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U.S. S.E.C. v. JOHNSON

No. 21-1711.

43 F.4th 382 (2022)

U.S. SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Mark JOHNSON, Defendant-Appellant, and The Owings Group, LLC; Owings-1, LLC; Owings Capital Group, LLC; Owings Capital Funds, LLC; Kevin Drost; Brian Koslow; David Waltzer; MJSC Enterprises LLC; One Source Advisors, LLC; Strategic Coaching, Inc., Defendants.

United States Court of Appeals, Fourth Circuit.

Decided: August 4, 2022.

Attorney(s) appearing for the Case

ARGUED: William Stuart Heyman , HEYMAN LAW FIRM, Baltimore, Maryland, for Appellant. Daniel Staroselsky , UNITED STATES SECURITIES & EXCHANGE COMMISSION, Washington, D.C., for Appellee. ON BRIEF: Michael A. Conley , Acting General Counsel, John W. Avery , Deputy Solicitor, UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C., for Appellee.

Affirmed by published opinion. Judge Diaz wrote the opinion, in which Judge Niemeyer and Senior Judge Floyd joined.

Mark Johnson challenges the district court's disgorgement order against him and Owings Group, LLC, the entity he founded and controlled. Together, Johnson, Owings, and three codefendants perpetrated a fraudulent scheme in violation of federal securities laws. After Johnson consented to an entry of judgment, the court ordered...

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