This case was last updated from PACER on 11/26/2018 at 07:14:45 (UTC).

United States Securities and Exchange Commission v. Musk

Case Summary

On 09/27/2018 United States Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Musk. This case was filed in U.S. District Courts, New York Southern District. The Judge overseeing this case is Alison J. Nathan. The case status is Disposed - Other Disposed.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:18-CV-08865

  • Filing Date:

    09/27/2018

  • Case Status:

    Disposed - Other Disposed

  • Case Type:

    Finance - Security/Commodity/Exchange

  • Court:

    U.S. District Courts

  • Courthouse:

    New York Southern District

Judge Details

Presiding Judge

Alison J. Nathan

 

Party Details

Plaintiff

United States Securities and Exchange Commission

Defendant

Elon Musk

Attorney/Law Firm Details

Plaintiff Attorneys

Jina Lee Choi

Attorney at Securities and Exchange Commission

44 Montgomery Street, Suite 2800

San Francisco, CA 94104

Edward Barrett Atwood

Attorney at Securities and Exchange Commission ( San Francisco )

44 Montgomery Street, 26Th Floor

San Francisco, CA 94104

Cheryl L. Crumpton

Attorney at Securities and Exchange Commission (DC)

100 F Street, N.E.

Washington, DC 20549

Defendant Attorneys

Dane Hal Butswinkas

Attorney at Willians & Connolly LLP

725 Twelfth Street, North West

Washington, DC 20005

Steven M.. Farina

Attorney at Williams & Connolly

725 12Th Street, Nw

Washington, DC 20005

Amanda M. MacDonald

Attorney at Williams & Connolly LLP

725 Twelfth Street, Nw

Washington, DC 20005

 

Court Documents

#14

(#14) FINAL JUDGMENT AS TO DEFENDANT ELON MUSK: The Securities and Exchange Commission having filed a Complaint and Defendant Elon Musk having entered a general appearance; consented to the Court's jurisdiction over Defendant in this matter only 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 III); 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 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 US.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; as set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $20,000,000 to the Securities and Exchange Commission pursuant to Section 21(d)(3) of the Exchange Act [15 U.S. C. 78u(d)(3)]. Defendant shall make this payment within 14 days after entry of 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. (Signed by Judge Alison J. Nathan on 10/16/2018) (mro) (Entered: 10/16/2018)

#13

(#13) JOINT BRIEF re: #6 CONSENT MOTION for Judgment According to the Parties' Settlement. . Document filed by United States Securities and Exchange Commission.(Crumpton, Cheryl) (Entered: 10/11/2018)

12 #4

Text of Proposed Order To Appear Pro Hac Vice

12 #3

Exhibit 2 - Illinois Certificate of Good Standing

12 #1

Affidavit Of Amanda M. MacDonald In Support Of Motion To Appear Pro Hac Vice

#12

(#12) MOTION for Amanda M. MacDonald to Appear Pro Hac Vice on behalf of Elon Musk. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Elon Musk. (Attachments: #1 Affidavit Of Amanda M. MacDonald In Support Of Motion To Appear Pro Hac Vice, #2 Exhibit 1 - DC Certificate of Good Standing, #3 Exhibit 2 - Illinois Certificate of Good Standing, #4 Text of Proposed Order To Appear Pro Hac Vice)(MacDonald, Amanda) (Entered: 10/06/2018)

6 #2

Exhibit 2- Proposed Final Judgment

6 #1

Exhibit 1- Consent to Entry of Judgment

#6

(#13) JOINT BRIEF re: #6 CONSENT MOTION for Judgment According to the Parties' Settlement. . Document filed by United States Securities and Exchange Commission.(Crumpton, Cheryl) (Entered: 10/11/2018)

5 #1

Affidavit of E. Barrett Atwood

#4

(#4) NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 2/1/2019 at 04:00 PM in Courtroom 906, 40 Centre Street, New York, NY 10007 before Judge Alison J. Nathan. (As further set forth in this Order.) Parties ordered to submit via ECF proposed case management plan and joint letter seven days before conference. (Signed by Judge Alison J. Nathan on 9/28/2018) (cf) (Entered: 09/28/2018)

3 #4

Text of Proposed Order to Appear Pro Hac Vice

3 #3

Exhibit 2- Texas Certificate of Good Standing

3 #2

Exhibit 1- DC Certificate of Good Standing

3 #1

Affidavit of Cheryl L. Crumpton in Support of Motion to Appear Pro Hac Vice

#3

(#7) ORDER granting #3 Motion for Cheryl L. Crumpton to Appear Pro Hac Vice (HEREBY ORDERED by Judge Alison J. Nathan)(Text Only Order) (Nathan, Alison) (Entered: 10/02/2018)

#2

(#2) CIVIL COVER SHEET filed. (Choi, Jina) (Entered: 09/27/2018)

#1

(#1) COMPLAINT against Elon Musk. Document filed by United States Securities and Exchange Commission.(Choi, Jina) (Entered: 09/27/2018)

22 More Documents Available

 

Docket Entries

  • 10/16/2018
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  • (#14) FINAL JUDGMENT AS TO DEFENDANT ELON MUSK: The Securities and Exchange Commission having filed a Complaint and Defendant Elon Musk having entered a general appearance; consented to the Court's jurisdiction over Defendant in this matter only 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 III); 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 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 US.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; as set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $20,000,000 to the Securities and Exchange Commission pursuant to Section 21(d)(3) of the Exchange Act [15 U.S. C. 78u(d)(3)]. Defendant shall make this payment within 14 days after entry of 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. (Signed by Judge Alison J. Nathan on 10/16/2018) (mro) (Entered: 10/16/2018)

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  • 10/11/2018
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  • (#13) JOINT BRIEF re: #6 CONSENT MOTION for Judgment According to the Parties' Settlement. . Document filed by United States Securities and Exchange Commission.(Crumpton, Cheryl) (Entered: 10/11/2018)

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  • 10/06/2018
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  • >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Amanda M. MacDonald to Appear Pro Hac Vice on behalf of Elon Musk. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 10/06/2018)

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  • 10/06/2018
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  • >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #11 MOTION for Steven M. Farina to Appear Pro Hac Vice on behalf of Elon Musk. Filing fee $ 200.00, receipt number 0208-15667351. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 10/06/2018)

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  • 10/06/2018
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  • (#12) MOTION for Amanda M. MacDonald to Appear Pro Hac Vice on behalf of Elon Musk. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Elon Musk. (Attachments: #1 Affidavit Of Amanda M. MacDonald In Support Of Motion To Appear Pro Hac Vice, #2 Exhibit 1 - DC Certificate of Good Standing, #3 Exhibit 2 - Illinois Certificate of Good Standing, #4 Text of Proposed Order To Appear Pro Hac Vice)(MacDonald, Amanda) (Entered: 10/06/2018)

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  • 10/05/2018
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  • (#11) MOTION for Steven M. Farina to Appear Pro Hac Vice on behalf of Elon Musk. Filing fee $ 200.00, receipt number 0208-15667351. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Elon Musk. (Attachments: #1 Affidavit Of Steven M. Farina In Support Of Motion To Appear Pro Hac Vice, #2 Exhibit DC Certificate Of Good Standing, #3 Text of Proposed Order To Appear Pro Hac Vice)(Farina, Steven) (Entered: 10/05/2018)

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  • 10/05/2018
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  • (#10) NOTICE OF APPEARANCE by Dane Hal Butswinkas on behalf of Elon Musk. (Butswinkas, Dane) (Entered: 10/05/2018)

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  • 10/04/2018
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  • (#9) ORDER: No later than October 11, 2018, the parties shall file a joint letter not to exceed ten pages double-spaced, explaining why the Court should approve the proposed consent judgment. (As further set forth in this Order.) (Signed by Judge Alison J. Nathan on 10/4/2018) (cf) (Entered: 10/04/2018)

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  • 10/02/2018
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  • (#8) ORDER granting #5 Motion for E. Barrett Atwood to Appear Pro Hac Vice (HEREBY ORDERED by Judge Alison J. Nathan)(Text Only Order) (Nathan, Alison) (Entered: 10/02/2018)

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  • 10/02/2018
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  • (#7) ORDER granting #3 Motion for Cheryl L. Crumpton to Appear Pro Hac Vice (HEREBY ORDERED by Judge Alison J. Nathan)(Text Only Order) (Nathan, Alison) (Entered: 10/02/2018)

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2 More Docket Entries
  • 09/28/2018
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  • (#5) MOTION for E. Barrett Atwood to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit of E. Barrett Atwood, #2 Exhibit Good Standing Certificate (CA), #3 Exhibit Good Standing Certificate (DC), #4 Text of Proposed Order Granting Pro Hac Vice of E. Barrett Atwood)(Atwood, Edward) (Entered: 09/28/2018)

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  • 09/28/2018
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  • (#4) NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 2/1/2019 at 04:00 PM in Courtroom 906, 40 Centre Street, New York, NY 10007 before Judge Alison J. Nathan. (As further set forth in this Order.) Parties ordered to submit via ECF proposed case management plan and joint letter seven days before conference. (Signed by Judge Alison J. Nathan on 9/28/2018) (cf) (Entered: 09/28/2018)

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  • 09/28/2018
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  • >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Cheryl L. Crumpton to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 09/28/2018)

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  • 09/28/2018
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  • (#3) MOTION for Cheryl L. Crumpton to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit of Cheryl L. Crumpton in Support of Motion to Appear Pro Hac Vice, #2 Exhibit 1- DC Certificate of Good Standing, #3 Exhibit 2- Texas Certificate of Good Standing, #4 Text of Proposed Order to Appear Pro Hac Vice)(Crumpton, Cheryl) (Entered: 09/28/2018)

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  • 09/28/2018
  • Case Designated ECF. (laq) (Entered: 09/28/2018)

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  • 09/28/2018
  • Magistrate Judge Gabriel W. Gorenstein is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (laq) (Entered: 09/28/2018)

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  • 09/28/2018
  • CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Alison J. Nathan. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (laq) (Entered: 09/28/2018)

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  • 09/28/2018
  • ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Jina Choi. The following case opening statistical information was erroneously selected/entered: Cause of Action code 12:12; Jury Demand code n (None); County code New York; Fee Status code pd (paid);. The following correction(s) have been made to your case entry: the Cause of Action code has been modified to 15:0078; the Jury Demand code has been modified to p (Plaintiff); the County code has been modified to XX Out of State; the Fee Status code has been modified to wv (waived). (laq) (Entered: 09/28/2018)

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  • 09/27/2018
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  • (#2) CIVIL COVER SHEET filed. (Choi, Jina) (Entered: 09/27/2018)

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  • 09/27/2018
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  • (#1) COMPLAINT against Elon Musk. Document filed by United States Securities and Exchange Commission.(Choi, Jina) (Entered: 09/27/2018)

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