United States District Court, C.D. California, Western Division
[PROPOSED] FINAL JUDGMENT AS TO DEFENDANT CHRISTOPHER
MICHAEL NEUMANN
The
Securities and Exchange Commission having filed a Complaint
and Defendant Christopher Michael Neumann 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 and except as otherwise provided herein in
paragraph III); waived findings of fact and conclusions of
law; and waived any right to appeal from this Final Judgment:
I.
IT IS
HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is
permanently restrained and enjoined from violating, directly
or indirectly, Section 15(a)(1) of the Exchange Act [15
U.S.C. § 78o(a)(1)] by using any means or
instrumentality of interstate commerce, or of the mails, or
of any facility of any national securities exchange, to
effect transactions in, or induce or attempt to induce the
purchase or sale of, securities while not registered with the
Commission as a broker or dealer or while not associated with
an entity registered with the Commission as a broker or
dealer.
IT IS
FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in
Federal Rule of Civil Procedure 65(d)(2), the foregoing
paragraph also binds the following who receive actual notice
of this Judgment by personal service or otherwise: (a)
Defendant's officers, agents, servants, employees, and
attorneys; and (b) other persons in active concert or
participation with Defendant or with anyone described in (a).
II.
IT IS
FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is
liable for disgorgement of $124, 099.84, representing profits
gained as a result of the conduct alleged in the Complaint,
together with prejudgment interest thereon in the amount of
$14, 876.48 and a civil penalty in the amount of $50, 000.00
pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C.
§ 78u(d)(3)]. Defendant shall satisfy this obligation by
paying the amounts set forth above to the Securities and
Exchange Commission within 30 days after entry of this Final
Judgment.
Defendant
may transmit payment electronically to the Commission, which
will provide detailed ACH transfer/Fedwire instructions upon
request. Payment may also be made directly from a bank
account via Pay.gov through the SEC website at
http://www.sec.gov/about/offices/ofm.htm. Defendant
may also pay by certified check, bank cashier's check, or
United States postal money order payable to the Securities
and Exchange Commission, which shall be delivered or mailed
to
Enterprise Services Center
Accounts Receivable Branch
6500 South MacArthur Boulevard
Oklahoma City, OK 73169
and
shall be accompanied by a letter identifying the case title,
civil action number, and name of this Court; Christopher
Michael Neumann as a defendant in this action; and specifying
that payment is made pursuant to this Final Judgment.
Defendant
shall simultaneously transmit photocopies of evidence of
payment and case identifying information to the
Commission's counsel in this action. By making this
payment, Defendant relinquishes all legal and equitable
right, title, and interest in such funds and no part of the
funds shall be returned to Defendant. The Commission shall
send the funds paid pursuant to this Final Judgment to the
United States Treasury.
The
Commission may enforce the Court's judgment for
disgorgement and prejudgment interest by moving for civil
contempt (and/or through other collection procedures
authorized by law) at any time after 30 days following entry
of this Final Judgment. Defendant shall pay post ...