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This case was last updated from PACER on 07/10/2019 at 10:31:06 (UTC).

United States Securities and Exchange Commission v. Wilcox

Case Summary

On 04/16/2019 United States Securities and Exchange Commission filed a Finance - Security/Commodity/Exchange lawsuit against Wilcox. This case was filed in U.S. District Courts, Arizona District. The Judge overseeing this case is Susan R Bolton. The case status is Disposed - Other Disposed.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    2:19-CV-02437

  • Filing Date:

    04/16/2019

  • Case Status:

    Disposed - Other Disposed

  • Case Type:

    Finance - Security/Commodity/Exchange

  • Court:

    U.S. District Courts

  • Courthouse:

    Arizona District

Judge Details

Presiding Judge

Susan R Bolton

 

Party Details

Plaintiff

United States Securities and Exchange Commission

Defendant

Quentin Louis Wilcox

Attorney/Law Firm Details

Plaintiff Attorneys

Douglas M Miller

Attorney at US Securities & Exchange Commission

444 S Flower St., Ste. 900

Los Angeles, CA 90071

Todd Brilliant

Attorney at Securities & Exchange Commission - Los Angeles, CA

444 S Flower St., Ste. 900

Los Angeles, CA 90071

Defendant Attorney

Brian Ronald Booker

Attorney at Gordon Rees Scully Mansukhani LLP - Phoenix, AZ

1 Renaissance Sq., 2 N Central Ave., Ste. 2200

Phoenix, AZ 85004

 

Court Documents

#10

(#10) SERVICE EXECUTED filed by United States Securities and Exchange Commission: Rule 4 Waiver of Service of Summons. Waiver sent on 4/16/2019 to Quentin Louis Wilcox . (Miller, Douglas) (Entered: 04/24/2019)

#9

(#9) FINAL JUDGMENT AS TO DEFENDANT QUENTIN LOUIS WILCOX: 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. Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly. Defendant is liable for disgorgement of $55,154.70, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $3,744.83, and a civil penalty in the amount of $55,154.70 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)], and Section 21A of the Exchange Act [15 U.S.C. 78u-1]. Defendant shall satisfy this obligation by paying $114,054.23 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph IV below after entry of this Final Judgment. Defendant shall pay the total of disgorgement, prejudgment interest, and penalty due of $ 114,054.23 in two (2) installments to the Commission according to the following schedule: (1) $10,000, within 14 days of entry of this Final Judgment; (2) $104,054.23 on February 7, 2020. Payments shall be deemed made on the date they are received by the Commission and shall be applied first to post judgment interest, which accrues pursuant to 28 U.S.C. 1961 on any unpaid amounts due after 14 days of the entry of Final Judgment. Prior to making the final payment set forth herein, Defendant shall contact the staff of the Commission for the amount due for the final payment. 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. See document for further details. Signed by Senior Judge Susan R Bolton on 4/23/2019. (REK) (Entered: 04/23/2019)

#8

(#8) NOTICE of Appearance by Brian Ronald Booker on behalf of Quentin Louis Wilcox. (Booker, Brian) (Entered: 04/22/2019)

7 #1

Proposed Judgment

#7

(#7) STIPULATION FOR JUDGMENT AS TO CONSENT OF DEFENDANT QUENTIN LOUIS WILCOX by United States Securities and Exchange Commission. (Attachments: #1 Proposed Judgment)(Miller, Douglas) (Entered: 04/16/2019)

#6

(#6) Summons Issued as to Quentin Louis Wilcox. (MCO). *** IMPORTANT: When printing the summons, select "Document and stamps" or "Document and comments" for the seal to appear on the document. (Entered: 04/16/2019)

#4

(#4) NOTICE TO THE PARTIES - The Court is participating in the Mandatory Initial Discovery Pilot (MIDP) and this case is subject to that pilot. The key features and deadlines are set forth in the attached Notice which includes General Order 17-08. Also attached is a checklist for use by the parties. All parties must respond to the mandatory initial discovery requests set forth in the General Order before initiating any further discovery in this case. Please note: The discovery obligations in the General Order supersede the disclosures required by Rule 26(a)(1). Any party seeking affirmative relief must serve a copy of the attached documents (Notice to Parties, including General Order 17-08 and MIDP Checklist) on each new party when the Complaint, Counterclaim, Crossclaim, or Third-Party Complaint is served. (MCO) (Entered: 04/16/2019)

#3

(#3) This case has been assigned to the Honorable Susan R Bolton. All future pleadings or documents should bear the correct case number: CV-19-2437-PHX-SRB. Notice of Availability of Magistrate Judge to Exercise Jurisdiction form attached. (MCO) (Entered: 04/16/2019)

#2

(#2) SUMMONS Submitted by United States Securities and Exchange Commission. (Miller, Douglas) (MCO) (Entered: 04/16/2019)

1 #1

Civil Cover Sheet

#1

(#1) COMPLAINT filed by United States Securities and Exchange Commission. (Miller, Douglas) (Attachments: #1 Civil Cover Sheet)(MCO) (Entered: 04/16/2019)

 

Docket Entries

  • 04/24/2019
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  • (#10) SERVICE EXECUTED filed by United States Securities and Exchange Commission: Rule 4 Waiver of Service of Summons. Waiver sent on 4/16/2019 to Quentin Louis Wilcox . (Miller, Douglas) (Entered: 04/24/2019)

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  • 04/23/2019
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  • (#9) FINAL JUDGMENT AS TO DEFENDANT QUENTIN LOUIS WILCOX: 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. Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly. Defendant is liable for disgorgement of $55,154.70, representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $3,744.83, and a civil penalty in the amount of $55,154.70 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)], and Section 21A of the Exchange Act [15 U.S.C. 78u-1]. Defendant shall satisfy this obligation by paying $114,054.23 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph IV below after entry of this Final Judgment. Defendant shall pay the total of disgorgement, prejudgment interest, and penalty due of $ 114,054.23 in two (2) installments to the Commission according to the following schedule: (1) $10,000, within 14 days of entry of this Final Judgment; (2) $104,054.23 on February 7, 2020. Payments shall be deemed made on the date they are received by the Commission and shall be applied first to post judgment interest, which accrues pursuant to 28 U.S.C. 1961 on any unpaid amounts due after 14 days of the entry of Final Judgment. Prior to making the final payment set forth herein, Defendant shall contact the staff of the Commission for the amount due for the final payment. 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. See document for further details. Signed by Senior Judge Susan R Bolton on 4/23/2019. (REK) (Entered: 04/23/2019)

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  • 04/22/2019
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  • (#8) NOTICE of Appearance by Brian Ronald Booker on behalf of Quentin Louis Wilcox. (Booker, Brian) (Entered: 04/22/2019)

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  • 04/16/2019
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  • (#7) STIPULATION FOR JUDGMENT AS TO CONSENT OF DEFENDANT QUENTIN LOUIS WILCOX by United States Securities and Exchange Commission. (Attachments: #1 Proposed Judgment)(Miller, Douglas) (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#6) Summons Issued as to Quentin Louis Wilcox. (MCO). *** IMPORTANT: When printing the summons, select "Document and stamps" or "Document and comments" for the seal to appear on the document. (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#5) NOTICE TO FILER OF DEFICIENCY re: #1 Complaint filed by United States Securities and Exchange Commission. Document not in compliance with LRCiv 7.1(a)(3) - Party names must be capitalized using proper upper and lower case type. No further action is required. This is a TEXT ENTRY ONLY. There is no PDF document associated with this entry. (MCO) (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#4) NOTICE TO THE PARTIES - The Court is participating in the Mandatory Initial Discovery Pilot (MIDP) and this case is subject to that pilot. The key features and deadlines are set forth in the attached Notice which includes General Order 17-08. Also attached is a checklist for use by the parties. All parties must respond to the mandatory initial discovery requests set forth in the General Order before initiating any further discovery in this case. Please note: The discovery obligations in the General Order supersede the disclosures required by Rule 26(a)(1). Any party seeking affirmative relief must serve a copy of the attached documents (Notice to Parties, including General Order 17-08 and MIDP Checklist) on each new party when the Complaint, Counterclaim, Crossclaim, or Third-Party Complaint is served. (MCO) (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#3) This case has been assigned to the Honorable Susan R Bolton. All future pleadings or documents should bear the correct case number: CV-19-2437-PHX-SRB. Notice of Availability of Magistrate Judge to Exercise Jurisdiction form attached. (MCO) (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#2) SUMMONS Submitted by United States Securities and Exchange Commission. (Miller, Douglas) (MCO) (Entered: 04/16/2019)

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  • 04/16/2019
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  • (#1) COMPLAINT filed by United States Securities and Exchange Commission. (Miller, Douglas) (Attachments: #1 Civil Cover Sheet)(MCO) (Entered: 04/16/2019)

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