Securities and Exchange Commission v. Nguyen et al

2:20-cv-01582 | Arizona District Court

Interested in this case?

Request a Demo Track this case, and find millions of cases like it, let us show you how.
Division Phoenix
Judge Judge Dominic W Lanza
Filed Aug. 11, 2020
Terminated June 11, 2021
Case Flags CLOSED and STD
Nature of Suit 850 Securities, Commodities, Exchange
Cause 15:78m(a) Securities Exchange Act
Jury Demand Defendant
Last Updated: 1 year, 5 months ago Show Interactive Timeline
Filing Date # Docket Text
6/11/2021
  • Motion for Judgment
CONSENT JUDGMENT - Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934. Defendant is liable for disgorgement of $2,287, together with prejudgment interest thereon in the amount of $264.34, and a civil penalty in the amount of $15,000. Defendant shall satisfy this obligation by paying $17,551.34 to the Securities and Exchange Commission within one year after entry of this Final Judgment. this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. the Clerk shall enter this Final Judgment forthwith and without further notice. Signed by Judge Dominic W Lanza on 6/10/21. (DXD) (Entered: 06/11/2021)
6/11/2021
  • OrderGranted
ORDER granting 24 Motion for a Consent Decree. The consent decree shall issue separately. Signed by Judge Dominic W Lanza on 6/10/21. (DXD) (Entered: 06/11/2021)
6/4/2021
  • Motion
Joint MOTION Consent of Defendant Adam Michael Reed by Securities and Exchange Commission. (Attachments: # 1 [Proposed] Final Judgment)(Blau, Daniel) *Modified to correct event on 6/10/2021 (DXD). (Entered: 06/04/2021)
11/18/2020
  • Order
SEALED ORDER...See Order for Details. Signed by Judge Dominic W Lanza on 11/18/20. (cc: All Cnsl) (MAP) (Entered: 11/18/2020)
11/18/2020Sealed Ex Parte Notice of Change in CJA Status by Adam Michael Reed. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(MAP) (Entered: 11/18/2020)
11/18/2020
  • Motion to SealGranted
ORDER granting 19 Motion to Seal. The Clerk of Court is directed to file the Notice and attached exhibits (Doc. 20 ) under seal. Signed by Judge Dominic W Lanza on 11/17/20. (MAP) (Entered: 11/18/2020)
11/2/2020*FILED at Doc. 22 *SEALED LODGED Proposed Notice of Change in CJA Status re: 19 Motion to Seal. Document to be filed by Clerk if Motion or Stipulation to Seal is granted. Filed by Adam Michael Reed. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Eisenberg, David) *Modified to add link to motion to seal on 11/3/2020 (CEI). *Modified on 11/18/2020 (MAP). (Entered: 11/02/2020)
11/2/2020
  • Motion to Seal
MOTION to Seal Document (Notice of Change in CJA Status by Adam Michael Reed. (Attachments: # 1 Text of Proposed Order)(Eisenberg, David) (Entered: 11/02/2020)
10/28/2020
  • Scheduling Order
SCHEDULING ORDER: Discovery due by 6/15/2021. Dispositive motions due by 10/18/2021 [see attached Order for details]. Signed by Judge Dominic W Lanza on 10/28/20. (MAW) (Entered: 10/28/2020)
10/28/202017
  • Order
ORDER: The Court, having reviewed the parties' joint Rule 26(f) report (Doc. 16 ), concludes it is unnecessary to hold a Rule 16 Case Management Conference. The Court will separately issue the Case Management Order. Counsel are to note at Item 11 of the Case Management Order that the deadlines are real, and the Court will enforce the deadlines set forth in the Order. The parties should plan their litigation activities accordingly. Ordered by Judge Dominic W Lanza on 10/28/20. This is a TEXT ENTRY ONLY. There is no PDF document associated with this entry. (MAW) (Entered: 10/28/2020)
10/26/2020REPORT of Rule 26(f) Planning Meeting by Securities and Exchange Commission. (Blau, Daniel) (Entered: 10/26/2020)
9/1/202015NOTICE TO FILER OF DEFICIENCY re: 13 Answer to Complaint filed by Adam Michael Reed. Document not in compliance with LRCiv LRCiv 7.1(a)(3). Caption is incorrect. No further action is required. This is a TEXT ENTRY ONLY. There is no PDF document associated with this entry. (GMP) (Entered: 09/01/2020)
8/31/2020
  • Order
ORDER: IT IS ORDERED as follows: The parties are directed to confer and develop a Rule 26(f) Joint Case Management Report, which must be filed no later than October 26, 2020 [see attached Order for details]. Signed by Judge Dominic W Lanza on 8/31/20. (MAW) (Entered: 08/31/2020)
8/31/2020
  • Answer
Defendant Adam Michael Reed's ANSWER to 1 Complaint with Jury Demand by Adam Michael Reed.(Eisenberg, David) (Entered: 08/31/2020)
8/31/2020NOTICE re: Service by Securities and Exchange Commission re: 7 Order, Set Deadlines upon Defendant Adam Michael Reed. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Blau, Daniel) (Entered: 08/31/2020)
8/31/2020SERVICE EXECUTED filed by Securities and Exchange Commission: Rule 4 Waiver of Service of Summons. Waiver sent on August 11, 2020 to Adam Michael Reed . (Blau, Daniel) (Entered: 08/31/2020)
8/28/2020NOTICE of Appearance by David S Eisenberg on behalf of Adam Michael Reed. (Eisenberg, David) (Entered: 08/28/2020)
8/13/2020
  • Motion for Judgment
JUDGMENT AS TO DEFENDANT ANTHONY XAVIER MOYA - IT IS ORDERED, ADJUDGED, AND DECREED that Moya is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (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 any national securities exchange, in connection with the purchase or sale of any security (1) to employ any device, scheme, or artifice to defraud; (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements not misleading, in the light of the circumstances under which they were made; or (3) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person.IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Moya shall comply with all of the undertakings and agreements set forth therein.IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this 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 Judgment forthwith and without further notice. See document for further details. Signed by Judge Dominic W Lanza on 8/12/20. (GMP) (Entered: 08/13/2020)
8/13/2020
  • Motion for Judgment
JUDGMENT AS TO DEFENDANT VU ANH NGUYEN - IT IS ORDERED, ADJUDGED, AND DECREED that Nguyen is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (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 any national securities exchange, in connection with the purchase or sale of any security (1) to employ any device, scheme, or artifice to defraud; (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements not misleading, in the light of the circumstances under which they were made; or (3) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Nguyen shall comply with all of the undertakings and agreements set forth therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this 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 Judgment forthwith and without further notice. See document for further details. Signed by Judge Dominic W Lanza on 8/12/20. (GMP) (Entered: 08/13/2020)
8/11/2020
  • Order
PRELIMINARY ORDER: IT IS ORDERED: 1. That Plaintiff(s) must promptly serve a copy of this Order on Defendant (s) and file a notice of service with the Clerk of Court; 2. That, unless the Court orders otherwise, on November 10, 2020, the Clerk of Court shall terminate without further notice any Defendant in this action that has not been served pursuant to Rule 4(m) of the Federal Rules of Civil Procedure [see attached Order for details]. Signed by Judge Dominic W Lanza on 8/11/20. (MAW) (Entered: 08/11/2020)
8/11/2020NOTICE of Settlement Consent of Defendant Anthony Xavier Moya by Securities and Exchange Commission. (Attachments: # 1 [Proposed] Judgment)(Blau, Daniel) (Entered: 08/11/2020)
8/11/2020NOTICE of Settlement Consent of Defendant Vu Anh Nguyen by Securities and Exchange Commission. (Attachments: # 1 [Proposed] Judgment)(Blau, Daniel) (Entered: 08/11/2020)
8/11/2020Summons Issued as to Anthony Xavier Moya, Vu Anh Nguyen, Adam Michael Reed. (Attachments: # 1 Summons, # 2 Summons)(MCO). *** IMPORTANT: When printing the summons, select "Document and stamps" or "Document and comments" for the seal to appear on the document. (Entered: 08/11/2020)
8/11/2020This case has been assigned to the Honorable Dominic W Lanza. All future pleadings or documents should bear the correct case number: CV-20-1582-PHX-DWL. Notice of Availability of Magistrate Judge to Exercise Jurisdiction form attached. (MCO) (Entered: 08/11/2020)
8/11/2020SUMMONS Submitted by Securities and Exchange Commission. (Blau, Daniel) (Attachments: # 1 Summons, # 2 Summons)(MCO) (Entered: 08/11/2020)
8/11/2020
  • Complaint
COMPLAINT filed by Securities and Exchange Commission. (Blau, Daniel) (Attachments: # 1 Civil Cover Sheet)(MCO) (Entered: 08/11/2020)