual notice of this Final Judgment, by personal service or otherwise, and each of them, be and hereby are permanently restrained and enjoined from, directly or indirectly, in the offer or sale of any securities, by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails:

A. employing any device, scheme or artifice to defraud;
B. obtaining money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or
C. engaging in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser,

in violation of Section 17(a) of the Securities Act, 15 U.S.C. § 77q(a).

III.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant, and his officers, agents, servants, employees, attorneys, subsidiaries and affiliates, and those persons in active concert or participation with any of them who receive actual notice of this Final Judgment, by personal service or otherwise, and each of them, be and hereby are permanently restrained and enjoined from, directly or indirectly, in connection with the purchase or sale of any security, by the use of ...


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