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)
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
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 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 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)
02/12/2014 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: 203-773-5373 Email: john.hughes@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED
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