Legal Opinion
Sec. & Exch. Comm'n v. Berkey
District Court, S.D. Illinois
Decided April 18, 2019No. 17 Civ. 9552 (GWG)PublishedCited by 1 opinion
1Opinion of the Court
GABRIEL W. GORENSTEIN, United States Magistrate Judge
Following the entry of a judgment on consent in favor of plaintiff Securities and Exchange Commission ("SEC") against defendant Zachary S. Berkey, the SEC now moves for disgorgement, prejudgment interest, and civil monetary penalties.1 For *357the following reasons, the SEC's motion is granted as set forth below.
I. BACKGROUND
A. Procedural History
The SEC filed a complaint on December 6, 2017, against Berkey and Daniel T. Fischer, alleging that while acting as registered representatives at Four Points Capital Partners LLC ("Four Points"), Berkey…
2Cases cited9 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Securities & Exchange Commission v. RazmilovicCourt of Appeals for the Second Circuit · 2013
- Kokesh v. Sec. & Exch. Comm'nSupreme Court of the United States · 2017
- Securities & Exchange Commission v. HaligiannisDistrict Court, S.D. New York · 2007
- Securities & Exchange Commission v. FrohlingCourt of Appeals for the Second Circuit · 2016
4 more not listed; retrieve them via the Exa API.
3Cited by1 opinion
- Securities & Exchange Commission v. EnglerDistrict Court, E.D. New York · 2022