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No. 4-3 MOTION by Plaintiff United States Securities and Exchange Commission for judgment by Consent ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 4-3 (N.D.Ill. Mar. 29, 2023)
14,—In connection with this action and any related judicial or administrative proceeding or investigation commenced by the Commission or to which the Commissionis a party, Defendant(i) agrees to appear and be interviewed by Commission staff at such times and placesas the staff requests upon reasonable notice;(ii) will accept service by mail or facsimile transmission of notices or subpoenasissued by the Commission for documentsor testimony at depositions, hearings,ortrials, or in connection with any related investigation by Commission staff; (iii) appoints Defendant’s undersigned attorneyas agentto receive service of such notices and subpoenas;(iv) with respect to such notices and subpoenas, waivestheterritorial limits on service contained in Rule 45 of the Federal Rules of Civil Procedure and any applicable local rules, providedthat the party requesting the testimony reimburses Defendant’s travel, lodging, and subsistence expensesat the then-prevailing U.S. Governmentperdiem rates; and (v) consents to personaljurisdiction over Defendant in any United States District Court for purposes of enforcing any such subpoena.
The United States Securities and Exchange Commission (“Commission”) havingfiled a Complaint and Defendant Randolph Bay Abbott (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter ofthis action; consented to entry of this Final Judgment without admitting or denyingtheallegations of the Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph VI); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS HEREBY ORDERED, ADJUDGED, AND DECREEDthat Defendantis permanently restrained and enjoined from,directly or indirectly, controlling any person who violates Section 5 of the Securities and Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78e], by making use of the mails and the meansand instrumentalities of interstate commerce for the purposeofusing any facility of trading platforms that constitute exchanges within or subject to the jurisdiction of the United States, in order to effect transactionsin a security, or to report any suchtransaction, withoutregistering as national securities exchange under Exchange Act Section 6 [15 U.S.C. § 78f], and without being exempted from suchregistration, unless Defendantacts in good faith and does not directly or indirectly induce the actor acts constituting the violation, IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice ofthis Final Judgmentby personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other personsin active concert or participation with Defendant or with anyone describedin (a).
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat,as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other personsin active concert or participation with Defendant or with anyone describedin (a).
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgmentby personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other personsin active concert or participation with Defendant or with anyone describedin (a).
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No. 4-6 MOTION by Plaintiff United States Securities and Exchange Commission for judgment by Consent ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 4-6 (N.D.Ill. Mar. 29, 2023)
In connection with this action and any related judicial or administrative proceeding or investigation commenced by the Commission or to which the Commissionis a party, Defendant(i) agrees to appear and be interviewed by Commissionstaff at such times and placesas the staff requests upon reasonablenotice;(ii) will accept service by mail or facsimile transmission of notices or subpoenas issued by the Commission for documentsor testimony at depositions, hearings, ortrials, or in connection with any related investigation by Commission staff; (ili) appoints Defendant’s undersigned attorney as agentto receive service of such notices and subpoenas;(iv) with respect to such notices and subpoenas, waivestheterritorial limits on service contained in Rule 45 of the Federal Rules of Civil Procedure and any applicable local rules, provided that the party requesting the testimony reimburses Defendant’s travel, lodging, and subsistence expensesat the then-prevailing U.S. Governmentper diem rates; and (v) consents to personaljurisdiction over Defendant in any United States District Court for purposes of enforcing any such subpoena.
Dated:__March 22, 2023 Windy Finaneis LLC By: ZA Lo f-fFop Name”~seitesMur Title: Co-Presid at/ Address: 8 The Green, Suite A Dover, DE 19901 On March 22, icholas~Miirph personally appeared before me and acknowledged executing the foregoing Consent.
The United States Securities and Exchange Commission (“Commission”) havingfiled a Complaint and Defendant Windy Financial LLC (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter ofthis action; consentedto entry of this Final Judgment without admitting or denyingthe allegations of the Complaint (except as to jurisdiction); waived findingsof fact and conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat, as providedin Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraphalso binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other personsin active concert or participation with Defendant or with anyone describedin (a).
Defendant may also 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 MacArthur Boulevard Oklahoma City, OK 73169 and shall be accompaniedbya letter identifying the casetitle, civil action number, and name of this Court; Defendant Windy Financial LLC as a defendantin this action; and specifying that payment is made pursuant to this Final Judgment.
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No. 4-8 MOTION by Plaintiff United States Securities and Exchange Commission for judgment by Consent ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 4-8 (N.D.Ill. Mar. 29, 2023)
In the event that there is a merger, acquisition, disposition of assets (including the sale of any intellectual property and internet domain name associated with the Beaxy Platform), name change, or other changein the corporate structure of Windy, any such transaction shall be memorialized in a written agreementthat shall require the successor-in-interest to abide by the terms of these undertakings; and
In connection with this action and any related judicial or administrative proceeding or investigation commenced by the Commission or to which the Commissionis a party, Defendant(i) agrees to appear and be interviewed by Commission staff at such times and places as the staff requests upon reasonablenotice;(ii) will accept service by mail or facsimile transmission of notices or subpoenas issued by the Commission for documents or testimony at depositions, hearings,or trials, or in connection with any related investigation by Commission staff; (iii) appoints Defendant’s undersigned attorney as agent to receive service of such notices and subpoenas;(iv) with respect to such notices and subpoenas, waivesthe territorial limits on service contained in Rule 45 of the Federal Rules of Civil Procedure and any applicable local rules, provided that the party requesting the testimony reimburses Defendant’s travel, lodging, and subsistence expensesat the then-prevailing U.S. Governmentper diem rates; and (v) consentsto personaljurisdiction over Defendant in any United States District Court for purposes of enforcing any such subpoena.
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Brian Peterson (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matterof this action; consentedto entry of this Final Judgment without admitting or denyingthe allegations of the Complaint(except as to jurisdiction and except as otherwise provided herein in paragraph IV); waived findings of fact and conclusions of law; and waived anyright to appeal from this Final Judgment:
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personalservice or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone describedin (a).
Defendant mayalso 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 MacArthur Boulevard Oklahoma City, OK 73169 and shall be accompaniedbya letter identifying the casetitle, civil action number, and name of this Court; Defendant Brian Peterson as a defendantin this action; and specifying that paymentis made pursuantto this Final Judgment.
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No. 4-4 MOTION by Plaintiff United States Securities and Exchange Commission for judgment by Consent ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 4-4 (N.D.Ill. Mar. 29, 2023)
In connection with this action and any related judicial or administrative proceeding or investigation commenced by the Commission or to which the Commission is a party, Defendant (i) agrees to appear and be interviewed by Commissionstaff at such times and placesasthe staff requests upon reasonable notice; (ii) will accept service by mail or facsimile transmission of notices or subpoenas issued by the Commission for documentsortestimonyat depositions, hearings,ortrials, or in connection with any related investigation by Commission staff; (iii) appoints Defendant’s undersigned attorney as agent to receive service of such notices and subpoenas;(iv) with respect to such notices and subpoenas, waivestheterritorial limits on service contained in Rule 45 of the Federal Rules of Civil Procedure and any applicable local rules, provided that the party requesting the testimony reimburses Defendant’stravel, lodging, and subsistence expensesat the then-prevailing U.S. Governmentper diem rates; and (v) consents to personaljurisdiction over Defendant in any United States District Court for purposes of enforcing any such subpoena.
Brian _» do herebycertify that I am the duly elected, qualified and acting President of I, Peterson Braverock Investments LLC (“Braverock”), an Illinois corporation, and that the following is a complete and accurate copy of a resolution adopted by the Board of Directors of Braverock at a meeting held on March 22 , 2023 at which a quorum waspresent and resolved as follows: Brian _, an Officer of this Corporation, be and hereby is RESOLVED:That peterson authorized to act on behalf of the Corporation, and in his sole discretion, to negotiate, approve, and makethe offer of settlement of Braverock, attached hereto, to the United States Securities and Exchange Commission (“Commission”) in connection with the investigation conducted by the Commission; in this connection, the aforementioned Officer be and hereby is authorized to undertake such actions as he may deem necessary and advisable, including the execution of such documentation as may be required by the Commission,in order to carry out the foregoing.
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Braverock Investments, LLC (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter ofthis action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgmentby personalservice or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and(b) other personsin active concert or participation with Defendant or with anyone describedin (a).
Defendant may also 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 MacArthur Boulevard Oklahoma City, OK 73169 and shall be accompaniedbya letter identifying the casetitle, civil action number, and nameof this Court; Defendant Braverock Investments, LLC as a defendantin this action; and specifying that payment is made pursuantto this Final Judgment.
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No. 4-1 MOTION by Plaintiff United States Securities and Exchange Commission for judgment by Consent ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 4-1 (N.D.Ill. Mar. 29, 2023)
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Windy Inc. (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matterof this action; consented to entry of this Final Judgment without admitting or denyingthe allegationsof the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment:
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat,as providedin Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other personsin active concert or participation with Defendant or with anyone describedin (a).
IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat Defendantis liable for disgorgement of $10,779, representing net profits gained asa result of the conductalleged in the Complaint, together with prejudgment interest thereon in the amount of $1,177.75.
Payment may also be madedirectly from a bank account via Pay.gov through the SEC website at http:// m. Defendant may also 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 MacArthur Boulevard Oklahoma City, OK 73169 and shall be accompaniedbya letter identifying the case title, civil action number, and name of this Court; Defendant Windy Inc.as a defendantin this action; and specifying that paymentis made pursuant to this Final Judgment.
The Commission may enforce the Court’s judgmentfor disgorgement and prejudgment interest by using all collection procedures authorized by law,including, but not limitedto, movingfor civil contemptat any time after 30 days following entry of this Final Judgment.
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