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).