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S.E.C. v. SHARP

CIVIL ACTION NO. 21-11276-WGY.

626 F.Supp.3d 345 (2022)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Frederick L. SHARP, Zhiying Yvonne Gasarch, Courtney Kelln, Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, William T. Kaitz, Avtar S. Dhillon, and Graham R. Taylor, Defendants.

United States District Court, D. Massachusetts.

Signed September 6, 2022.

Attorney(s) appearing for the Case

Eric A. Forni , DLA Piper LLP, Boston, MA, David H. London , Kathleen Burdette Shields , U.S. Securities and Exchange Commission, Boston, MA, for Plaintiff.

Karen A. Pickett , Pickett Law Offices, P.C., Boston, MA, Michelle R. Pascucci , Donnelly, Conroy & Gelhaar, LLP, Boston, MA, for Defendant Zhiying Yvonne Gasarch.

Holly J. Wilson , Pro Hac Vice, Kevin B. Muhlendorf , Pro Hac Vice, Pamela L. Signorello , Wiley Rein LLP, Washington, DC, for Defendant Courtney Kelln.

Michael Tremonte , Pro Hue Vice, Robert Knuts , Pro Rae Vice, Sher Tremonte LLP, New York, NY, Howard M. Cooper , Lorraine Belostock , Todd & Weld LLP, Boston, MA, for Defendant Mike K. Veldhuis.

Neil Thomas Smith , K & L Gates LLP, Boston, MA, Robert S. Silverblatt , Pro Hac Vice, Stephen G. Topetzes , Pro Hac Vice, K&L Gates LLP, Washington, DC, for Defendant Paul Sexton.

Caitlyn M. Campbell , Elizabeth A. Rodd , Sarah E. Walters , McDermott Will & Emery LLP, Boston, MA, for Defendant Jackson T. Friesen.

Brian R. Blais , Brooke Paula Cohen , Daniel A. Yanofsky , Ropes & Gray LLP, Boston, MA, R. Daniel O'Connor , Securities and Exchange Commission, Boston, MA, for Defendant William T. Kaitz.

Adrienne M. Ward , Pro Hac Vice, John G. Moon , Pro Hac Vice, Olshan Frome Wolosky, LLP, New York, NY, George W. Vien , Daniel W. Sack , Donnelly, Conroy & Gelhaar, LLP, Boston, MA, for Defendant Avtar S. Dhillon.

Michael J. Quinn , Pro Hac Vice, Vedder Price P.C., Los Angeles, CA, Jeffrey T. Collins , Maura D. McLaughlin , Morgan, Brown & Joy LLP, Boston, MA, for Defendant Graham R. Taylor.

Jackson T. Friesen, Pro Se.

MEMORANDUM & ORDER

I. INTRODUCTION

In this case, the Securities and Exchange Commission (the "SEC") brings an enforcement action against nine defendants for their alleged violation of several securities laws and regulations...

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