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UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. COOK

Civil Action No. 09-cv-3333(MJD/FLN).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. TREVOR G. COOK, and PATRICK J. KILEY, et al., Defendants, and BASEL GROUP, LLC, et al., Relief Defendants.

United States District Court, D. Minnesota.

January 12, 2016.

Attorney(s) appearing for the Case

United States Securities and Exchange Commission, Plaintiff, represented by John E Birkenheier , US Securities & Exchange Commission, Justin Delfino , Securities & Exchange Commission, Steven L Klawans , Securities & Exchange Commission, Benjamin J Hanauer , US Securities and Exchange Commission & James S Alexander , United States Attorney's Office.

United States Securities and Exchange Commission, Plaintiff, represented by Steven C Seeger, Securities & Exchange Commission.

United States of America, Intervenor Plaintiff, represented by D Gerald Wilhelm , United States Attorney's Office & Tracy L Perzel , US Attorney's Office.

Trevor Cook, Defendant, represented by John D Thompson , Oberman Thompson, LLC, Piper L Kenney , Piper L. Kenney PLLC & William J Mauzy , Law Offices of William J Mauzy.

Patrick Kiley, Defendant, represented by David E Zins & H Nasif Mahmoud , McKenzie, Wilkes & Mahmoud.

FINRA Claimants, Defendant, represented by Christopher A Grgurich , Lindquist & Vennum PLLP, Christopher D Pham , Lindquist & Vennum LLP & Terrence J Fleming , Lindquist & Vennum PLLP.

New York Community Bank, Respondent, represented by Matthew J Pfohl , Interstate Auto Group, Inc., Scott M Lucas , Olson & Lucas, P.A. & Thomas B Olson , Olson & Lucas, PA.

Individual Investor Respondents, Respondent, represented by Gregory M Erickson , Mohrman Kaardal & Erickson, PA, James R Magnuson , Mohrman, Kaardal & Erickson, P.A. & William F Mohrman , Mohrman, Kaardal & Erickson, P.A..

L. Edward Baker, Respondent, represented by Richard G Wilson , Maslon LLP.

William Harris, Respondent, represented by Daniel L Gerdts , Daniel L. Gerdts, Lawyer.

Dot Anderson, Respondent, represented by Adam S Huhta , Huhta Law Firm, PLLC.

Gina Berg, Respondent, represented by Jamie R Pierce , Crown Bank.

Greene Espel P.L.L.P., Movant, represented by Kathryn N. Hibbard , Greene Espel PLLP, Andrew M. Luger , United States Attorney's Office & Lawrence M. Shapiro , Greene Espel PLLP.

U.S. Commodity Futures Trading Commission, Movant, represented by Rosemary - NA Hollinger, Not Admitted.

U.S. Commodity Futures Trading Commission, Movant, represented by Susan - NA J Gradman, Not Admitted.

R.J. Zayed, Carlson, Caspers, Vandenburgh & Lindquist, Receiver, represented by Brian W Hayes , Carlson Caspers Vandenburgh Lindquist & Schuman PA, Joseph M Kaczrowski , Carlson Caspers, Marlee A Jansen , Carlson Caspers Vandenburgh Lindquist & Schuman PA, Peter Kohlhepp , Carlson Caspers Vandenburgh Lindquist & Schuman PA, R J Zayed , Dorsey & Whitney LLP, Russell J Rigby , Carlson Caspers Vandenburgh Lindquist & Schuman PA, Samuel T Lockner , Carlson Caspers Vandenburgh Lindquist & Schuman PA & Tara C Norgard , Carlson Caspers Vandenburgh Lindquist & Schuman PA.

FINAL JUDGMENT AS TO RELIEF DEFENDANT OXFORD GLOBAL FX, LLC

The Securities and Exchange Commission having filed a Complaint and Relief Defendant Oxford Global FX, LLC ("Relief Defendant") having entered a general appearance; consented to the Court's jurisdiction over Relief Defendant...

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