scion
10年前
Pacer update 01 Oct 15 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
10/01/2015 196 Copy re 194 Judgment, 193 Order on Motion for Default Judgment & Docket Sheet, sent certified mail AN# 2301 0640 0001 0854 9151 to Jean-Francois Amyot on 10/1/2015. (DaSilva, Carolina) (Entered: 10/01/2015)
10/01/2015 195 Judge Indira Talwani: ORDER entered. Final Judgment of Permanent Injunction and other Relief as to Defendant Spencer Pharmaceutical Inc. (DaSilva, Carolina) (Entered: 10/01/2015)
10/01/2015 194 Judge Indira Talwani: ORDER entered. Final Judgement of Permanent Injunction and Other Relief as to Defendant's Jean-Francois Amyot, Hilbroy Advisory Inc., and IAB Media Inc. (DaSilva, Carolina) (Entered: 10/01/2015)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
sunspotter
11年前
I don't like to say I told you so, but I told you so:
"Court Orders Canadian Pump-And-Dump Operator, Massachusetts-Based Public Company, and Others Involved in Fictitious Buyout Offer to Pay Over $7 Million"
Quote:
Litigation Release No. 23375 / October 1, 2015
Securities and Exchange Commission v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc., Civil Action No. 1:12-cv-12334 (D. Mass.)
Court Orders Canadian Pump-And-Dump Operator, Massachusetts-Based Public Company, and Others Involved in Fictitious Buyout Offer to Pay Over $7 Million
The Securities and Exchange Commission (the "Commission") announced today that on September 30, 2015, the United States District Court for the District of Massachusetts issued an order setting final judgments in an enforcement action filed in December 2012 against defendants Jean-François Amyot, the orchestrator of a pump-and-dump scheme, and Spencer Pharmaceutical Inc. ("Spencer"), a publicly-traded company with addresses in both Boston, Massachusetts, and Canada. The Court also ordered the entry of final judgments against IAB Media Inc. ("IAB Media") and Hilbroy Advisory Inc. ("Hilbroy"), two Canadian companies controlled by Amyot. Among other things, the final judgments will order the parties to variously pay a total of $ 7,084,764 in disgorgement of ill-gotten gains, prejudgment interest, civil penalties, and sanctions.
According to the Commission's complaint, filed on December 17, 2012, Amyot, Spencer, Hilbroy, and IAB Media were involved in a "pump-and-dump" scheme in 2010 and 2011 involving Spencer's publicly-traded stock. The complaint alleges that the scheme was orchestrated by Amyot, a Canadian resident who controlled Spencer, Hilbroy, and IAB Media. According to the complaint, Amyot worked with the three companies, as well as Spencer's two officers and directors, to create and disseminate false and misleading press releases and to otherwise promote Spencer's stock, including via websites and newsletters. The complaint alleges that, among the false and misleading press releases were a series of releases that claimed that Spencer had received an unsolicited buyout offer from a Mideast company for $245 million. In fact, the purported buyout offer was not real. According to the complaint, the promotional campaign significantly pumped up the price of Spencer's stock - at one point causing the price to more than double in two days - and consequently enabled Amyot to dump tens of millions of shares into the market at artificially inflated prices for gross proceeds in excess of $5 million. The complaint further alleged that Spencer, Spencer's CEO, and Amyot violated certain provisions of the federal securities laws by transferring millions of Spencer shares in an effort to evade registration requirements.
The final judgments, which will be entered by default, will permanently enjoin Amyot, Spencer, Hilbroy, and IAB Media from violating Section 17(a) of the Securities Act of 1933 ("Securities Act") and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgments against Amyot and Spencer will further enjoin them from violating Sections 5(a) and (c) of the Securities Act, and the final judgment against Amyot will also permanently bar Amyot from serving as a director or officer of a public company and from participating in a penny stock offering. The final judgments will also require Amyot, Hilbroy, and IAB Media to collectively pay $5,879,339 in disgorgement and prejudgment interest and $1,050,000 in penalties ($750,000 by Amyot and $150,000 each by Hilbroy and IAB Media). The final judgment against Spencer will require the company to pay a penalty of $150,000.
The Court also imposed additional monetary sanctions of $5,425 against Amyot who, with no notice to the Court or the Commission, failed to appear at the trial, which had been scheduled to commence on Monday, November 17, 2014. His failure to appear resulted in the Court immediately entering a default against him and the Court awarded sanctions in the amount of 15.5 hours of attorney's fees for the Commission's final pretrial preparations the day before trial. The Court previously defaulted Spencer, IAB Media, and Hilbroy after each failed to appear as parties in the case.
The Court previously entered final judgments against Spencer's two officers, Maximilien Arella and Ian Morrice, on September 25, 2014. Arella and Morrice each consented to the entry of the final judgments, which permanently enjoined them from future violations of certain antifraud provisions of the federal securities laws, barred both for a period of five years from serving as a director or officer of a public company and from participating in a penny stock offering, and ordered them to each pay $50,000 penalties.
The Commission acknowledges the assistance of the Quebec Autorité des Marchés Financiers in connection with this matter.
The Commission suspended trading in Spencer securities on December 17, 2012 (Release 34-68447). Securities of Spencer were quoted on OTC Link operated by OTC Markets Group Inc.
For further information, see Litigation Release 22574 (December 17, 2012) and Litigation Release 23092 (September 25, 2014)."
http://www.sec.gov/litigation/litreleases/2015/lr23375.htm
https://www.sec.gov/litigation/litreleases/2015/lr23375.htm
sunspotter
11年前
For the Francophones among you, an article on my favorite crook, Jean-François Amyot (who has grown distinctly porky in the past couple of years, judging from the photo):
http://argent.canoe.ca/nouvelles/une-vie-comme-un-film-qui-finit-mal-28032015
I don't think I have seen this link before.
A very rough translation follows:
"A life like a movie that ends badly
Quebecer Jean-Francois Amyot made $ 2 million in one afternoon just selling penny stocks, which he controlled from offshore accounts in the Bahamas and Panama. His life is similar in many ways to that of Jordan Belfort, the character played by Leonardo DiCaprio in 2013, a manager of a brokerage firm that specializes in these unscrupulous junk shares.
Jean-Francois Amyot recounts today with astonishing candor that memorable day in 2007, during an interview that he agreed to give our Bureau of Investigation pending his sentence in the United States.
"My tax return in 2006, he says, it was $ 16 million. In 10 years, I had to make $ 100 million. "
A penny stock is a common stock that sells for pennies. In French, we call them junk shares.
Amyot confides in our investigative reporter because he has very little to lose: he got caught not by the authorities supervising the financial markets here, but by the US Securities and Exchange Commission SEC .
"Not all white"
The SEC wants a lifetime ban for Amyot from trading in penny stocks and a fine of US $ 11 million in response to appeals initiated in 2012. He did not appear at his trial. He also faces prison with a further AMF case), filed in September.
"I'm not white," he acknowledges, the calm voice when we met him in a luxury hotel downtown.
While he is unknown to the general public, well-placed people knew him. Amyot has organized fundraising dinners at $ 1,000 cover for Senator Larry Smith and the former Minister of Revenue Jean-Pierre Blackburn. He attended Arab princes. He was the partner of Jean-Guy Lambert and presented to the Canadian Senate. He even accompanied Jean Chrétien, Lucien Bouchard and Mike Harris with a delegation to China. A federal former Liberal minister, David Dingwall, served on the board of one of his companies, in which a relative of Vito Rizzuto, Tony Papa, was a shareholder.
Hidden in the Bahamas
In recent years, Amyot has lived in the Bahamas, a tax haven, in a fenced and guarded neighborhood for the ultra-rich.
"I left Montreal in 2012 because they informed me that my life was in danger, he says, referring to the presence of organized crime in penny stocks.
During the 2000s, Amyot controlled and promotes a hundred penny stocks in Quebec and elsewhere in North America. In theory, they are used in legitimate small companies trying to find funding. In practice, however, there are many fake companies which are not much more than scraps of paper.
Buyers are mostly Americans, but also naive Quebecois fall for it.
Missing Values
Most penny stocks sold by Amyot disappeared today. They are worthless.
The following names have therefore also disappeared Spencer Pharmaceutical, Energy 1 Corp., Andes Gold Corporation, Kender Energy Wanderport Corporation. These penny stocks with esoteric names are generally invented from nothing by Amyot.
Amyot has in turn promoted Finkelstein Capital companies, Midland Baring Hilbroy Advisory, IAB Media, Venture Capital Rainmaker, Publications Hypergrowthstock or Cunningham-Adams Fund in Panama.
According to the AMF and the SEC, promotions Amyot are purely pump and dump, that is to say, the pimping of worthless products.
Amyot denies having these charges. Although he admits he is not completely white, he said he had never broken the law itself.
"They were real companies. I lost my money too (in certain promotions). Sure I'm trying to present things in a favorable light, "he concedes.
He also claims that even if he had offshore accounts, he paid all taxes owed to Quebec.
It was during the tech bubble of the late 1990s that Jean-Francois Amyot has his first experience of the financial markets. A former student in Finance at McGill, he worked at Reuters.
"The first share I bought cost 10 cents, I bought $ 1,000 worth. The next day it had risen to $ 1. I called my broker and I asked him to sell. He told me to wait, it will go up again. On the third day, it was worthless. I learnt my lesson" he says.
In prison?
Jean-Francois Amyot was presented primarily as a seller, like the Wolf of Wall Street Jordan Belfort, who now lectures on the art of selling. Besides, he does not exclude giving also lectures when his case is completed.
"I'm a marketing guy. For a long time I thought we had to sell a penny stock as it sells any product, "he says to justify his work. He says philosophically he will accept the prison that awaits if ever the AMF manage to convict him.
"In life, shit happens. If Vincent Lacroix was sentenced to four years in prison, I wonder what we're going to give me. He, he stole 130 million to small savers. I've never done anything like this, "he pleads.
***
Sex, drugs, vodka
Jean-François Amyot is defined as a "vodka guy" and a good father, but he has already surprised a partner with escorts in a hotel room in Laval. Luxury cars, private jets, sex and drugs are common for stock promoters, which is not dissimilar to several scenes from the film The Wolf of Wall Street.
"There's something for everyone if you love women, power, luxury, alcohol ...," he said. During his "sabbatical" in the Bahamas in 2013, he said he attended Montrealers who made their fortunes in diamond trading. Those are shady fortunes too, he says. "We invite you in parties and it's another world," he said.
The Mafia
Amyot claims to have been threatened at least three times by the Mafia in his promoter career. A meeting was organized on the terrace of a downtown condo in 2013. Tonino Collachia, murdered in December, offered him a glass of grappa. "Where are my six million?" he asked, referring to its promotion of Spencer Pharmaceutical.
Amyot says he's very curious that neither the AMF nor the RCMP ever moved against the Mafia bigwigs associated with penny stock trading. According to him, the Mafia has been present for many years in the world of penny stocks and it is known to almost everyone.
Tax havens
According to Jean-Francois Amyot, the use of tax havens and offshore accounts is not likely to decrease but rather to intensify in the coming years in Quebec. "Revenu Québec has made a habit of threatening people, we live in a police state." He himself plans to soon return to the Bahamas to enjoy a more lenient taxation. According to Amyot, offshore is now moving to Asia. The language barrier and different alphabet help miscreants to hide, he said
The penny stocks in a few words
1. A promoter provides a website posing as a stock market information site. It can also acquire a list of emails where to send promotional emails (newsletters as they say in the business).
2. The promoter pays an "analyst" to promote a penny stock. The analyst implies that the company is promising. "We try all kinds of things to make look attractive" said Amyot.
3. The Company is promoted heavily, especially with keyword purchases on Google. Releases suggest that a major development is about to occur.
4. The promoters are also shareholders of the companies they tout. The shares, purchased for almost nothing, are held in offshore accounts (tax havens). When shares go up, they are sold at a very high profit. "Basically, it's nothing very complicated," he says."
scion
11年前
Pacer update 30 Jan 15 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
01/30/2015 191 ADDENDUM re 181 MOTION for Default Judgment , Remedies, and Sanctions (Offer of Proof) filed by Securities and Exchange Commission. (Drabick, James) (Entered: 01/30/2015)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
11年前
Pacer update 15 Jan 15 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
01/15/2015 190 ELECTRONIC NOTICE Resetting Hearing on Motion 120 MOTION for Default Judgment as to Defendants Spencer Pharmaceutical Inc., IAB Media Inc., and Hilbroy Advisory Inc., 181 MOTION for Default Judgment , Remedies, and Sanctions : Motion Hearing set for 1/16/2015 09:30 AM in Courtroom 17 before Judge Indira Talwani. PLEASE NOTE CHANGE IN TIME ONLY. (MacDonald, Gail) (Entered: 01/15/2015)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
11年前
VI. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that:
(a) Amyot, Hilbroy, and IAB Media are jointly and severally liable for disgorgement of $3,055,890.80, representing profits gained as a result of the misconduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $371,130.20, for a total amount of $3,427,021.00;
(b) Amyot is solely liable for additional disgorgement of $2,186,743.87, representing profits gained as a result of the misconduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $265,574.51, for a total amount of $2,452,318.38;
(c) Amyot is liable for a civil penalty in the amount of $_____________ pursuant to Section 20(d)(2) of the Securities Act [15 U.S.C. §77t(d)(2)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. §78u(d)(3)];
Extract -
Doc 181-1 PDF file
https://www.scribd.com/doc/249698921/SEC-v-Spencer-Pharmaceutical-Inc-Et-Al-Doc-181-1-Filed-08-Dec-14
scion
11年前
Pacer update 08 Dec 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
12/08/2014 185 AFFIDAVIT in Support re 181 MOTION for Default Judgment , Remedies, and Sanctions (Rua M. Kelly, Esq.) filed by Securities and Exchange Commission. (Drabick, James) (Entered: 12/08/2014)
12/08/2014 184 AFFIDAVIT in Support re 181 MOTION for Default Judgment , Remedies, and Sanctions (James R. Drabick, Esq.) filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Drabick, James) (Entered: 12/08/2014)
12/08/2014 183 AFFIDAVIT in Support re 181 MOTION for Default Judgment , Remedies, and Sanctions (Trevor Donelan) filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F (Part I), # 7 Exhibit F (Part II), # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I)(Drabick, James) (Entered: 12/08/2014)
12/08/2014 182 MEMORANDUM in Support re 181 MOTION for Default Judgment , Remedies, and Sanctions filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Drabick, James) (Entered: 12/08/2014)
12/08/2014 181 MOTION for Default Judgment , Remedies, and Sanctions by Securities and Exchange Commission. (Attachments: # 1 Text of Proposed Order (Final Judgment as to Jean-Francois Amyot, Hilbroy Advisory Inc., and IAB Media Inc.), # 2 Text of Proposed Order (Final Judgment as to Spencer Pharmaceutical Inc.))(Drabick, James) (Entered: 12/08/2014)
12/08/2014 180 Judge Indira Talwani: ELECTRONIC ORDER entered granting 179 Motion for Leave to File Excess Pages ; Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (MacDonald, Gail) (Entered: 12/08/2014)
12/05/2014 179 MOTION for Leave to File Excess Pages by Securities and Exchange Commission.(Kelly, Rua) (Entered: 12/05/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
12年前
Pacer update 19 Nov 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
11/19/2014 178 Copy mailed, Notices of Electronic Filing #175, #176, #177, to Jean-Francois Amyot on November 18, 2014. (Bartlett, Timothy) (Entered: 11/19/2014)
11/18/2014 177 Judge Indira Talwani: ELECTRONIC ORDER entered. ORDER Setting Hearing on Motion 120 MOTION for Default Judgment as to Defendants Spencer Pharmaceutical Inc., IAB Media Inc., and Hilbroy Advisory Inc. : Non-evidentiary hearing on default judgment against Mr. Amyot, and motion Hearing set for 1/8/2015 02:30 PM in Courtroom 17 before Judge Indira Talwani.(MacDonald, Gail) (Entered: 11/18/2014)
11/18/2014 174 NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Scalfani, Deborah) (Entered: 11/18/2014)
11/18/2014 173 Transcript of Day One of Jury Trial held on November 17, 2014, before Judge Indira Talwani. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Cheryl Dahlstrom at cheryldahlstrom@comcast.net Redaction Request due 12/9/2014. Redacted Transcript Deadline set for 12/19/2014. Release of Transcript Restriction set for 2/16/2015. (Scalfani, Deborah) (Entered: 11/18/2014)
11/17/2014 176 ELECTRONIC Clerk's Notes for proceedings held before Judge Indira Talwani: Hearing held on 11/17/2014, Jury Trial held on 11/17/2014. Case called at 8:45 a.m. The defendant is not in attendance and has not contacted the clerk. Court will wait until 9:00 a.m. Preliminary trial preparation proceeds.At 9:00 a.m. the court finds Mr. Amyot in default for the reasons set forth on the record. Plaintiff requests briefing on remedies, including injunctive relief, disgorgement, and request for sanctions. Court allows briefing as to all defaulted defendants. Plaintiffs brief due 12/8/14. Any objections due 12/22/14. Any objections by corporate defendants must be through counsel. No replies allowed without leave of court. Non-evidentiary hearing on default judgment against Mr. Amyot and the pending MOTION for Default Judgment 120 against corporate defendants set for 1/8/15 at 2:30 p.m. (Court Reporter: Cheryl Dahlstrom at cheryldahlstrom@comcast.net.)(Attorneys present: Drabick, Kelly) (MacDonald, Gail) (Entered: 11/18/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
12年前
Pacer update 17 Nov 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
11/17/2014 172 NOTICE is hereby given that an official transcript of a proceeding has been filed by the court reporter in the above-captioned matter. Counsel are referred to the Court's Transcript Redaction Policy, available on the court website at http://www.mad.uscourts.gov/attorneys/general-info.htm (Scalfani, Deborah) (Entered: 11/17/2014)
11/17/2014 171 Transcript of Pretrial Conference held on November 12, 2014, before Judge Indira Talwani. The Transcript may be purchased through the Court Reporter, viewed at the public terminal, or viewed through PACER after it is released. Court Reporter Name and Contact Information: Lee Marzilli at leemarz@aol.com Redaction Request due 12/8/2014. Redacted Transcript Deadline set for 12/18/2014. Release of Transcript Restriction set for 2/16/2015. (Scalfani, Deborah) (Entered: 11/17/2014)
11/17/2014 169 Judge Indira Talwani: ORDER entered. The court determines that Exhibits #141 and #323 are inadmissible.(MacDonald, Gail) (Entered: 11/17/2014)
11/17/2014 168 Judge Indira Talwani: ORDER entered. re 163 MOTION to Stay filed by Jean-Francois Amyot (MacDonald, Gail) (Entered: 11/17/2014)
11/14/2014 170 ELECTRONIC NOTICE of Hearing: Hearing set for 11/17/2014 08:30 AM in Courtroom 17 before Judge Indira Talwani. (MacDonald, Gail) (Entered: 11/17/2014)
11/14/2014 167 Judge Indira Talwani: ELECTRONIC ORDER entered denying 163 Motion to Stay. Memorandum to follow. Jury selection will commence at 9:00 a.m. on Monday, November 17, 2014. Counsel and Pro Se Defendant are to appear at 8:30 a.m. on 11/17/14 to address any preliminary matters. (MacDonald, Gail) (Entered: 11/14/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Lexit
12年前
SEC target Amyot a no-show for Boston trial
and now the end is near and so he faced the final curtain... and he did it his way....
Wednesday, November 19, 2014
SEC target Jean-Francais Amyot failed to appear for the first day of his jury trial in Boston Monday morning.The SEC claims that he was behind the mani pulation of pink sheets listing Spencer Pharmaceuticals Inc.
by Mike Caswell
QUEBEC'S JEAN-FRANCOIS Amyot was a no show at his pump and dump trial in Boston on Monday. The hearing,which includes a jury, was to begin Monday and continue for several days until the jury decided allegations that Mr. Amyot had run a $5.8-million market manipu lation. (All figures are in U.S. dollars.). Mr. Amyot was not present at the start of the day, and after waiting just 15 min utes the judge decided that he was not going to arrive. The judge then declared him to be in default, a finding that will likely result in him losing the case.
Source: Stockwatch, 19 Nov 2014, page 41
Pharma Exec Can't Duck SEC's Pump-And-Dump Suit
By Stewart Bishop
Law360, New York (November 14, 2014, 6:38 PM ET) -- The Canadian man behind Spencer Pharmaceutical Inc. must face charges from the U.S. Securities and Exchange Commission of spreading fictitious reports of a $245 million buyout to inflate stock prices, a Massachusetts federal judge said Friday, rejecting the man's bid to evade U.S. jurisdiction.
After revisiting the issue of jurisdiction ahead of a trial scheduled to begin Monday, U.S. District Judge Indira Talwani said given the SEC’s allegations that Spencer director Jean-Francois Amyot deceived investors into believing that Spencer was a U.S.-based company and considering he set up a “virtual office” in Boston, there is enough proof that Massachusetts is the proper venue to adjudicate charges that Amyot violated the Exchange Act of 1934.
Since the SEC satisfied jurisdiction under the Exchange Act, that is sufficient to establish a proper venue for other securities violations as well, Judge Talwani said in a written order.
“Accordingly, plaintiff SEC’s satisfaction of the venue provision of the Exchange Act is sufficient to establish that Massachusetts is an appropriate venue for the claims brought in this suit,” the judge said.
The agency claims the scheme was orchestrated by Amyot and Spencer directors Maximilien Arella and Ian Morrice, who allegedly began disseminating false press releases in November 2010 claiming a Mideast company had made an unsolicited bid to buy Spencer.
The trio collaborated with IAB Media Inc. and Hilbroy Advisory Inc., two public relations companies controlled by Amyot, to distribute the press releases and create a promotional campaign to drum up publicity for the alleged buyout offer, the complaint says. Spencer billed itself as a cutting-edge biotech firm but in reality had no business operations other than a research contract with a university in Montreal to develop technology related to a failed U.S. patent covering drug absorption.
As a result of the pump-and-dump campaign, the SEC says, Spencer’s stock more than doubled in the span of two days while its trading volume reached 6 million shares on Nov. 11, 2010 — a different stratosphere than the 50,000 shares Spencer was averaging in the three months prior to the buyout rumors.
The SEC says Amyot collected over $5.8 million from selling 36 million Spencer shares.
Amyot, who had been represented by counsel but is now appearing pro se, argued that jurisdiction in this case was precluded by the U.S. Supreme Court’s decision in Morrison v. National Australia Bank, which barred federal securities fraud actions for securities traded on foreign exchanges. He claimed Spencer’s stock was traded on OTC-Links, which is not an exchange as defined in Morrison.
However, Judge Talwani said Amyot was misapplying Morrison because the court in that case ruled that extraterritorial application of law was related to whether the allegations the plaintiff makes entitles it to relief, not whether the court had the power to hear the case.
Amyot and the SEC could not be reached for comment Friday.
Arella and Morrice settled with the SEC in September, agreeing to pay $50,000 each in penalties, and to five-year bans from serving as officers and directors of public companies.
Amyot, Morrice and several other associates are also facing charges from Quebec financial regulator Autorite des marches financier over alleged market manipulation involving Spencer and multiple other companies.
The SEC is represented in-house by Rua M. Kelly and James R. Drabick.
Amyot is appearing pro se.
The case is U.S. Securities and Exchange Commission v. Spencer Pharmaceutical Inc. et al., case number 1:12-cv-12334, in the U.S. District Court for the District of Massachusetts.
--Editing by Edrienne Su.
http://www.law360.com/lifesciences/articles/596291/pharma-exec-can-t-duck-sec-s-pump-and-dump-suit
scion
12年前
Jean-Francois Amyot
@jfamyot
Jean-Francois Amyot, is an Independent Venture Capitalist located in Nassau, Bahamas.
?
Paradise Island, Bahamas
?
jeanfrancoisamyot.brandyourself.com
?
Joined July 2009
https://twitter.com/jfamyot
Jean-Francois Amyot
http://jeanfrancoisamyot.brandyourself.com/
Hi, I'm Jean-Francois Amyot, I am a venture capitalist.
Jean-Francois Amyot is Venture Capitalist specializing in the microcap and smallcap markets. Prior to becoming a Venture Capitalist, Mr. Amyot served as President and Chief Executive Officer of publicly traded China Xin Network Media Corporation. In his 3 years as head of the operation, he established several joint ventures with thePeoplesRepublicofChinaand its State Development Commission andStateInformationCenteras well as the China Economic Information Network. Mr. Amyot founded Options Management Services a consulting firm specializing in international business development strategies and implementation of tactical sales force to the financial information industry. Mr. Amyot served as President of Options Management Services for seven (7) years and throughout those seven (7) years, the company supplied services to the leading information providers such as Reuters, Standard & Poors, Market Communication Group, Starfish Systems and the MarketNet Group.
Jean-Francois Amyot's Background
Jean-Francois Amyot's Experience
Director at Lilly Hoffman Heart Foundation
Present | Montreal
Gouverneur at Jeunesse Quebec
Present | Montreal
Jean-Francois Amyot's Education
McGill University
Centennial College
Etienne Brule
Jean-Francois Amyot's Interests & Activities
Web Marketing, Stock Market, Personal Investing, Trading, Social Media
http://jeanfrancoisamyot.brandyourself.com/
scion
12年前
Pacer update 11 Nov 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
11/11/2014 161 Judge Indira Talwani: ORDER entered granting 160 Motion to appear at the November 12, 2014 Pretrial Conference by telephone (MacDonald, Gail) (Entered: 11/11/2014)
11/11/2014 160 MOTION for pro se defendant to appear by telephone at the Pretrial Conference set for November 12, 2014 by Jean-Francois Amyot.(MacDonald, Gail) (Entered: 11/11/2014)
11/10/2014 159 Judge Indira Talwani: ORDER entered regarding argument on motion to dismiss for lack of personal jurisdiction. (Talwani, Indira) (Entered: 11/10/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
12年前
Pacer update 07 Nov 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
11/07/2014 156 STIPULATION of Dismissal of Seventh Claim for Relief by Securities and Exchange Commission. (Kelly, Rua) (Entered: 11/07/2014)
11/07/2014 154 Judge Indira Talwani: ORDER entered denying 140 Motion in Limine. (Bartlett, Timothy) Modified on 11/7/2014 to correct action to DENYING. (Bartlett, Timothy) (Entered: 11/07/2014)
11/07/2014 153 Judge Indira Talwani: ORDER entered granting 134 Motion in Limine (Bartlett, Timothy) (Entered: 11/07/2014)
11/06/2014 151 Judge Indira Talwani: ORDER entered granting 136 Motion in Limine (MacDonald, Gail) (Entered: 11/06/2014)
11/05/2014 155 Exhibit and Witness List from Evidentiary Hearing held 11/5/14. (MacDonald, Gail) (Main Document 155 replaced on 11/7/2014 to correct an error) (MacDonald, Gail). (Entered: 11/07/2014)
11/05/2014 152 ELECTRONIC Clerk's Notes for proceedings held before Judge Indira Talwani: Evidentiary Hearing held on 11/5/2014.The Court states that this is an evidentiary hearing in regard to the authenticity issue found in the motions in limine.Opening statement by Plaintiff (Drabick).The interpreter is sworn. Plaintiff calls witness, Robert Vallieres; witness is sworn.Exhibit A Admitted (Rapport D'execution/ Procs-verbal De Saisie Perquisition).Trial Exhibit 5 (Invoice for Regus, directed to Hilbroy, attn: JF Amyot) is shown to witness.Exhibit B Admitted (April 11, 2014, letter from AMF to SEC).Exhibit C Admitted (SEC Amended Exhibit List).Exhibit D(Trial Exhibit 5) Admitted (Invoice for Regus, directed to Hilbroy, attn: JF Amyot).Court breaks at noon. Court reconvenes.Pro se defendant Mr. Amyot cross-examines Mr. Vallieres.No further questions; witness excused.Plaintiff calls witness Benoit Belumeur; witness is sworn in.Exhibit E Admitted (April 15 & 22, 2014, letters from AMF to SEC). Exhibit FAdmitted (1. Rapport D'Analyse Autorit des Marchs Financiers (AMF) from E-Profile; 2. Analysis Report from E-Profile; 3. C.V. of Patrick Boismenu; and, 4. Certification by Patrick Boismenu). Mr. Amyot cross-examines Mr. Belumeur.Plaintiff does not redirect. Witness excused.Plaintiff (Kelly) calls witness Mr. Amyot; witness is sworn in.Exhibit GAdmitted (10/25/10 Email from Jean-Francois Amyot to Max Arella).Exhibit HAdmitted (Deposition Transcript of Jean-Francois Amyot).Witness excused. Nothing further. Closing arguments. Order to follow. Pretrial matters discussed. Plaintiff states trial will last be nine to ten days. Court will sit Wed., 11/26 but not Fri. 11/28. Court in recess. (Court Reporter: Cheryl Dahlstrom at cheryldahlstrom@comcast.net.)(Attorneys present: Drabick, Kelly, Amyot (Pro Se)) (MacDonald, Gail) (Entered: 11/06/2014)
11/03/2014 150 NOTICE by Securities and Exchange Commission of Estimate of Probable Trial Length (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 149 NOTICE by Securities and Exchange Commission of Proposed Succinct and Neutral Statement for Jury Empanelment (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 148 Proposed Jury Verdict by Securities and Exchange Commission. (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 147 Proposed Jury Instructions by Securities and Exchange Commission. (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 146 Proposed Jury Questions by Securities and Exchange Commission . (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 145 Joint Trial Exhibit List by Securities and Exchange Commission.. (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 144 NOTICE by Securities and Exchange Commission Designations of Depositions, Interrogatories and Requests for Admission (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L)(Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 143 Plaintiff's Witness List by Securities and Exchange Commission. (Kelly, Rua) (Entered: 11/03/2014)
11/03/2014 142 STIPULATION of Facts by Securities and Exchange Commission. (Kelly, Rua) (Entered: 11/03/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
12年前
Pacer update 03 Nov 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
11/03/2014 141 Opposition re 140 MOTION in Limine filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit A: Montreal Superior Court Order, # 2 Exhibit B: Joliette Superior Court Order)(Huntington, Franklin) (Entered: 11/03/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
scion
12年前
Pacer update 29 Oct 14 - SEC v. Spencer Pharmaceutical Inc et al CIVIL DOCKET FOR CASE #: 1:12-cv-12334
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
Date Filed # Docket Text
10/29/2014 140 MOTION in Limine to Exclude Evidence by Jean-Francois Amyot. (Bartlett, Timothy) (Entered: 10/29/2014)
10/29/2014 139 Disclosure pursuant to Rule 26 by Jean-Francois Amyot. (Attachments: # 1 Cover Letter) (Bartlett, Timothy) (Entered: 10/29/2014)
10/28/2014 137 Notice of correction to docket made by Court staff. Correction: document 135-5 corrected because: original document contained a personal identifier (MacDonald, Gail) (Entered: 10/28/2014)
10/27/2014 136 MOTION in Limine in Support of the Authenticity of Documents Produced by the Quebec Autorite Des Marches Financiers by Securities and Exchange Commission. (Attachments: # 1 Affidavit of James R. Drabick, Esq., # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6)(Drabick, James) (Entered: 10/27/2014)
10/27/2014 135 Notice of Supplemental Authorities re 18 MOTION to Dismiss for Lack of Jurisdiction Supplement to Plaintiff's Opposition to Defendant Amyot's Motion to Dismiss for Lack of Personal Jurisdiction filed by Securities and Exchange Commission. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Drabick, James) (Attachment 5 replaced on 10/28/2014) (MacDonald, Gail). (Entered: 10/27/2014)
10/27/2014 134 MOTION in Limine to Preclude Evidence or Argument About Past or Future Adverse Consequences by Securities and Exchange Commission.(Drabick, James) (Entered: 10/27/2014)
10/27/2014 133 MOTION in Limine to Preclude Speculation About Alleged Misconduct by Non-Parties and Argument About Plaintiff's Decision to Sue Him by Securities and Exchange Commission.(Drabick, James) (Entered: 10/27/2014)
United States District Court
District of Massachusetts (Boston)
CIVIL DOCKET FOR CASE #: 1:12-cv-12334-IT
Securities and Exchange Commission v. Spencer Pharmaceutical Inc et al
Assigned to: Judge Indira Talwani
Cause: 12:22 Securities Fraud
Date Filed: 12/17/2012
Jury Demand: Both
Nature of Suit: 850 Securities/Commodities
Jurisdiction: U.S. Government Plaintiff
Plaintiff
Securities and Exchange Commission
represented by Amy Gwiazda
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8839
Email: gwiazdaa@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James R. Drabick
Securities and Exchange Commission - MA
33 Arch Street
23rd Floor
Boston, MA 02110-1424
617-573-4535
Email: drabickj@sec.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Franklin C. Huntington , IV
Securities and Exchange Commission
33 Arch Street
23rd Floor
Boston, MA 02110
617-573-8960
Fax: 617-573-4590
Email: huntingtonf@sec.gov
ATTORNEY TO BE NOTICED
Rua M. Kelly
United States Securities and Exchange Commission
33 Arch Street
23rd Flr.
Boston, MA 02110-1424
617-573-8941
Email: kellyru@sec.gov
ATTORNEY TO BE NOTICED
V.
Defendant
Spencer Pharmaceutical Inc
Defendant
Jean-Francois Amyot
represented by Jean-Francois Amyot
315 Chemin Claude Lefebvre
Mont-Tremblant,
Quebec, CANADA
H3B 4R4
PRO SE
Faun M. Phillipson
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
Phillipson & Uretsky LLP
111 Broadway
8th Floor
New York, NY 10006
212-571-1255
Email: uretsky@phillipson-uretsky.com
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
Hinckley Allen Snyder LLP
Suite 1500
50 Kennedy Plaza
Providence, RI 02903
401-274-2000
Fax: 401-277-9600
Email: medwards@haslaw.com
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Maximilien Arella
represented by Maximilien Arella
586 Giraud
Laval, QC H7X 3J6
Canada
514-995-9874
PRO SE
Defendant
Ian Morrice
represented by Ian Morrice
9 Okanagan Drive
Nepean, ON K2H 7E7
Canada
613-808-0542
PRO SE
Defendant
IAB Media Inc.
represented by IAB Media Inc.
PRO SE
Faun M. Phillipson
(See above for address)
TERMINATED: 06/13/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Jonathan C. Uretsky
(See above for address)
TERMINATED: 06/03/2014
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Mitchell R. Edwards
(See above for address)
TERMINATED: 06/03/2014
ATTORNEY TO BE NOTICED
Defendant
Mediator
Judge Kenneth P. Neiman
https://ecf.mad.uscourts.gov/cgi-bin/iquery.pl
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