Securities and Exchange Commission v. Spencer

MOTION to Approve Consent Judgment Plaintiff's Unopposed Motion to Enter Judgments Against Defendants Christopher J. Spencer and John Busshaus. Document

S.D.N.Y.October 2, 2019

MATTHEW J. GULDE guldem@sec.gov SECURITIES AND EXCHANGE COMMISSION Burnett Plaza, Suite 1900 801 Cherry Street, Unit #18 Fort Worth, TX 76102-6882 Ph: 817-978-3821 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Case No. 1:19-cv-9070 v. CHRISTOPHER J. SPENCER and JOHN BUSSHAUS Defendants. PLAINTIFF’S UNOPPOSED MOTION TO ENTER JUDGMENTS AGAINST DEFENDANTS CHRISTOPHER J. SPENCER AND JOHN BUSSHAUS Plaintiff Securities and Exchange Commission (“Commission”) files this Unopposed Motion to Enter Judgments against Defendants Christopher J. Spencer and John Busshaus (“Defendant”), and respectfully shows the Court as follows: 1. On September 30, 2019, the Commission filed suit alleging violations of the federal securities laws by the Defendants. 2. The Commission has reached a settlement with Defendants regarding the Commission’s claims. Defendants have executed the attached Consents and agree to the form of Case 1:19-cv-09070-NRB Document 5 Filed 10/02/19 Page 1 of 3 SEC v. Spencer, et al Unopposed Motion to Enter Judgments Page 2 the attached proposed Judgments. A copy of the Consents are attached hereto as Exhibit “A” and a copy of the Judgments are attached hereto as Exhibit “B”. 3. The Commission respectfully requests that the Court enter the Judgments of permanent injunction as to Defendants and that the Court expressly rule that there is no just reason for delaying the entry of such Judgment under Federal Rule of Civil Procedure 54(b). October 2, 2019 Respectfully submitted, s/Matthew J. Gulde MATTHEW J. GULDE Illinois Bar No. 6272325 United States Securities and Exchange Commission Fort Worth Regional Office Burnett Plaza, Suite 1900 801 Cherry Street, Unit #18 Fort Worth, TX 76102-6882 Ph: 817-978-1410 Fax: 917-978-4927 guldem@sec.gov ATTORNEY FOR PLAINTIFF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Of Counsel: D. Thomas Keltner Texas Bar No. 24007474 United States Securities and Exchange Commission Fort Worth Regional Office Burnett Plaza, Suite 1900 801 Cherry Street, Unit #18 Fort Worth, TX 76102-6882 Ph: 817-978-3821 Fax: 917-978-2700 keltnerd@sec.gov Case 1:19-cv-09070-NRB Document 5 Filed 10/02/19 Page 2 of 3 SEC v. Spencer, et al Unopposed Motion to Enter Judgments Page 3 CERTIFICATE OF CONFERENCE I certify that counsel for the Commission conferred with counsel for Defendants, who stated that Defendants are not opposed to the relief requested in this motion. s/Matthew J. Gulde________________________ Matthew J. Gulde CERTIFICATE OF SERVICE I hereby certify that on October 2, 2019, a copy of foregoing Unopposed Motion To Enter Judgments Against Defendants Christopher J. Spencer and John Busshaus was filed electronically and served by mail on anyone unable to accept electronic filing. Notice of this filing will be sent by e-mail to all parties by operation of the Court’s electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. Parties may access this filing through the Court’s CM/ECF System. s/Matthew J. Gulde__________________________ Matthew J. Gulde Case 1:19-cv-09070-NRB Document 5 Filed 10/02/19 Page 3 of 3