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B. Interrogatories
The plaintiff served the defendant with interrogatories on December 18, 2012. Pursuant to Fed. R. Civ. P. 33(b)(2), "[t]he responding party must serve its answers and any objections within 30 days after being served with the interrogatories." To date, the defendant has not responded to the interrogatories. The plaintiff's motion to compel the defendant to serve written responses to the interrogatories is granted. Pursuant to D. Conn. L. Civ. R. 37(d), the defendant's "compliance with [the court's order] shall be made within fourteen (14) days of the filing of the Court's order."
Extract
Doc 31 PDF file
Case 3:12-cv-01068-RNC Document 31 Filed 04/02/13
http://adserv.stocksite.com/images/pubdocs/Williams/DN31.pdf
04/02/2013 31 ORDER: The plaintiff's motion 25 to compel the defendant to provide initial disclosures and responses to interrogatories is granted. The plaintiff's motion for contingent sanctions 25 is denied without prejudice. See attached ruling, 4 pages. Signed by Judge Donna F. Martinez on 4/2/13. (Constantine, A.) (Entered: 04/02/2013)
Doc 31 PDF file
http://adserv.stocksite.com/images/pubdocs/Williams/DN31.pdf
Pacer update 02 Apr 13 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
04/02/2013 31 ORDER: The plaintiff's motion 25 to compel the defendant to provide initial disclosures and responses to interrogatories is granted. The plaintiff's motion for contingent sanctions 25 is denied without prejudice. See attached ruling, 4 pages. Signed by Judge Donna F. Martinez on 4/2/13. (Constantine, A.) (Entered: 04/02/2013)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
And so the FLD dissolves in a pile of bad pro se legal work.
03/11/2013 30 STATUS REPORT by Securities & Exchange Commission. (Harper, Richard) (Entered: 03/11/2013)
Doc 30 PDF file
http://www.scribd.com/doc/130377393/SEC-v-Williams-Et-Al-Doc-30-Filed-11-Mar-13
Extract -
PLAINTIFF’S STATUS REPORT
In accordance with the Court’s scheduling order, plaintiff U.S. Securities and Exchange Commission submits the following report on the status of the case:[1]
The Commission has filed a motion to compel and for contingent sanctions against defendant Jerry Williams for his failure to produce initial disclosures or written answers to the Commission’s interrogatories. The Commission has also filed a motion to extend the current discovery period until ninety (90) days after a court-ordered deadline for Williams to produce disclosures and answer the Commission’s interrogatories. These motions are currently pending.
Respectfully submitted,
/s/R.M. Harper II
Richard M. Harper II (PHV #05528)
Senior Trial Counsel
U.S. Securities and Exchange Commission
33 Arch Street, 23rd Floor
Boston, Massachusetts 02110
(617) 573-8979 (Harper)
HarperR@sec.gov
Dated: March 11, 2013
[1] On Thursday, March 7, 2013, the Commission emailed defendant Williams a draft joint status report and noted the scheduling order’s requirement of a joint report. Williams never responded to this communication.
Pacer update 11 Mar 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
03/11/2013 30 STATUS REPORT by Securities & Exchange Commission. (Harper, Richard) (Entered: 03/11/2013)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
In all seriousness, it looks like Monkster might be understanding just how deep he is in it. I'm still hoping for him to send a psychiatrist's note indicating that he has had a breakdown and cannot proceed with the case.
Can we now say this less about the "anatomy of the FLD" and more about the "autopsy of the FLD"?
Methinks that FLD acolytes had never heard of the prisoners' dilemma.
10. A decision whether to extend the discovery period rests within the sound discretion of the Court. See SEC v. Rajaratnam, 622 F.3d 159, (2d Cir. 2010) (noting discovery rulings reviewed for abuse of discretion); Werbungs Und Commerz Austalt v. Collectors’ Guild, Ltd., 930 F.2d 1021, 1028 (2d Cir. 1991) (noting district court’s discretion to extend discovery period for further discovery on damages). Here, the Commission proposes to extend the discovery period for a limited time, ninety days, in order to obtain limited discovery goals. First, the Commission seeks to obtain Williams’ initial disclosures and his answers the Commission’s interrogatories, as set forth in the accompanying Motion to Compel and for Sanctions. Second, based on defendant Williams’ disclosures and interrogatory answers (and other matters collected by the Commission), the Commission would then seek to take the deposition of Williams and one or two other persons affiliated with defendant Williams. The Commission may then also subpoena further third-party discovery. [2] With the Court’s assistance in compelling defendant Williams’ disclosures and interrogatory answers, the Commission believes it can thereafter complete its limited discovery goals within ninety days.
WHEREFORE, the Commission respectfully requests that this Court extend the current discovery period, and all subsequent deadlines,[3] by ninety days from the date by which the Court orders defendant Williams to serve initial disclosures and his answers to the Commission’s interrogatories.
[...]
[2] The Commission has already collected third-party discovery from over fourteen persons or entities.
[3] These subsequent deadlines would include: the summary judgment deadline, the pretrial brief deadline, and the trial ready date.
Extract -
Doc 28 PDF file
http://www.scribd.com/doc/128037165/SEC-v-Williams-Et-Al-Doc-28-Filed-27-Feb-12
02/27/2013 28 Memorandum in Support re 27 MOTION for Extension of Time until 90 Days From Defendant Williams' Court-Ordered Deadline To Produce Disclosures and Interrogatory AnswersTo Complete Fact Discovery 23 Scheduling Order, filed by Securities & Exchange Commission. (Harper, Richard) (Entered: 02/27/2013)
Doc 28 PDF file
http://www.scribd.com/doc/128037165/SEC-v-Williams-Et-Al-Doc-28-Filed-27-Feb-12
02/27/2013 26 Memorandum in Support re 25 MOTION to Compel and for Contingent Sanction filed by Securities & Exchange Commission. (Attachments: # 1 Exhibit A (Interrogatories), # 2 Exhibit B (parties' communication), # 3 Exhibit C (parties' communication))(Harper, Richard) (Entered: 02/27/2013)
Doc 26 PDF file
http://www.scribd.com/doc/128035532/SEC-v-Williams-Et-Al-Doc-26-Filed-27-Feb-12
Doc 26-1 PDF file
http://www.scribd.com/doc/128036340/SEC-v-Williams-Et-Al-Doc-26-1-Filed-27-Feb-12
Doc 26-2 PDF file
http://www.scribd.com/doc/128036498/SEC-v-Williams-Et-Al-Doc-26-2-Filed-27-Feb-12
Doc 26-3 PDF file
http://www.scribd.com/doc/128036584/SEC-v-Williams-Et-Al-Doc-26-3-Filed-27-Feb-12
02/27/2013 25 MOTION to Compel and for Contingent Sanction by Securities & Exchange Commission.Responses due by 3/20/2013 (Harper, Richard). Added MOTION for Sanctions on 3/1/2013 (Blue, A.). (Entered: 02/27/2013)
Doc 25 PDF file
http://www.scribd.com/doc/128035014/SEC-v-Williams-Et-Al-Doc-25-Filed-27-Feb-12
Pacer update 01 Mar 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
03/01/2013 Set/Reset Deadlines as to 25 MOTION to Compel, MOTION for Sanctions. Responses due by 3/20/2013 (Blue, A.) (Entered: 03/01/2013)
02/28/2013 29 ORDER REFERRING CASE to Magistrate Judge Donna F. Martinez for a ruling including 25 MOTION to Compel and for Contingent Sanction, 27 MOTION for Extension of Time until 90 Days From Defendant Williams' Court-Ordered Deadline To Produce Disclosures and Interrogatory AnswersTo Complete Fact Discovery 23 Scheduling Order. Signed by Judge Robert N. Chatigny on 2/28/13.Motions referred to Donna F. Martinez(Glynn, T.) (Entered: 02/28/2013)
02/27/2013 28 Memorandum in Support re 27 MOTION for Extension of Time until 90 Days From Defendant Williams' Court-Ordered Deadline To Produce Disclosures and Interrogatory AnswersTo Complete Fact Discovery 23 Scheduling Order, filed by Securities & Exchange Commission. (Harper, Richard) (Entered: 02/27/2013)
02/27/2013 27 MOTION for Extension of Time until 90 Days From Defendant Williams' Court-Ordered Deadline To Produce Disclosures and Interrogatory AnswersTo Complete Fact Discovery 23 Scheduling Order, by Securities & Exchange Commission. (Harper, Richard) (Entered: 02/27/2013)
02/27/2013 26 Memorandum in Support re 25 MOTION to Compel and for Contingent Sanction filed by Securities & Exchange Commission. (Attachments: # 1 Exhibit A (Interrogatories), # 2 Exhibit B (parties' communication), # 3 Exhibit C (parties' communication))(Harper, Richard) (Entered: 02/27/2013)
02/27/2013 25 MOTION to Compel and for Contingent Sanction by Securities & Exchange Commission.Responses due by 3/20/2013 (Harper, Richard). Added MOTION for Sanctions on 3/1/2013 (Blue, A.). (Entered: 02/27/2013)
02/04/2013 Set Deadline: Dispositive Motions due by 4/26/2013. (Glynn, T.) (Entered: 02/05/2013)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
02/04/2013 24 ORDER: Please see attached Prefiling Conference Request Letter. Plaintiff may file their Motion for Summary Judgment on or before 4/26/13 without a prefiling conference. So ordered.
Signed by Judge Robert N. Chatigny on 2/4/2013.(Rickevicius, L.) (Entered: 02/04/2013)
Doc 24 PDF file
http://www.scribd.com/doc/124357083/SEC-v-Williams-Et-Al-Doc-24-Filed-04-Feb-13
Pacer update 05 Feb 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
02/04/2013 Set Deadline: Dispositive Motions due by 4/26/2013. (Glynn, T.) (Entered: 02/05/2013)
02/04/2013 24 ORDER: Please see attached Prefiling Conference Request Letter. Plaintiff may file their Motion for Summary Judgment on or before 4/26/13 without a prefiling conference. So ordered.
Signed by Judge Robert N. Chatigny on 2/4/2013.(Rickevicius, L.) (Entered: 02/04/2013)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
12/13/2012 23 Scheduling order: See attached order. All discovery must be completed (not propounded) by 3/8/2013, any request for a prefiling conference must be made by by 1/31/2013, the parties Trial Brief due by 5/24/2013 and the case will be considered trial ready as of June 2013. Signed by Judge Donna F. Martinez on 12/13/12. (Constantine, A.) (Entered: 12/13/2012)
Doc 23 PDF file
http://www.scribd.com/doc/116759507/SEC-v-Williams-Et-Al-Doc-23-Filed-13-Dec-12
Pacer update 13 Dec 12 - 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
12/13/2012 23 Scheduling order: See attached order. All discovery must be completed (not propounded) by 3/8/2013, any request for a prefiling conference must be made by by 1/31/2013, the parties Trial Brief due by 5/24/2013 and the case will be considered trial ready as of June 2013. Signed by Judge Donna F. Martinez on 12/13/12. (Constantine, A.) (Entered: 12/13/2012)
12/11/2012 22 Minute Entry for proceedings held before Judge Donna F. Martinez: Telephonic Status Conference held on 12/11/2012. Time 10 minutes(Court Reporter I. Sanchez.) (Wood, R.) (Entered: 12/13/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
Pacer update 28 Nov 12 - 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
11/28/2012 21 ORDER: This case was referred to Judge Martinez to confer with the parties and enter the scheduling order. Accordingly, a conference call is scheduled for 12/11/2012 at 11:00 AM EST. Plaintiff's counsel shall initiate the conference call and shall have the defendant on the line when calling chambers. Signed by Judge Donna F. Martinez on 11/28/12. (Constantine, A.) (Entered: 11/28/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
11/09/2012 20 Appearance Pro Se by Jerry S. Williams (Blue, A.) (Entered: 11/13/2012)
Doc 20 PDF file
http://www.scribd.com/doc/113789185/SEC-v-Williams-Et-Al-Doc-20-Filed-09-Nov-12
Pacer update 13 Nov 12 - 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
11/09/2012 20 Appearance Pro Se by Jerry S. Williams (Blue, A.) (Entered: 11/13/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
Pacer update 10 Nov 12 - SEC v. 8000, Inc. et al CIVIL DOCKET FOR CASE #: 1:12-cv-07261-TPG
https://ecf.nysd.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
10/12/2012 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 3 MOTION for Deena R. Bernstein 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. (pgu) (Entered: 10/12/2012)
10/12/2012 3 MOTION for Deena R. Bernstein to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: # 1 Affidavit, # 2 Text of Proposed Order, # 3 Certificate of Service)(Bernstein, Deena) (Entered: 10/12/2012)
U.S. District Court
Southern District of New York (Foley Square)
CIVIL DOCKET FOR CASE #: 1:12-cv-07261-TPG
Securities and Exchange Commission v. 8000, Inc. et al
Assigned to: Judge Thomas P. Griesa
Cause: 15:78m(a) Securities Exchange Act
Date Filed: 09/27/2012
Jury Demand: None
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Valerie Ann Szczepanik
U.S. Securities and Exchange Commission
( 3 World Financial)
Three World Financial Center
New York, NY 10281
(212) 336-0175
Email: SzczepanikV@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
8000, Inc.
Defendant
Jonathan E. Bryant
Defendant
Thomas J. Kelly
Defendant
Carl N. Duncan
https://ecf.nysd.uscourts.gov/cgi-bin/iquery.pl
Pacer update 06 Nov 12 - 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
11/06/2012 19 ORDER granting 14 Motion to Strike. The motion to strike the answers filed by Mr. Williams on behalf of the entity defendants is hereby granted because, as the SEC correctly argues, the law does not permit Mr. Williams to represent the entity defendants. So ordered. Signed by Judge Robert N. Chatigny on 11/6/12. (Chatigny, Robert) (Entered: 11/06/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
10/26/2012 18 ORDER REFERRING CASE to Magistrate Judge Donna F. Martinez to confer with the parties and enter the scheduling order, Signed by Judge Robert N. Chatigny on 10/25/12. Motions referred to Donna F. Martinez(Blue, A.) (Entered: 10/31/2012)
Doc 18 PDF file
http://www.scribd.com/doc/111691272/USA-v-Williams-Et-Al-Doc-18-Filed-26-Oct-12
Pacer update 31 Oct Jul 12 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC
https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl
10/26/2012 18 ORDER REFERRING CASE to Magistrate Judge Donna F. Martinez to confer with the parties and enter the scheduling order, Signed by Judge Robert N. Chatigny on 10/25/12. Motions referred to Donna F. Martinez(Blue, A.) (Entered: 10/31/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
10/24/2012 17 ORDER Returning Submission as Deficient: Notice of Appearance returned to Jerry S. Williams as to Jerry S. Williams, Signed by Judge Robert N. Chatigny on 10/24/12. (Blue, A.) (Entered: 10/24/2012)
Doc 17 PDF file
http://www.scribd.com/doc/111119532/SEC-v-Williams-Et-Al-Doc-17-Filed-24-Oct-12
Extract:
-> 6. Other - Defendant cannot file an appearance on behalf of his company
Pacer update 24 Oct Jul 12 - 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
10/24/2012 17 ORDER Returning Submission as Deficient: Notice of Appearance returned to Jerry S. Williams as to Jerry S. Williams, Signed by Judge Robert N. Chatigny on 10/24/12. (Blue, A.) (Entered: 10/24/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
10/15/2012 16 Joint REPORT of Rule 26(f) Planning Meeting. (Harper, Richard) (Entered: 10/15/2012)
Doc 16 PDF file
http://www.scribd.com/doc/110102650/SEC-v-Williams-Et-Al-Doc-16-Filed-15-Oct-12
Pacer update 15 Oct Jul 12 - 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
10/15/2012 16 Joint REPORT of Rule 26(f) Planning Meeting. (Harper, Richard) (Entered: 10/15/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
09/25/2012 14 MOTION to Strike 13 Answer to Complaint of Monk's Den, LLC and First In Awareness, LLC by Securities & Exchange Commission.Responses due by 10/16/2012 (Attachments: # 1 Memorandum in Support)(Harper, Richard) (Entered: 09/25/2012)
Doc 14 PDF file
http://www.scribd.com/doc/107067497/SEC-v-Williams-Et-Al-Doc-14-Filed-25-Sep-12
Doc 14-1 PDF file
http://www.scribd.com/doc/107067599/SEC-v-Williams-Et-Al-Doc-14-1-Filed-25-Sep-12
Pacer update 25 Sep Jul 12 - 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
09/25/2012 14 MOTION to Strike 13 Answer to Complaint of Monk's Den, LLC and First In Awareness, LLC by Securities & Exchange Commission.Responses due by 10/16/2012 (Attachments: # 1 Memorandum in Support)(Harper, Richard) (Entered: 09/25/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
Pacer update 14 Sep Jul 12 - 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
09/14/2012 13 ANSWER to 1 Complaint with Affirmative Defenses with Jury Demand by Jerry S. Williams.(Blue, A.) (Entered: 09/14/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
Pacer update 16 Aug Jul 12 - 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
08/15/2012 Answer deadline updated for Jerry S. Williams to 9/17/2012. (Glynn, T.) (Entered: 08/16/2012)
08/15/2012 12 ORDER granting 11 Motion for Extension of Time in light of the defendant's pro se status. The defendant will file and serve a response to the complaint on or before September 17, 2012. The defendant is hereby notified that further extensions of this deadline are unlikely to be granted. The defendant is also notified that future motions must comply with the requirements of Local Rules 5 and 7. So ordered. Signed by Judge Robert N. Chatigny on 8/15/12. (Chatigny, Robert) (Entered: 08/15/2012)
08/14/2012 11 MOTION for Extension of Time for 30 days to respond 1 Complaint by Jerry S. Williams. (Blue, A.) (Entered: 08/14/2012)
08/03/2012 10 SUMMONS Returned Executed by Securities & Exchange Commission. Monk's Den, LLC served on 7/24/2012, answer due 8/14/2012. (Harper, Richard) (Entered: 08/03/2012)
08/03/2012 9 SUMMONS Returned Executed by Securities & Exchange Commission. First In Awareness, LLC served on 7/27/2012, answer due 8/17/2012. (Harper, Richard) (Entered: 08/03/2012)
08/03/2012 8 SUMMONS Returned Executed by Securities & Exchange Commission. Jerry S. Williams served on 7/27/2012, answer due 8/17/2012. (Harper, Richard) (Entered: 08/03/2012)
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
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
07/20/2012 1 COMPLAINT against All Defendants, filed by Securities & Exchange Commission.(Hughes, John) (Entered: 07/20/2012)
Doc 1 PDF file
http://www.sec.gov/litigation/complaints/2012/comp22420.pdf
07/23/2012 5 ELECTRONIC SUMMONS ISSUED in accordance with Fed. R. Civ. P. 4 and LR 4 as to *First In Awareness, LLC, Monk's Den, LLC, Jerry S. Williams* with answer to complaint due within *21* days. Attorney *John B. Hughes* *U.S. Attorney's Office-NH* *157 Church St, 25th Flr.* *New Haven, CT 06510*. (Blue, A.) (Entered: 07/23/2012)
Doc 5 PDF file
http://www.scribd.com/doc/100846654/SEC-v-Williams-et-al-Doc-5-filed-23-Jul-12-pdf
Pacer update 23 Jul 12 - SEC v. Williams et al CIVIL DOCKET FOR CASE #: 3:12-cv-01068-RNC
https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl
U.S. District Court
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: 203-773-5373
Email: john.hughes@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
V.
Defendant
Jerry S. Williams
Defendant
Monk's Den, LLC
Defendant
First In Awareness, LLC
Date Filed # Docket Text
07/23/2012 6 NOTICE re Local Rule 83.1 Letter (Blue, A.) (Entered: 07/23/2012)
07/23/2012 5 ELECTRONIC SUMMONS ISSUED in accordance with Fed. R. Civ. P. 4 and LR 4 as to *First In Awareness, LLC, Monk's Den, LLC, Jerry S. Williams* with answer to complaint due within *21* days. Attorney *John B. Hughes* *U.S. Attorney's Office-NH* *157 Church St, 25th Flr.* *New Haven, CT 06510*. (Blue, A.) (Entered: 07/23/2012)
07/23/2012 4 NOTICE TO COUNSEL: Counsel initiating or removing this action is responsible for serving all parties with attached documents and copies of 2 Order on Pretrial Deadlines, 3 Electronic Filing Order, 1 Complaint filed by Securities & Exchange Commission. Signed by Clerk on 7/23/12. (Blue, A.) (Entered: 07/23/2012)
07/20/2012 3 ELECTRONIC FILING ORDER - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER. Signed by Judge Robert N. Chatigny on 7/20/12. (Attachments: # 1 Efile Attachment)(Blue, A.) (Entered: 07/23/2012)
07/20/2012 2 Order on Pretrial Deadlines: Amended Pleadings due by 9/18/2012 Discovery due by 1/19/2013. Signed by Clerk on 7/20/12. (Blue, A.) (Entered: 07/23/2012)
07/20/2012 Judge Robert N. Chatigny added. (Malone, P.) (Entered: 07/23/2012)
07/20/2012 Request for Clerk to issue summons as to First In Awareness, LLC, Monk's Den, LLC, Jerry S Williams. (Hughes, John) (Entered: 07/20/2012)
07/20/2012 1 COMPLAINT against All Defendants, filed by Securities & Exchange Commission.(Hughes, John) (Entered: 07/20/2012)
https://ecf.ctd.uscourts.gov/cgi-bin/iquery.pl
SEC CHARGES STOCK PROMOTER IN INTERNET-BASED SCALPING SCHEME.
U.S. SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 22420 / July 23, 2012
Securities and Exchange Commission v. Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC, 3:12-cv-01068 (District of Connecticut, Complaint filed July 20, 2012)
SEC CHARGES STOCK PROMOTER IN INTERNET-BASED SCALPING SCHEME.
The Securities and Exchange Commission announced today that on July 20, 2012, it filed a civil fraud action against former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk’s Den, LLC and First In Awareness, LLC. The Commission charged Williams with running a scalping scheme from which he made over $2.4 million. Scalping is a type of fraud in which the owner of shares of a security recommends that security for investment and then immediately sells it at a profit upon the rise in market price which follows the recommendation.
The Commission’s Complaint alleges that from at least early 2009 through at least the end of 2010, Williams recommended two stocks, Cascadia Investments, Inc. and Green Oasis Environmental, Inc., to a large group of potential investors who followed his trading recommendations and strategies. According to the Complaint, Williams, who was known to his followers as “Monk,” used his internet-based message board (called “Monk’s Den”), in-person seminars (called “Monkinars”), and other means to encourage people to buy, hold, and accumulate Cascadia and Green Oasis stock. In particular, the Complaint alleges that Williams told potential investors 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. The Commission’s Complaint alleges that Williams falsely stated that he had previously used this strategy to make himself and others enormous profits. The Complaint alleges that in fact, unknown to potential investors, 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. According to the Complaint, 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. Through this scheme, the Complaint alleges, Williams made over $2.4 million.
The Commission’s Complaint charged Williams, First In Awareness, LLC and Monk’s Den, LLC with violating Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a), (b), and (c) thereunder. The Commission also charged Williams with violating Sections 17(a)(1), 17(a)(2), 17(a)(3) and 17(b) of the Securities Act of 1933 and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission is seeking permanent injunctions, disgorgement, prejudgment interest, and civil penalties against each defendant and, as to Williams only, a penny stock bar.
The Commission’s investigation is continuing.
For further information, see Securities Exchange Act of 1934 Release 34-63242 (November 4, 2010) [order suspending trading in the securities of 8000, Inc.].
SEC Complaint in this matter
http://www.sec.gov/litigation/litreleases/2012/lr22420.htm
09/27/2012 1 COMPLAINT against 8000, Inc., Jonathan E. Bryant, Carl N. Duncan, Thomas J. Kelly. Document filed by Securities and Exchange Commission.(mro) (Entered: 09/27/2012)
Doc 1 PDF file
http://www.sec.gov/litigation/complaints/2012/comp22495.pdf
Pacer update 27 Sep 12 - SEC v. 8000, Inc. et al CIVIL DOCKET FOR CASE #: 1:12-cv-07261-TPG
https://ecf.nysd.uscourts.gov/cgi-bin/iquery.pl
U.S. District Court
Southern District of New York (Foley Square)
CIVIL DOCKET FOR CASE #: 1:12-cv-07261-TPG
Securities and Exchange Commission v. 8000, Inc. et al
Assigned to: Judge Thomas P. Griesa
Cause: 15:78m(a) Securities Exchange Act
Date Filed: 09/27/2012
Jury Demand: None
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Valerie Ann Szczepanik
U.S. Securities and Exchange Commission
( 3 World Financial)
Three World Financial Center
New York, NY 10281
(212) 336-0175
Email: SzczepanikV@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
8000, Inc.
Defendant
Jonathan E. Bryant
Defendant
Thomas J. Kelly
Defendant
Carl N. Duncan
Date Filed # Docket Text
09/27/2012 2 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 09/27/2012)
09/27/2012 Case Designated ECF. (mro) (Entered: 09/27/2012)
09/27/2012 Magistrate Judge James C. Francis IV is so designated. (mro) (Entered: 09/27/2012)
09/27/2012 SUMMONS ISSUED as to 8000, Inc., Jonathan E. Bryant, Carl N. Duncan, Thomas J. Kelly. (mro) (Entered: 09/27/2012)
09/27/2012 1 COMPLAINT against 8000, Inc., Jonathan E. Bryant, Carl N. Duncan, Thomas J. Kelly. Document filed by Securities and Exchange Commission.(mro) (Entered: 09/27/2012)
https://ecf.nysd.uscourts.gov/cgi-bin/iquery.pl
I understand that films are done about that sort of thing, and you can find them if you make a botched "Google" search.
I've recently announced a shocking new theory about "Naked Longs". You can read my simplified explanation of it here:
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=62166724
Too bad. His Kool-Aid was exquisite.
Okay, this is both funny (kind of) and relevant:
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=60893011
Whoops. What happened here?
http://investorshub.advfn.com/boards/profilea.aspx?user=102802
And another one bites the dust. This leaves only Monkey and Melons as moderators.
Unfortunate the "Good Doctor" doesn't surface (PUNS INTENDED!) Sends his pawns these days to do the dirty work!!!
He thinks he's doing a good job concealing himself...I'd like to let him know otherwise!!!
"A California graduate school instructor believed to have profited from fake military and academic credentials for a decade has been charged with mail fraud.
According to a criminal complaint, William Hillar has been offering workshops, accepting paid speaking engagements and conducting training for government agencies under fraudulent pretenses."
Mail fraud. That could be a start or rather I should say the end for the Monkey.
It's amazing how many people do it.
Looks like they changed the name of the "I Wanna Be Like Monk" board to something completely unrelated.
lol, I noticed that too.
That means that title is up for grabs for anyone to use.
What? Monk didn't trademark it?
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Moderators scion janice shell Ninja7 |
GOAL
The intent of this message board is to inspect the anatomy of the latest securities manipulation scheme coined the - Float Lock Down (FLD).
BACKGROUND
One of the most recent and prominent advocates of these illegal FLD schemes were apparently implicated by the SEC--Monk's Den:
November 4, 2010
"The Commission temporarily suspended trading in the securities of 8000, Inc. because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, a cash dividend the company announced it would pay stockholders and Monk’s Den, an investment program and online investor network the company disclosed it acquired in September 2010. The Commission’s investigation in this matter is ongoing."
http://www.sec.gov/litigation/suspensions/2010/34-63242.pdf
8000, Inc. (EIGH) is just one of several publicly traded securities allegedly touted as a FLD by this "online investor network".
MOVING FORWARD
Since Monk's Den public domain debut, I intend to dissect the EIGH FLD and any other potential Monk's Den FLDs that may be uncovered and identified by law enforcement of regulatory agency.
In response to the SEC release, 8000, Inc. (EIGH) published a press release titled Statement to all Shareholders of 8000inc (EIGH.pk). EIGH's CEO, Thomas Kelly, publicly stated:
November 22, 2010
- It is not and has never been involved, independently or in combination with Monks Den or its principal(s), in any illegal stock profiting scheme (commonly called "pump and dump").
- The Company has not to date paid for any promotional activity and does not engage in any such activity.
- Nonetheless, neither the Company nor the Subpoenaed persons have engaged in illegal stock profiting or market manipulation.
PARTING THOUGHTS
I read on an internet chat room or website that a specific security has a large number of fails; are these sources reliable?
Investors should always be cautious that issuers, promoters, or shareholders may be seeking to stimulate buying interest by making false, misleading or unfounded statements in internet chat rooms or other such forums about alleged large naked short positions in some smaller issuers, particularly those trading on the OTCBB or Pink Sheets. Some individuals may encourage other investors to buy these issuers' securities by claiming that there will be an imminent "short squeeze," in which the alleged naked short sellers will be forced to cover open short positions at increasing prices. These claims in fact may be false.
Will close-out purchases required by Regulation SHO drive up a security's price?Although some short squeezes may occur naturally in the market, a scheme to manipulate the price or availability of stock in order to cause a short squeeze is illegal.
http://www.sec.gov/spotlight/keyregshoissues.htm
Dodd–Frank Wall Street Reform and Consumer Protection Act
Title IX - Investor Protections and Improvements to the Regulation of Securities
Subtitle B - Increasing Regulatory Enforcement and Remedies"Subtitle B gives the SEC further powers of enforcement. This includes a "whistleblower bounty program" which is based upon a similar program established by the IRS in 2006; the program allows persons who provide information which leads to a successful SEC enforcement to receive 10 to 30% of the monetary sanctions over $1 million."1
1http://en.wikipedia.org/wiki/Dodd%E2%80%93Frank_Wall_Street_Reform_and_Consumer_Protection_Act
1http://www.sec.gov/about/laws/wallstreetreform-cpa.pdf
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