Defendant - Appellant, and GUY SCOTT GRIFFITHE; et al., Defendants.

The mandate issued on August 25, 2023 is recalled as issued in error.

   Cyse 2:15-cv-02563-DDP-AS Document 562 Filed 08/10/23 Page3of4 Page ID #:13547 Accounts Receivable Branch

     Cse 2:15-cv-02563-DDP-AS Document 562 Filed 08/10/23 Page 4of4 Page ID #:13548 orderedto be paid as civil penalties pursuant to this Judgmentshall be treated as penalties paid to the governmentforall purposes, including all tax purposes.

To preserve the deterrent effect of the civil penalty, Defendant shall not, after offset or reduction of any award of compensatory damagesin any Related Investor Action based on Defendant’s payment of disgorgementin this action, argue that heis entitled to, nor shall he further benefit by, offset or reduction of such compensatory damages award by the amountof any part of Defendant paymentof a civil penalty in this action (“Penalty Offset’).

If the court in any Related Investor Action grants such a Penalty Offset, Defendant shall, within 30 days after entry of a final order granting the Penalty Offset, notify the Commission’s counselin this action and pay the amount of the Penalty Offset to the United States Treasury or to a Fair Fund,as the Commission directs.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthat this Court shall retain jurisdiction of this matter for the purposes of enforcing the termsofthis Final Judgment.

Oklahoma City, OK 73169 "# $ %&"'  and shall be accompaniedbya letter identifying the casetitle, civil action number,  !

Regardless of whether any such Fair Fund distribution is made, amounts orderedto be paid as civil penalties pursuant to this Judgmentshall be treated as penalties paid to the governmentfor all purposes, including all tax purposes.

To preserve the deterrent effect of the civil penalty, Defendant Barry shall not, after offset or reduction of any award of compensatory damages in any Related Investor Action based on Defendants’ payment of disgorgementin this action, argue that she is entitled to, nor shall she further benefit by, offset or reduction of such compensatory damages award by the amount of any part of Defendant Barry’s paymentofa civil penalty in this action (“Penalty Offset’).

For purposes ofthis paragraph, a “Related Investor Action” meansa private damages action brought against Barry and/or Bak West byor on behalf of one or more investors based on substantially the same facts as alleged in the Complaintin this action.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthatthis Court shall retain jurisdiction of this matter for the purposes of enforcing the termsofthis Final Judgment.

and nameof this Court; Cannon and Century Point as defendants in this action; and  

making these payments, Cannon and Century Point relinquishesall legal and

civil contempt at any time after 30 days following entry of this Final Judgment.

  Cise 2:15-cv-02563-DDP-AS Document 561 Filed 08/10/23 Page 6of6 Page ID #:13544 action brought against Cannon and/or Century Point by or on behalf of one or more investors based on substantially the samefacts as alleged in the Complaintin this action.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthatthis Court shall retain jurisdiction of this matter for the purposes of enforcing the termsofthis Final Judgment.

the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: Defendants’ officers, agents, servants, employees, and

the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: Defendants’ officers, agents, servants, employees, and

Snyder shall satisfy this obligation by paying $102,591.81 to the SEC pursuant to the terms of the payment schedule set forth in paragraph 15 below after entry of this Final Judgment.

prejudgment interest by using all collection procedures authorized by law, including, but not limited to, moving for civil contempt at any time after 30 days following entry of this Final Judgment.

Snyder shall pay the total of disgorgement, prejudgment interest, and penalty due of $102,591.81 in twelve installments to the SEC according to the following schedule: $45,000, within 30 days of entry of this Final Judgment;

Nonetheless, the SEC seeks the same amount of disgorgement from Defendants for failure to register as it sought from PWCG and Calhoun: all of their profits.

1 2 3 4 5 6 7 8 9 The Securities and Exchange Commission having filed a Complaint and Defendant Mark Andrew MacArthur (“MacArthur” or “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.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 206(2) of the Investment Advisers Act of 1940 (“Advisers Act”), 15 U.S.C. § 80b-6(2), as an investment adviser by use of the mails or any means or instrumentality of interstate commerce, directly or indirectly: to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client.

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).

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 1 2 3 4 5 6 7 8 9 Oklahoma City, OK 73169 and shall be accompanied by a letter identifying the case title, civil action number, and name of this Court; Mark Andrew MacArthur as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREEDthatthis Court shall retain jurisdiction of this matter for the purposes of enforcing the termsofthis Final Judgment.

1 2 3 4 5 6 7 8 9 The Securities and Exchange Commission having filed a Complaint and Defendant Robert Allen Gravette (“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.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 206(2) of the Investment Advisers Act of 1940 (“Advisers Act”), 15 U.S.C. § 80b-6(2), as an investment adviser by use of the mails or any means or instrumentality of interstate commerce, directly or indirectly: to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client.

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).

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 207 of the Investment Advisers Act of 1940 (“Advisers Act”), 15 U.S.C. § 80b-7, by: (a) willfully making an untrue statement of a material fact in any registration application or report filed with the Commission under Advisers Act Sections 203 or 204, 15 U.S.C. §§ 80b-3 & 80b-4; or 1 2 3 4 5 6 7 8 9 (b) willfully omitting to state in any such application or report any material fact which is required to be stated therein.

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 1 2 3 4 5 6 7 8 9 and shall be accompanied by a letter identifying the case title, civil action number, and name of this Court; Robert Allen Gravette as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.

The Court granted the motion to intervene and stayed this action until May 22, 2023, with leave to request an extension upon a proper showing.

The Court possesses inherent power to "control the disposition of the causes on its docket with economy of time and effort for itself, for counsel, and for litigants."

In this regard, the movant must make out a clear case of hardship or inequity in being required to go forward, if there is even a fair possibility that the stay for which he prays will work damage to someone else.

“In the absence of substantial prejudice to the rights of the parties involved, simultaneous parallel civil and criminal proceedings are unobjectionable under our jurisprudence.” Id.

The Government claims that premature exposure of sensitive investigative information through the civil discovery process would prejudice prosecution of the criminal case.

Nonetheless, the parties hereby stipulate to and petition the Court to enter the following Stipulated Protective Order.

As set forth in the parties’ prior stipulation, they each seek to complete any other remaining party discovery only after the parties’ attempt to resolve this matter through the mediation.

As set forth in the initial discovery stipulation (ECF 97), the parties agreed to participate in a private mediation to be conducted by the Honorable Jay C. Gandhi (Ret.

6025538 Based on the foregoing stipulation and good cause appearing, the parties respectfully request that the Court enter an order adopting the parties’ amended proposed schedule for completing all remaining discovery.

Bar # 308630) 444 S. Flower Street, Suite 900 Los Angeles, California 90071 Attorneys for Plaintiff Securities and Exchange Commission Dated this 19th day of April 2023.

8984 Spanish Ridge Avenue Las Vegas, Nevada 89148 Attorneys for Defendant Kingston Diversified Holdings Dated this 19th day of April 2023.

For the reasons set forth in the separate order entered this day granting Plaintiff Securities and Exchange Commission’s motion for default judgment against Defendant David J. Bunevacz, it is hereby ordered, adjudged, and decreed that: • Defendant 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: a) to employ any device, scheme, or artifice to defraud; b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person.

a) to employ any device, scheme, or artifice to defraud; b) to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or c) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.

• Defendant is permanently restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption:

• As provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing permanent injunctions also bind 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).

A penny stock is any equity security that has a price of less than five dollars, except as provided in Rule 3a51-1 under the Exchange Act [17 C.F.R. 240.3a51-1].

1 2 3 4 5 6 7 8 9 This matter came before the Court upon Plaintiff Securities and Exchange Commission’s (“SEC”) Motion for Entry of Civil Penalties against defendant NVC Fund, LLC.

The Court, having previously entered an August 25, 2021 Partial Judgment As To Defendant NVC Fund LLC (Dkt. No. 100), and having now considered the memoranda and evidence filed by the parties, and all other argument and evidence presented to it, and good cause appearing therefore, grants the SEC’s Motion and enters this Final Judgment as to NVC Fund, LLC (“Defendant”).

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).

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $968,837 pursuant to Section 21(d)(3) of the Exchange Act, 15 U.S.C. § 78u(d)(3).

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.

1 2 3 4 5 6 7 8 9 This matter came before the Court upon Plaintiff Securities and Exchange Commission’s Motion for Default Judgment against Defendant Patrick Jevon Johnson (“Defendant”).

to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that 1 2 3 4 5 6 7 8 9 Defendant is barred from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock, for a period of ten (10) years from the date of 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; Patrick Jevon Johnson as a defendant in this action; and specifying that payment is made pursuant to this Final Judgment.

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.