Case Activity (169)

1. Order | Filed: December 08, 2025 Securities and Exchange Commission v. Honig et al

   Securities/Commodities | New York Southern

   Order

   FINAL JUDGMENT AS TO DEFENDANT BRIAN KELLER in favor of Securities and Exchange Commission against Brian Keller. NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, direc tly or indirectly, Section 10(b) of the 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 an y national securities exchange, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in or der to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. As furth er set forth herein, IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $125,000 pursuant to Section 20(d)(2) of the Securities Act [15 U.S.C. § 77t(d)(2)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)]. Defendant shall satisfy this obligation by paying $125,000 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. Defendant may transmit payment electronica lly 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 al so 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 MacArt hur Boulevard Oklahoma City, OK 73169 As further set forth herein, IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retainjurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment.VIII.There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of CivilProcedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. SO ORDERED. (Signed by Judge Edgardo Ramos on 12/8/2025) Brian Keller terminated. (ar)

2. Misc | Filed: December 08, 2025 | Entered: December 08, 2025 Securities and Exchange Commission v. Honig et al

   Securities/Commodities | New York Southern

   Notice to Court Regarding Proposed Order

   ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. 374 Proposed Judgment was reviewed and approved as to form. (km)

3. 167 additional result(s)