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Securities and Exchange Commission v. Davis

United States District Court, C.D. California

January 10, 2020

SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
ROBERT “LUTE” DAVIS, et al., Defendants.

          CHRISTINE NESTOR Attorney for Plaintiff Securities and Exchange Commission

          LOCAL COUNSEL DONALD W. SEARLES

          JUDGMENT AS TO DEFENDANT KOCH INSURANCE BROKERS, LLC

          FERNANDO M. OLGUIN UNITED STATES DISTRICT JUDGE

         The Securities and Exchange Commission having filed a First Amended Complaint and Defendant Koch Insurance Brokers, LLC (“Defendant” or “Koch Insurance”) 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 Judgment without admitting or denying the allegations of the First Amended Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Judgment:

         I.

         PERMANENT INJUNCTIVE RELIEF

         A.

         Section 5 of the Securities Act of 1933 (“Securities Act”)

         IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption:

(a) Unless a registration statement is in effect as to a security, making use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise;
(b) Unless a registration statement is in effect as to a security, carrying or causing to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale; or
(c) Making use of any means or instruments of transportation or communication in interstate commerce or of the mails to offer to sell or offer to buy through the use or medium of any prospectus or otherwise any security, unless a registration statement has been filed with the Commission as to such security, or while the registration statement is the subject of a refusal order or stop order or (prior to the effective date of the registration statement) any public proceeding or examination under Section 8 of the Securities Act [15 U.S.C. § 77h].

         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 ...


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