UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF … · SAMY KHALIL . Gerger & Clarke . 1001...

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF TEXAS

HOUSTON DIVISION

) SECURITIES AND EXCHANGE ) COMMISSION, ) ) Plaintiff, ) Case No. 4:12-cv-00563 ) v. ) ) MARK A. JACKSON and ) JAMES J. RUEHLEN, ) ) Defendants. ) )

JOINT STIPULATION AND MOTION FOR ENTRY OF FINAL JUDGMENTS

1. Plaintiff, the United States Securities and Exchange Commission (the “SEC”), has

reached settlements with Defendant Mark A. Jackson (“Jackson”) and Defendant James J.

Ruehlen (“Ruehlen”) which resolve all claims asserted in this case.

2. Defendants have each consented to entry of a proposed final judgment reflecting

the terms of the underlying settlement. Mr. Jackson’s Consent is attached as Exhibit A and the

proposed Final Judgment as to Mr. Jackson is attached as Exhibit B. Mr. Ruehlen’s Consent is

attached as Exhibit C and the proposed Final Judgment as to Mr. Ruehlen is attached as

Exhibit D.

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Case 4:12-cv-00563 Document 209 Filed in TXSD on 07/02/14 of 3

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3. Now, therefore, the Parties respectfully request that the Court enter the proposed

Final Judgments as to each Defendant and close this case.

Dated: July 3, 2014 Respectfully submitted,

/s/ Alfred A. Day ALFRED A. DAY MA Bar No. 654436 PATRICK M. BRYAN D.C. Bar No. 490177 SHARAN K.S. CUSTER D.C. Bar No. 464495 NICHOLAS A. BRADY D.C. Bar No. 484612 Securities and Exchange Commission 100 F Street NE Washington, DC 20549-5949 Telephone: (202) 551-4702 Counsel for the SEC


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STIPULATED AND AGREED

/s/ /s/

DAVID S. KRAKOFF F. JOSEPH WARIN

Attorney-in-Charge D.C. Bar No. 229641 BuckleySandler LLP 1250 24th Street N.W., Ste. 700 Washington, D.C. 20037 Telephone: (202) 349-7950 Facsimile: (202) 349-8080 [email protected]

Attorney-in-Charge D.C. Bar No. 235978 Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W. Washington, D.C. 20036 Telephone: (202) 955-8500 Facsimile: (202) 467-0539 [email protected]

Of Counsel: Of Counsel:

ADAM MILLER LAUREN R. RANDELL PAIGE AMMONS BuckleySandler LLP 1250 24th Street N.W., Ste. 700 Washington, D.C. 20037

NICOLA T. HANNA Gibson, Dunn & Crutcher LLP 3161 Michelson Drive Irvine, California 92612 DANIEL P. CHUNG MARTIN A. HEWETT Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W. Washington, D.C. 20036 DAVID GERGER SAMY KHALIL Gerger & Clarke 1001 Fannin, Suite 1950 Houston, Texas 77002 Telephone: (713) 224-4400 Facsimile: (713) 224-5153

Counsel for Defendant Mark A. Jackson

Counsel for Defendant James J. Ruehlen


EXHIBIT A

Case 4:12-cv-00563 Document 209-1 Filed in TXSD on 07/02/14 Page 1 of 6

EXHIBIT B


EXHIBIT C


EXHIBIT D


UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF TEXAS

HOUSTON DIVISION

) SECURITIES AND EXCHANGE ) COMMISSION, ) ) Plaintiff, ) Case No. 4:12-cv-00563 ) v. ) Hon. Keith P. Ellison ) MARK A. JACKSON and ) JAMES J. RUEHLEN, ) ) Defendants. ) )

FINAL CONSENT JUDGMENT AS TO DEFENDANT JAMES J. RUEHLEN

The Securities and Exchange Commission having filed a Complaint and Defendant James

J. Ruehlen (“Defendant” or “Ruehlen”) having entered a general appearance; consented to the

Court’s jurisdiction over Defendant and the subject matter of this action; consented to entry of

this Final Judgment without admitting or denying the allegations of the Complaint (except as to

jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal

from this Final Judgment:

I.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and

Defendant’s agents, servants, employees, attorneys and all persons in active concert or

participation with them who receive notice of this Final Judgment by personal service or

otherwise are permanently restrained and enjoined from aiding and abetting any violation of

Section 13(b)(2)(A) of the Exchange Act [15 U.S.C. §§ 78m(b)(2)(A)] by knowingly or


recklessly providing substantial assistance to an issuer having a class of securities registered

pursuant to Section 12 of the Exchange Act [15 U .S.C. § 781] or that is required to file reports

pursuant to Section 15(d) of the Exchange Act [15 U.S.C. 780(f)] to make and keep accurate

books, records and accounts which, in reasonable detail, accurately and fairly reflect the

transactions and dispositions of the assets of the issuer.

II.

IT IS FURTHER ORDERED, ADJUDGED AND DECREED that the Consent of

Defendant James J. Ruehlen attached hereto is incorporated herein with the same force and effect

as if fully set forth herein, and that Defendant shall comply with all undertakings and agreements

set forth therein.

III.

IT IS FURTHER ORDERED, ADJUDGED AND DECREED that this Court shall

retain jurisdiction of the matter for purposes of enforcing the terms of this Final Judgment.

IV.

There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil

Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice.

Dated: ______________, 2014

____________________________________ Hon. Keith P. Ellison UNITED STATES DISTRICT JUDGE


UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF … · SAMY KHALIL . Gerger & Clarke . 1001...

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