Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh
No reply on file from Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh on this matter.
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"According to the SEC’s complaint, filed in federal district court in the Southern District of New York, Lewis obtained material, nonpublic information about two public companies through his majority ownership and control of a biotechnology investment fund."
"Lewis, et al., No. 1:23-cv-06438 (S.D.N.Y. filed July 26, 2023) SEC Obtains Final Consent Judgments as to Joseph C."
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"The final judgments permanently enjoin the defendants from violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and order them to pay penalties, disgorgement, and prejudgment interest in the following amounts: Penalty Disgorgement Prejudgment Interest Lewis $1,636,645.11 – – Carter $241,154.81 $241,154.81 $43,589.44 O’Connor $24,221.53 $171,886.12 $29,257.46 Waugh $33,126.86 $132,507.44 $22,554.64 The SEC’s litigation was conducted by Carina Cuellar and Timothy Work and supervised by Jim Carlson and Jim Connor."