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Securities/Commodities | New York Southern
Order
FINAL JUDGMENT AS TO DEFENDANT MICHAEL J. SCOTT: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the &q uot;Exchange Act") [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities excha nge, in connection with the purchase or sale of any security: As further set forth in this Order. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $219,940, plus $41,763 in prejudgment in terest, for a total of $261,703, representing ill-gotten gains as a result of the conduct alleged in the Complaint. As further set forth in this Order. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdi ction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge Paul G. Gardephe on 8/14/2024) Michael J. S cott terminated. (ks) Transmission to Finance Unit (Cashiers) for processing.
ORDER OF DISMISSAL AS TO RELIEF DEFENDANT THOMAS O'NEILL: This Court, having considered Plaintiff Securities and Exchange Commission's Motion for Entry of Final Judgment as to Defendant Brent Whiteley and for Dismissal of Relief Defendan t Thomas O'Neill, and the entire record herein, IT IS HEREBY ORDERED that the claim pending against Relief Defendant Thomas O'Neill is hereby DISMISSED. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/14/2024) Thomas W O'Neill terminated. (ks)
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