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Securities and Exchange Commission v. Hamburger

United States District Court, D. Massachusetts

September 6, 2019

SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
BRETT HAMBURGER, Defendant.

          FINAL JUDGMENT AS TO DEFENDANT BRETT HAMBURGER

          DOUGLAS P. WOODLOCK UNITED STATES DISTRICT JUDGE

         WHEREAS, Plaintiff Securities and Exchange Commission (“Commission”) filed a Complaint, and defendant Brett Hamburger (“Hamburger”) answered the Complaint;

         WHEREAS, the Commission moved for summary judgment on its claims against Hamburger, and the parties thereafter briefed and argued this motion; and

         WHEREAS, the Court issued a Memorandum and Order granting the Commission's motion for summary judgment against Hamburger:

         I.

         IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant Hamburger 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:

(a) to employ any device, scheme, or artifice to defraud; or
(b) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person.

         IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant Hamburger's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant Hamburger or with anyone described in (a).

         II.

         IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant Hamburger 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:

(a) to employ any device, scheme, or artifice to defraud;
(b) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.

         IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant Hamburger's officers, agents, servants, employees, and attorneys; and (b) other persons ...


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