• All Courts
  • Federal Courts
  • Bankruptcies
  • PTAB
  • ITC
Track Search
Export
Download All
40 results

United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al

Docket 1:23-cv-01962, Illinois Northern District Court (Mar. 29, 2023)
Honorable LaShonda A. Hunt, presiding
Securities, Commodities, Exchange
DivisionChicago
FlagsCOLE, REOPEN, TERMED
Cause15:78m(a) Securities Exchange Act
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
Plaintiff United States Securities and Exchange Commission
Defendant Beaxy Digital, Ltd.
Defendant Artak Hamazaspyan
...
cite Cite Docket

U.S. Securities and Exchange Commission v. Northridge Holdings, Ltd. et al

Docket 1:19-cv-05957, Illinois Northern District Court (Sept. 5, 2019)
Honorable Franklin U. Valderrama, presiding
Securities, Commodities, Exchange
DivisionChicago
FlagsHOLLEB HOTALING, MIDP, PROTO
Cause15:77 Securities Fraud
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
Deadlinewhich was filed on 07/10/2024 and uploaded to the docket on 07/15/2025.
Plaintiff U.S. Securities and Exchange Commission
Defendant Northridge Holdings, Ltd.
Defendant Southridge Holdings, Ltd.
...

Securities Exchange Commission v. River North Equity LLC et al

Docket 1:19-cv-01711, Illinois Northern District Court (Mar. 11, 2019)
Honorable Sunil R. Harjani, presiding, Honorable Keri L. Holleb Hotaling
Securities, Commodities, Exchange
DivisionChicago
FlagsCASREF, HOLLEB HOTALING, MIDP, STAYED
Cause12:22 Securities Fraud
Case Type850 Securities, Commodities, Exchange
Tags850 Securities, Commodities, Exchange, 850 Securities, Commodities, Exchange
DeadlineThe Court adopts the District Court's firm fact discovery deadline of 4/30/2025., Discovery shall proceed and all fact discovery shall close by 4/30/25, with an expert discovery schedule to be set at a later time.
DeadlineAn in-person status hearing is set for 5/8/2025 at 9:30 a.m. Mailed notice (lxs, ) (Entered: 12/16/2024)
Plaintiff U.S. Securities and Exchange Commission
Defendant River North Equity LLC
Defendant Edward M Liceaga
...
cite Cite Docket

No. 23 ENTERED FINAL JUDGMENT AS TO DEFENDANT FUTURE FINANCIAL LLC

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 23 (N.D.Ill. Apr. 3, 2023)
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Future Financial LLC (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter of this 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 HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 15(a)(1) of the Securities and Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78o(a)(1)], by making use of the mails and the means and instrumentalities of interstate commerce to effect any transactions in, or to induce or attempt to induce the purchase or sale of, any security, without registering as a dealer, and without being exempted from such registration.
IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $52,000, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $3,807.47, jointly and severally with co-defendants Braverock Investments, LLC, Future Digital Markets, Inc., and Windy Financial LLC.
The Court finds that sending the disgorged funds to the United States Treasury, as ordered below, is consistent with equitable principles.
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 accompanied by a letter identifying the case title, civil action number, and name of this Court; Defendant Future Financial LLC as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.
cite Cite Document

No. 16 ENTERED JUDGMENT AS TO DEFENDANT WINDY INC

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 16 (N.D.Ill. Apr. 3, 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 matter of this 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 HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 17A of the Exchange Act [15 U.S.C. § 78q-1], by making use of the mails and the means and instrumentalities of interstate commerce to perform the functions of a clearing agency with respect to securities, without registering in accordance to Section 17A of the Exchange Act and without being exempted from registration.
IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $10,779, representing net profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $1,177.75.
Destroy or otherwise make unavailable for trading, selling, offering, or purchasing any and all BXY in Defendant’s possession or control within 10 days of the date of the Final Judgment;
Refrain, directly or indirectly, from soliciting any crypto asset trading platform to allow trading in BXY and from offering or selling, directly or indirectly, BXY, unless such offering is properly registered under applicable laws, including, but not limited to, the Securities Act, or unless otherwise being in compliance with federal securities laws;
cite Cite Document

No. 18 FINAL JUDGMENT AS TO DEFENDANT NICHOLAS MURPHY Signed by the Honorable Lindsay C. Jenkins on ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 18 (N.D.Ill. Apr. 3, 2023)
Motion for Judgment
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Nicholas Murphy (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations 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:
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 accompanied by a letter identifying the case title, civil action number, and name of this Court; Defendant Nicholas Murphy as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.
Destroy or otherwise make unavailable for trading, selling, offering, or purchasing any and all BXY in Windy’s possession or control within 10 days of the date of the Final Judgment;
Refrain, directly or indirectly, from soliciting any crypto asset trading platform to allow trading in BXY and from offering or selling, directly or indirectly, BXY, unless such offering is properly registered under applicable laws, including, but not limited to, the Securities Act, or unless otherwise being in compliance with federal securities laws;
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 Final Judgment.
cite Cite Document

No. 21 ENTERED FINAL JUDGMENT AS TO DEFENDANT FUTURE DIGITAL MARKETS, INC

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 21 (N.D.Ill. Apr. 3, 2023)
The United States Securities and Exchange Commission (“Commission”) having filed a Complaint and Defendant Future Digital Markets, Inc. (“Defendant”) having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter of this 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 HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 15(a)(1) of the Securities and Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78o(a)(1)], by making use of the mails and the means and instrumentalities of interstate commerce to effect any transactions in, or to induce or attempt to induce the purchase or sale of, any security, without registering as a dealer, and without being exempted from such registration.
IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, 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 persons in active concert or participation with Defendant or with anyone described in (a).
The Court finds that sending the disgorged funds to the United States Treasury, as ordered below, is consistent with equitable principles.
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 accompanied by a letter identifying the case title, civil action number, and name of this Court; Defendant Future Digital Markets, Inc. as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.
cite Cite Document

No. 24 ENTERED FINAL JUDGMENT AS TO DEFENDANT BRIAN PETERSON Signed by the Honorable Lindsay C. Jenkins ...

Document United States Securities and Exchange Commission v. Beaxy Digital, Ltd. et al, 1:23-cv-01962, No. 24 (N.D.Ill. Apr. 3, 2023)
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 matter of this action; consented to entry of this Final Judgment without admitting or denying the 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 any right to appeal from this Final Judgment:
IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 15(a)(1) of the Securities and Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78o(a)(1)], by making use of the mails and the means and instrumentalities of interstate commerce to effect any transactions in, or to induce or attempt to induce the purchase or sale of, any security, without registering as a dealer, and without being exempted from such registration.
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 accompanied by a letter identifying the case title, civil action number, and name of this Court; Defendant Brian Peterson as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.
Destroy or otherwise make unavailable for trading, selling, offering, or purchasing any and all BXY in Windy’s possession or control within 10 days of the date of the Final Judgment;
Refrain, directly or indirectly, from soliciting any crypto asset trading platform to allow trading in BXY and from offering or selling, directly or indirectly, BXY, unless such offering is properly registered under applicable laws, including, but not limited to, the Securities Act, or unless otherwise being in compliance with federal securities laws;
cite Cite Document
1 2 3 4 >>