Anatomy of the FLD

[scion]

- Williams pay to the Commission an administrative penalty of $700,000.

2015-07-08 Mark Aaron McLeary, Timothy John McLeary, Robert Hainey, Jerry Williams and Erik John Benson [Decision]

15. under section 162, that:

- Hainey pay to the Commission an administrative penalty of $700,000; and-

- Williams pay to the Commission an administrative penalty of $700,000.

July 8, 2015

For the Commission


http://www.bcsc.bc.ca/Enforcement/Decisions/PDF/2015_BCSECCOM_281/

http://www.bcsc.bc.ca/Enforcement/Decisions/

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Pacer update 26 Feb 14 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

02/26/2014 JUDICIAL PROCEEDINGS SURVEY: The following link to the confidential survey requires you to log into CM/ECF for SECURITY purposes. Once in CM/ECF you will be prompted for the case number. Although you are receiving this survey through CM/ECF, it is hosted on an independent website called SurveyMonkey. Once in SurveyMonkey, the survey is located in a secure account. The survey is not docketed and it is not sent directly to the judge. To ensure anonymity, completed surveys are held up to 90 days before they are sent to the judge for review. We hope you will take this opportunity to participate, please click on this link:

https://ecf.ctd.uscourts.gov/cgi-bin/Dispatch.pl?survey
(Glynn, T.) (Entered: 02/26/2014)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

The Commission’s complaint alleged, among other things, that during 2010, Williams perpetrated a fraudulent scalping scheme involving the stock of Green Oasis Environmental, Inc. (“Green Oasis”). As part of the fraudulent scheme, Williams told the USHPF that he would apply a trading strategy, called a “Float Lock Down,” while trading for the benefit of the Fund. According to Williams’ Float Lock Down strategy, certain market participants, specifically market makers, routinely engaged in “naked short selling” of penny stock companies – i.e., selling short stocks without having arranged to borrow the stock needed to cover their short position. Williams claimed that by purchasing all the outstanding shares of a company (the “float”) whose stock the market makers had sold short, they could create a “short squeeze” that would force the market makers to eventually cover their short position at prices dictated by those who had accumulated the float. In fact, the purported Float Lock Down strategy was simply a pretext for Williams to drive up the share price of a stock so that he could sell his personal holdings of the stock at higher prices.

From July 7, 2010 through August 11, 2010, as the investment adviser to the USHPF, Williams purchased over 2.6 million shares of Green Oasis stock for the Fund. Green Oasis’ share price, which had been trading at around $0.24 per share for several days, rose to $0.31 per share by the close of trading on July 7, 2010. Williams continued to purchase additional shares for the USHPF through August 11, 2010, and the share price rose to over $0.72 per share, often trading well above $0.60 per share. As the Green Oasis share price rose, Williams sold his personal holdings of Green Oasis stock for $78,844, realizing profits of approximately $36,000. Williams never disclosed to the USHPF, its trustee, or investors in the Fund, that he was selling his personal holdings of Green Oasis stock while simultaneously purchasing large amounts of Green Oasis stock for the USHPF. As a result, Williams defrauded the USHPF, its trustee, and investors in the Fund.

Extract -
http://www.sec.gov/litigation/admin/2014/ia-3781.pdf

[scion]

In the Matter of JERRY S. WILLIAMS,
Respondent.

ORDER INSTITUTING
ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTION 203(f) OF THE
INVESTMENT ADVISERS ACT OF 1940,
MAKING FINDINGS, AND IMPOSING
REMEDIAL SANCTIONS

http://www.sec.gov/litigation/admin/2014/ia-3781.pdf

[scion]

Monk Ordered to Pay Over $9,000,000

Posted on February 20, 2014

Securities Lawyer 101 Blog

On February 12, 2014, the Securities and Exchange Commission (the “SEC”) announced that a Connecticut federal court entered judgments against a former Connecticut-based stock promoter, Jerry S. Williams, and two companies that he controlled, Monk’s Den, LLC and First In Awareness, LLC, who are defendants in a Commission enforcement action filed in 2012 alleging that they operated a fraudulent Internet-based stock touting and scalping scheme. The judgments order the defendants to pay a total of over $9.6 million.

[...]
more
http://www.securitieslawyer101.com/monk/

[scion]

The judgments order the defendants to pay a total of over $9.6 million.

[scion]

Connecticut-Based Stock Promoter Ordered to Pay Over $9.6 Million in Stock Touting and Scalping Scheme

U.S. SECURITIES AND EXCHANGE COMMISSION

Litigation Release No. 22928 / February 19, 2014

Securities and Exchange Commission v. Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC, Civil Action No. 3:12 –cv–01068 (District of Connecticut)

Connecticut-Based Stock Promoter Ordered to Pay Over $9.6 Million in Stock Touting and Scalping Scheme

The Securities and Exchange Commission announced today that on February 12, 2014, a Connecticut federal court entered judgments against a former Connecticut-based stock promoter, Jerry S. Williams, and two companies that he controlled, Monk's Den, LLC and First In Awareness, LLC, who are defendants in a Commission enforcement action filed in 2012 alleging that they operated a fraudulent Internet-based stock touting and scalping scheme. The judgments order the defendants to pay a total of over $9.6 million.

Williams, Monk's Den, and First In Awareness were defendants in a civil fraud action filed by the Commission on July 20, 2012. The Commission's complaint alleged that from 2009 through 2010, Williams recommended two stocks, Cascadia Investments, Inc. and Green Oasis, Inc., to a large group of followers who followed his trading recommendations and strategies. Williams, who was known to his followers as "Monk," used his internet-based message board - called Monk's Den - as well as his in-person seminars (called "Monkinars"), and other means, to encourage people to buy, hold, and accumulate Cascadia and Green Oasis stock. In particular, Williams told his followers that by buying up the outstanding shares, or float, of these companies, they could collectively trigger a "short squeeze" that would allow them to sell their stock to "market makers" that had shorted the stock. Williams falsely stated that he had previously used this "Float Lock Down" strategy successfully to make himself and his followers enormous profits. In fact, unknown to his followers, Williams had been hired by Cascadia and Green Oasis to promote their stock and had been compensated with millions of free and discounted shares of these stocks. Williams secretly sold millions of Cascadia and Green Oasis shares at the same time he was encouraging potential investors to buy, hold and accumulate these stocks. Williams made profits of over $2.3 million from his scheme.

Without admitting or denying the allegations in the Commission's complaint, Williams, First In Awareness and Monk's Den consented to final judgments enjoining them from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and as to Williams only, enjoining him from violating Sections 17(a) and 17(b) of the Securities Act of 1933 and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The final judgments found Williams, Monk's Den, and First In Awareness jointly and severally liable for disgorgement of $2,357,208 in ill-gotten gains plus prejudgment interest of $188,766, ordered each to pay a civil penalty of $2,357,208, and imposed a penny stock bar on Williams.

For additional information, see Litigation Release No. 22420 (July 23, 2012).



http://www.sec.gov/litigation/litreleases/2014/lr22928.htm

[scion]

02/12/2014 72 JUDGMENT entered in favor of Securities & Exchange Commission against Monk's Den, LLC. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Jerry Williams and First in Awareness, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Jerry Williams and First in Awareness.

For Appeal Forms please go to the following website: http://www.ctd.uscourts.gov/forms/all-forms/appeals_forms
Signed by Judge Robert N. Chatigny on 2/12/14.(Glynn, T.) (Entered: 02/18/2014)

Doc 72 PDF file
http://www.scribd.com/doc/207766711/SEC-v-Williams-Et-Al-Doc-72-Filed-12-Feb-14


02/12/2014 73 JUDGMENT entered in favor of Securities & Exchange Commission against First In Awareness, LLC. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Jerry Williams and Monk's Den, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Jerry Williams and Monk's Den, LLC.

For Appeal Forms please go to the following website: http://www.ctd.uscourts.gov/forms/all-forms/appeals_forms
Signed by Judge Robert N. Chatigny on 2/12/14.(Glynn, T.) (Entered: 02/18/2014)


Doc 73 PDF file
http://www.scribd.com/doc/207767103/SEC-v-Williams-Et-Al-Doc-73-Filed-12-Feb-14

[scion]

02/12/2014 70 FINAL JUDGMENT AS TO DEFENDANT JERRY S. WILLIAMS entered in favor of Securities & Exchange Commission against Jerry S. Williams. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Monk's Den, LLC and First in Awareness, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Monk's Den and First in Awareness.

Doc 70 PDF file
http://www.scribd.com/doc/207765233/SEC-v-Williams-Et-Al-Doc-70-Filed-12-Feb-14

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Pacer update 18 Feb 14 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

02/18/2014 71 Docket Entry Correction re 70 Judgment, Corrected to add text (Glynn, T.) (Entered: 02/18/2014)

02/12/2014 73 JUDGMENT entered in favor of Securities & Exchange Commission against First In Awareness, LLC. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Jerry Williams and Monk's Den, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Jerry Williams and Monk's Den, LLC.

For Appeal Forms please go to the following website: http://www.ctd.uscourts.gov/forms/all-forms/appeals_forms
Signed by Judge Robert N. Chatigny on 2/12/14.(Glynn, T.) (Entered: 02/18/2014)


02/12/2014 72 JUDGMENT entered in favor of Securities & Exchange Commission against Monk's Den, LLC. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Jerry Williams and First in Awareness, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Jerry Williams and First in Awareness.

For Appeal Forms please go to the following website: http://www.ctd.uscourts.gov/forms/all-forms/appeals_forms
Signed by Judge Robert N. Chatigny on 2/12/14.(Glynn, T.) (Entered: 02/18/2014)

02/12/2014 70 FINAL JUDGMENT AS TO DEFENDANT JERRY S. WILLIAMS entered in favor of Securities & Exchange Commission against Jerry S. Williams. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Monk's Den, LLC and First in Awareness, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Monk's Den and First in Awareness.

For Appeal Forms please go to the following website: http://www.ctd.uscourts.gov/forms/all-forms/appeals_forms
Signed by Judge Robert N. Chatigny on 2/12/14.(Glynn, T.) Modified on 2/18/2014 to include text (Glynn, T.). (Entered: 02/18/2014)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

SEC reaches $4.9-million (U.S.) deal with Williams

2014-02-14 13:17 ET - Street Wire
http://www.stockwatch.com/News/Item.aspx?bid=Z-C%3A*SEC-2146534&symbol=*SEC®ion=C

Here is a sample of this item:

by Mike Caswell

Jerry Williams, the Arizona man who gathered a large following for a short squeeze strategy called "Float Lock Down," has agreed to pay $4.9-million to settle civil fraud charges. (All figures are in U.S. dollars.) He accepted the sanctions Tuesday to end a civil action he faces from the U.S. Securities and Exchange Commission. The regulator accused him of scalping two companies, including Edmonton's Green Oasis Environmental Inc.

The proposed settlement is contained in a consent to judgment filed on Feb. 11, 2014, in the District of Connecticut. Mr. Williams's fine includes disgorgement of $2.35-million plus interest of $188,766, and a $2.35-million civil penalty. He has also agreed to an order prohibiting him from participating in an offering of penny stocks and barring future violations. In accepting the penalties, Mr. Williams did not admit to any wrongdoing.

The allegations against Mr. Williams are detailed in a July 20, 2012, complaint the SEC filed in the District of Connecticut. They stemmed from a trading strategy he promoted through worldwide seminars in 2009 and 2010 called "Float Lock Down." The idea was that a group of investors could buy all the shares of a heavily shorted company. This would force short-sellers to cover at a substantial loss (essentially a short squeeze). It would also cause the stock to rise and result in substantial profits, Mr. Williams told investors.

The remainder is available to Stockwatch subscribers. Click the yellow link above for a free trial subscription.

http://www.stockwatch.com/News/Item.aspx?bid=Z-C%3A*SEC-2146534&symbol=*SEC®ion=C

[scion]

Pacer update 12 Feb 14 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

02/12/2014 69 ORDER granting 68 Motion to Dismiss. Signed by Judge Robert N. Chatigny on 2/12/2014. (Rickevicius, L.) (Entered: 02/12/2014)


02/11/2014 68 MOTION to Dismiss Partial as to Two Claims against Monk's Den and First In Awareness, Conditioned on Entry of Final Judgments by Securities & Exchange Commission.Responses due by 3/4/2014 (Harper, Richard) (Entered: 02/11/2014)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

02/11/2014 68 MOTION to Dismiss Partial as to Two Claims against Monk's Den and First In Awareness, Conditioned on Entry of Final Judgments by Securities & Exchange Commission.Responses due by 3/4/2014 (Harper, Richard) (Entered: 02/11/2014)

Doc 68 PDF file
http://www.scribd.com/doc/206433424/SEC-v-Williams-Et-Al-Doc-68-Filed-11-Feb-14

[scion]

02/11/2014 67 PROPOSED ORDER FIRST IN AWARENESS CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

Doc 67 PDF file
http://www.scribd.com/doc/206432504/SEC-v-Williams-Et-Al-Doc-67-Filed-11-Feb-14

Doc 67-1 PDF file
http://www.scribd.com/doc/206432829/SEC-v-Williams-Et-Al-Doc-67-1-Filed-11-Feb-14


Document Number: 67 6 pages 178 kb

Attachment Description
1 Text of Proposed Order 5 pages 26 kb

[scion]

02/11/2014 66 PROPOSED ORDER MONK'S DEN, LLC CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

Doc 66 PDF file
http://www.scribd.com/doc/206431526/SEC-v-Williams-Et-Al-Doc-66-Filed-11-Feb-14

Doc 66-1 PDF file
http://www.scribd.com/doc/206431702/SEC-v-Williams-Et-Al-Doc-66-1-Filed-11-Feb-14

Document Number: 66 6 pages 174 kb

Attachment Description
1 Text of Proposed Order 5 pages 26 kb

[scion]

02/11/2014 65 PROPOSED ORDER WILLIAMS CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

Doc 65 PDF file
http://www.scribd.com/doc/206428598/SEC-v-Williams-Et-Al-Doc-65-Filed-11-Feb-14

Doc 65-1 PDF file
http://www.scribd.com/doc/206428839/SEC-v-Williams-Et-Al-Doc-65-1-Filed-11-Feb-14

Extract Doc 65 -


IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $2,357,208, representing profits gained as a result ofthe conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $188,766, and a civil penalty in the amount of $2,3 57,208 pursuant to Section 20( d) of the Securities Act [15 U.S.C. §77t(d)), Section 21(d) ofthe Exchange Act [15 U.S.C. §78u(d)], and Section 209(e) ofthe Advisers Act [15 U.S.C. §80b-9(e)]. Defendant shall satisfy this obligation by paying $4,903,182 to the Securities and Exchange Commission within 14 days after entry ofthis Final Judgment. Defendant's liability for the amount of disgorgement and prejudgment interest shall be joint and several with that of Monk's Den, LLC and First in Awareness, LLC, which are liable for disgorgement and prejudgment interest of the same amount as set forth in separate final judgment issued against Monk's Den and First in Awareness. Any amounts recovered from disciplinary proceeding before the Commission based on the entry of the injunction in this action, Defendant understands that he shall not be permitted to contest the factual allegations of the complaint in this action.
4

[scion]

Pacer update 11 Feb 14 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

02/11/2014 68 MOTION to Dismiss Partial as to Two Claims against Monk's Den and First In Awareness, Conditioned on Entry of Final Judgments by Securities & Exchange Commission.Responses due by 3/4/2014 (Harper, Richard) (Entered: 02/11/2014)

02/11/2014 67 PROPOSED ORDER FIRST IN AWARENESS CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

02/11/2014 66 PROPOSED ORDER MONK'S DEN, LLC CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

02/11/2014 65 PROPOSED ORDER WILLIAMS CONSENT TO ENTRY OF FINAL JUDGMENT by Securities & Exchange Commission. (Attachments: # 1 Text of Proposed Order)(Harper, Richard) (Entered: 02/11/2014)

11/22/2013 Set Deadlines/Hearings: Dispositive Motions due by 1/31/2014 (Constantine, A.) (Entered: 11/22/2013)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

Pacer update 22 Nov 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

11/22/2013 Set Deadlines/Hearings: Dispositive Motions due by 1/31/2014 (Constantine, A.) (Entered: 11/22/2013)

11/22/2013 64 ORDER : Due to a typographical error, the deadline for dispositive motions was stated incorrectly. The correct deadline is 1/31/14. (Constantine, A.) (Entered: 11/22/2013)

11/21/2013 63 ORDER : The motion 62 to continue is denied as moot in light of the court's ruling. See doc. #62. Signed by Judge Donna F. Martinez on 11/21/13. (Constantine, A.) (Entered: 11/21/2013)


11/14/2013 62 MOTION to Continue by Securities & Exchange Commission, Jerry S. Williams (Blue, A.) (Entered: 11/21/2013)




United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

Pacer update 21 Nov 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

11/21/2013 61 ORDER The parties' joint request (doc. #60) for a continuance of the remaining deadlines while the SEC evaluates the plaintiff's offer of settlement is granted. The discovery deadline passed on 9/30/13. The deadline for the filing of a motion for summary judgment is extended until January 2, 2014. The Joint Trial Memorandum shall be due March 27, 2014 and the case will be considered trial ready April 2014. Signed by Judge Donna F. Martinez on 11/21/13.(Constantine, A.) (Entered: 11/21/2013)

United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

11/14/2013 60 Joint STATUS REPORT and REQUEST FOR CONTINUANCE by Securities & Exchange Commission. (Harper, Richard) (Entered: 11/14/2013)

Doc 60 PDF file
http://www.scribd.com/doc/184249922/SEC-v-Williams-Et-Al-Doc-60-Filed-14-Nov-13

JOINT STATUS REPORT AND REQUEST FOR CONTINUANCE

In accordance with the Court’s scheduling order, the parties submit the following joint statement regarding the status of the case. The parties have reached an agreement in principle to settle this matter. Consistent with this tentative agreement, Defendant Williams has submitted a written offer of settlement to the Division of Enforcement, which, if accepted and approved, would resolve this proceeding. Under Commission practice, Commission counsel is not authorized to present a proposed consent judgment to the Court until the Commissioners formally approve the settlement. Given the high volume of Commission business at this time, the approval process within the Commission may take up to six weeks. The parties therefore respectfully request that all deadlines and hearings be continued for six weeks so that the Commission may consider whether to accept Williams’ settlement offer.

Respectfully submitted,

Plaintiff:
/s/R.M. Harper II
Richard M. Harper II (PHV #05528)

Senior Trial Counsel

Case 3:12-cv-01068-RNC Document 60 Filed 11/14/13 Page 1 of 3

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Pacer update 17 Oct 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

11/14/2013 60 Joint STATUS REPORT and REQUEST FOR CONTINUANCE by Securities & Exchange Commission. (Harper, Richard) (Entered: 11/14/2013)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

By 11/14/2013, the parties shall submit a joint statement to Judge Martinez regarding the status of the case.

[scion]

10/17/2013 59 Minute Entry for proceedings held before Judge Donna F. Martinez: telephonic settlement conference held. 10 minutes. The parties are discussing a proposed resolution. The defendant will respond to plaintiff's counsel by no later than 11/7/13. By 11/14/2013, the parties shall submit a joint statement to Judge Martinez regarding the status of the case. Dispositive Motions due by 12/20/2013. (Constantine, A.) (Entered: 10/17/2013)

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Pacer update 17 Oct 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

10/17/2013 59 Minute Entry for proceedings held before Judge Donna F. Martinez: telephonic settlement conference held. 10 minutes. The parties are discussing a proposed resolution. The defendant will respond to plaintiff's counsel by no later than 11/7/13. By 11/14/2013, the parties shall submit a joint statement to Judge Martinez regarding the status of the case. Dispositive Motions due by 12/20/2013. (Constantine, A.) (Entered: 10/17/2013)

10/16/2013 58 ORDER denying 44 Motion for Default Judgment. Please refer to ECF#57. Signed by Judge Robert N. Chatigny on 10/16/2013. (Rickevicius, L.) (Entered: 10/16/2013)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

Pacer update 15 Oct 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

10/15/2013 57 ORDER Approving and Adopting absent objection 56 Recommended Ruling.. Signed by Judge Robert N. Chatigny on 10/15/2013. (Rickevicius, L.) (Entered: 10/15/2013)


No Pacer doc filed.

United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

09/27/2013 56 Recommended ruling recommending that the plaintiff's motion 44 for default judgment as as to Monk's Den, LLC and First In Awareness, LLC be denied without prejudice. See attached ruling, 5 pages. Objections due by 10/11/2013. Signed by Judge Donna F. Martinez on 9/27/13.(Constantine, A.) (Entered: 09/27/2013)

Doc 56 PDF file
http://www.scribd.com/doc/172470327/SEC-v-Williams-Et-Al-Doc-56-Filed-27-Sep-13

[scion]

Pacer update 27 Sep 13 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

Date Filed # Docket Text

09/27/2013 56 Recommended ruling recommending that the plaintiff's motion 44 for default judgment as as to Monk's Den, LLC and First In Awareness, LLC be denied without prejudice. See attached ruling, 5 pages. Objections due by 10/11/2013. Signed by Judge Donna F. Martinez on 9/27/13.(Constantine, A.) (Entered: 09/27/2013)

09/26/2013 55 ORDER & CALENDAR : A telephonic conference is scheduled for 10/17/13 at 1:00 pm EST to discuss settlement. Plaintiff's counsel shall initiate the conference call and shall have the pro se defendant on the line when calling chambers. Signed by Judge Donna F. Martinez on 9/26/13.(Constantine, A.) (Entered: 09/26/2013)

09/26/2013 54 ORDER: See attached ruling and order re: defendant's motion 50 . Signed by Judge Donna F. Martinez on 9/26/13. (Constantine, A.) (Entered: 09/26/2013)


United States District Court for the District of Connecticut (New Haven)
CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC

Securities & Exchange Commission v. Williams et al
Assigned to: Judge Robert N. Chatigny

Cause: 15:77 Securities Fraud
Date Filed: 07/20/2012
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff

Plaintiff
Securities & Exchange Commission
represented by John B. Hughes
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3802
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


V.
Defendant
Jerry S. Williams

Defendant
Monk's Den, LLC

Defendant
First In Awareness, LLC

https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl

[scion]

08/06/2013 53 RESPONSE re 50 MOTION for Hearing filed by Securities & Exchange Commission. (Harper, Richard) (Entered: 08/06/2013)

Doc 53
http://www.scribd.com/doc/158503817/SEC-v-Williams-Et-Al-Doc-53-Filed-06-Aug-13

1 Defendant Williams purports to make his request on behalf of all defendants. However, as the Court has already ruled, Williams, as a non-lawyer, cannot represent the entity defendants. See Docket Entry No. 19 (Order granting Motion to Strike).
Case 3:12-cv-01068-RNC Document 53 Filed 08/06/13 Page 1 of 3