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Securities and Exchange Commission v. Jurberg

United States District Court, D. Massachusetts

September 6, 2019

SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
Z. PAUL JURBERG, Defendant.

          FINAL JUDGMENT AS TO DEFENDANT Z. PAUL JURBERG

          DOUGLAS P. WOODLOCK UNITED STATES DISTRICT JUDGE

         WHEREAS, Plaintiff Securities and Exchange Commission (“Commission”) filed a Complaint, and defendant Z. Paul Jurberg (“Jurberg”) answered the Complaint;

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

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

         I.

         IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant Jurberg 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; or
(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 Jurberg's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant Jurberg or with anyone described in (a).

         II.

         IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant Jurberg is permanently restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption:

(a) Unless a registration statement is in effect as to a security, making use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise;
(b) Unless a registration statement is in effect as to a security, carrying or causing to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale; or
(c) Making use of any means or instruments of transportation or communication in interstate commerce or of the mails to offer to sell or offer to buy through the use or medium of any prospectus or otherwise any security, unless a registration statement has been filed with the Commission as to such security, or while the registration statement is the subject of a refusal order or stop order or (prior to the effective date of the registration ...

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