| Court: | flsd |
| Docket #: | 9:00-cv-09110 |
| Case Name: | U.S. - SEC v. Brooks, et al |
| PACER case #: | 249597 |
| Date filed: | 2000-12-20 |
| Date terminated: | 2001-01-12 |
| Assigned to: | Senior Judge Kenneth L. Ryskamp |
| Case Cause: | 15:0078 Securities Exchange Act |
| Nature of Suit: | 850 Securities/Commodities |
| Jury Demand: | None |
| Jurisdiction: | U.S. Government Plaintiff |
| Represented Party | Attorney & Contact Info |
| United States Securities and Exchange Commission Plaintiff |
Erich T. Schwartz Thomas Newkirk |
| Franklin W. Brooks Defendant |
|
| John L. Gardner Defendant |
| Date Filed | Document # | Attachment # | Short Description | Long Description | Upload date | SHA1 hash |
| 2000-12-20 | 1 | 0 | COMPLAINT filed; FILING FEE Waived A-3 AEV (nt, Deputy Clerk) (Entered: 12/20/2000) | 2013-06-24 02:42:40 | 48873608feb965d6aa82ff9de9cac87532154509 | |
| 2000-12-20 | 2 | 0 | NOTICE of Filing Consent and Undertakings by U.S. - SEC (nt, Deputy Clerk) (Entered: 12/20/2000) | |||
| 2000-12-20 | 3 | 0 | CONSENT AND UNDERTAKINGS of Franklin W. Brooks by U.S. - SEC (nt, Deputy Clerk) (Entered: 12/20/2000) | |||
| 2000-12-20 | 4 | 0 | CONSENT AND UNDERTAKINGS of John L. Gardner by U.S. - SEC (nt, Deputy Clerk) (Entered: 12/20/2000) | |||
| 2000-12-21 | 5 | 0 | ORDER OF PRETRIAL PROCEDURES (Signed by Judge Kenneth L. Ryskamp on 12/21/00) CCAP [EOD Date: 12/22/00] (at, Deputy Clerk) (Entered: 12/22/2000) | |||
| 2001-01-12 | 6 | 0 | FINAL JUDGMENT AS TO FRANKLIN W. BROOKS for U.S. - SEC against Franklin W. Brooks for amount of $55,000.00 pursuant to Section 21(d)(3) of the Exchange Act [15 U.S.C.78u(d)(3)]. Brooks shall deliver, within fourteen (14) business days of the entry of the FINAL JUDGMENT, a United States postal money order, certified check, bank cashier's check, or bank money order in the amount of $55,000.00 representing the civil penalties described in paragraph III. Brooks shall fully comply with his undertakings as set forth in the annexed CONSENT. This Court shall retain jurisdiction of this action for all purposes, including implementation and enforcement of this FINAL JUDGMENT. Clerk of Court is directed to enter this FINAL JUDGMENT forthwith. The Clerk shall CLOSE this case and DENY all pending motions as MOOT. (Signed by Judge Kenneth L. Ryskamp 01/12/01) CCAP [EOD Date: 1/16/01] (at, Deputy Clerk) (Entered: 01/16/2001) | 2013-06-24 02:42:38 | b59def71c3359329ab2fce6fbfd51e6c77028687 | |
| 2001-01-12 | 7 | 0 | FINAL JUDGMENT AS TO JOHN L. GARDNER for U.S. - SEC against John L. Gardner for amount of $55,000.00. GARDNER shall deliver, within fourteen (14) business days of the entry of the FINAL JUDGMENT, a United States postal money order, certified check, bank cashier's check, or bank money order in the amount of $55,000.00 representing the civil penalties described in paragraph III. GARDNER shall fully comply with his undertakings as set forth in the annexed CONSENT. This Court shall retain jurisdiction of this action for all purposes, including implemantation and enforcement of this FINAL JUDGMENT. The Clerk of Court is hereby directed to enter this FINAL JUDGMENT. The Clerk of Court shall CLOSE this case and DENY all pending motions as MOOT. (Signed by Judge Kenneth L. Ryskamp on 01/12/01) CCAP [EOD Date: 1/16/01] (at, Deputy Clerk) (Entered: 01/16/2001) | 2013-06-24 02:43:20 | a41b063d17e27e34e104d6022ecca450ef23a6b5 |