Try our Advanced Search for more refined results
Searching dockets in Waymaker Llp x
Alert me of new activity
All Case Activity Alerts Include: Answers, Appeals, Complaints, Motions, Orders, Trial Notes
Other Statutes: Administrative Procedures Act/Review or Appeal of Agency Decision | California Central
Minutes of In Chambers Order/Directive - no proceeding held
MINUTE ORDER IN CHAMBERS by Judge David O. Carter: NOTICE RE COMMUNICATION FROM BETTER ANGELS INC. SEE DOCUMENT FOR FURTHER INFORMATION. (twdb)
Securities/Commodities | California Central
Order
FINAL JUDGMENT AS TO DEFENDANT EMBARCADERO CAPITAL ADVISORS, INC., by Judge Fred W. Slaughter. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $25,000, representing net profits gained as a resul t of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $2,505.06, and a civil penalty in the amount of $120,000 pursuant to Section 209(e) of the Advisers Act [15 U.S.C. § 80b-9(e)]. D efendant shall satisfy this obligation by paying $147,505.06 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph IV below after entry of this Final Judgment. SEE DOCUMENT FOR FURTHER INFORMATION. (twdb)
In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.
TRY LAW360 FREE FOR SEVEN DAYS
Already a subscriber? Click here to login
Email (NOTE: Free email domains not supported)
First Name
Last Name
Job Title
PLEASE NOTE: A verification email will be sent to your address before you can access your trial.
Password (at least 8 characters required)
Confirm Password
Law360 may contact you in your professional capacity with information about our other products, services and events that we believe may be of interest.You’ll be able to update your communication preferences via the unsubscribe link provided within our communications.We take your privacy seriously. Please see our Privacy Policy.