SEC v. ELISEO JOJO PRISNO; and P/E Capital Investment Management Partners, No. 1:25-cv-7491, Northern District of Illinois (Mar. 31, 2026) — Judgment

1

IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ILLINOIS

EASTERN DIVISION

 :
UNITED STATES SECURITIES AND  :
EXCHANGE COMMISSION, :
 :

Plaintiff, :
 :

v. : Civil Action No. 1:25-cv-7491
 :
ELISEO JOJO PRISNO and P/E :    Hon. Jorge L. Alonso
CAPITAL INVESTMENT :
MANAGEMENT PARTNERS, :
 :

Defendants. :
 :

JUDGMENT AS TO DEFENDANT P/E CAPITAL
INVESTMENT MANAGEMENT PARTNERS

The Securities and Exchange Commission having filed a Complaint and Defendant P/E

Capital Investment Management Partners (“Defendant”) having entered a general appearance;

consented to the Court’s jurisdiction over Defendant and the subject matter of this action;

consented to entry of this Judgment without admitting or denying the allegations of the

Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph II);

waived findings of fact and conclusions of law; and waived any right to appeal from this

Judgment:

I.

 IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is

permanently restrained and enjoined from violating, directly or indirectly, Section 206(1) and

Section 206(2) of the Investment Advisers Act of 1940 (the “Advisers Act”) [15 U.S.C § 80b-

2

6(1)-(2)], by use of the mails or any means or instrumentality of interstate commerce, directly or

indirectly:

(1)  to employ any device, scheme, or artifice to defraud any client or

prospective client; and

(2)  to engage in any transaction, practice, or course of business which

operates as a fraud or deceit upon any client or prospective client

by: (i) approving actions on clients’ behalf without their authorization, including by

accessing client brokerage or advisory accounts using client credentials, or otherwise

impersonating clients to financial institutions; or by (ii) charging, invoicing, or collecting

from any advisory client any fee not fully disclosed in advance and expressly authorized

in writing by the client.

 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in

Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who

receive actual notice of this Judgment by personal service or otherwise: (a) Defendant’s officers,

agents, servants, employees, and attorneys; and (b) other persons in active concert or

participation with Defendant or with anyone described in (a).

II.

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant

shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty

pursuant to Section 21(d)(3) and (d)(7) of the Securities Exchange Act of 1934 [15 U.S.C.

§ 78u(d)(3), (7)] and Section 209(e) of the Advisers Act [15 U.S. Code § 80b-9(e)]. The Court

shall determine the amounts of the disgorgement and civil penalty upon motion of the

Commission. Prejudgment interest shall be calculated based on the amount of fees charged to

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clients each quarter (excluding the standard advisory fee) from the last day of such quarter,

dating back to February 1, 2019, based on the rate of interest used by the Internal Revenue

Service for the underpayment of federal income tax as set forth in 26 U.S.C. § 6621(a)(2).

In connection with the Commission’s motion for disgorgement, prejudgment interest, and

civil penalties, and at any hearing held on such a motion: (a) Defendant will be precluded from

arguing that he did not violate the federal securities laws as alleged in the Complaint; (b)

Defendant may not challenge the validity of the Consent or this Judgment; (c) solely for the

purposes of such motion, the allegations of the Complaint shall be accepted as and deemed true

by the Court; and (d) the Court may determine the issues raised in the motion on the basis of

affidavits, declarations, excerpts of sworn deposition or investigative testimony, and

documentary evidence, without regard to the standards for summary judgment contained in Rule

56(c) of the Federal Rules of Civil Procedure. In connection with the Commission’s motion for

disgorgement, prejudgment interest, and civil penalties, the parties may take discovery, including

discovery from appropriate non-parties.

III.

 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is

incorporated herein with the same force and effect as if fully set forth herein, and that Defendant

shall comply with all of the undertakings and agreements set forth therein.

IV.

 There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil

Procedure, the clerk is ordered to enter this judgment forthwith and without further notice.

Dated: March 26, 2026

____________________________________
UNITED STATES DISTRICT JUDGE

1 
 

IN THE UNITED STATES DISTRICT COURT 
FOR THE NORTHERN DISTRICT OF ILLINOIS 

EASTERN DIVISION 
                                         
 : 
UNITED STATES SECURITIES AND  : 
EXCHANGE COMMISSION, :   
 : 

Plaintiff, :        
 : 

v. : Civil Action No. 1:25-cv-7491 
 :  
ELISEO JOJO PRISNO and P/E :    Hon. Jorge L. Alonso 
CAPITAL INVESTMENT :   
MANAGEMENT PARTNERS, : 
 :  

Defendants. :   
 :  
 

JUDGMENT AS TO DEFENDANT P/E CAPITAL  
INVESTMENT MANAGEMENT PARTNERS 

 
The Securities and Exchange Commission having filed a Complaint and Defendant P/E 

Capital Investment Management Partners (“Defendant”) having entered a general appearance; 

consented to the Court’s jurisdiction over Defendant and the subject matter of this action; 

consented to entry of this Judgment without admitting or denying the allegations of the 

Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph II); 

waived findings of fact and conclusions of law; and waived any right to appeal from this 

Judgment: 

I. 

 IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is 

permanently restrained and enjoined from violating, directly or indirectly, Section 206(1) and 

Section 206(2) of the Investment Advisers Act of 1940 (the “Advisers Act”) [15 U.S.C § 80b-

Case: 1:25-cv-07491 Document #: 43 Filed: 03/26/26 Page 1 of 3 PageID #:130



2 
 

6(1)-(2)], by use of the mails or any means or instrumentality of interstate commerce, directly or 

indirectly:  

(1)  to employ any device, scheme, or artifice to defraud any client or 

prospective client; and  

(2)  to engage in any transaction, practice, or course of business which 

operates as a fraud or deceit upon any client or prospective client 

by: (i) approving actions on clients’ behalf without their authorization, including by 

accessing client brokerage or advisory accounts using client credentials, or otherwise 

impersonating clients to financial institutions; or by (ii) charging, invoicing, or collecting 

from any advisory client any fee not fully disclosed in advance and expressly authorized 

in writing by the client. 

 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in 

Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who 

receive actual notice of this Judgment by personal service or otherwise: (a) Defendant’s officers, 

agents, servants, employees, and attorneys; and (b) other persons in active concert or 

participation with Defendant or with anyone described in (a). 

II. 
 

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant 

shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty 

pursuant to Section 21(d)(3) and (d)(7) of the Securities Exchange Act of 1934 [15 U.S.C. 

§ 78u(d)(3), (7)] and Section 209(e) of the Advisers Act [15 U.S. Code § 80b-9(e)]. The Court 

shall determine the amounts of the disgorgement and civil penalty upon motion of the 

Commission. Prejudgment interest shall be calculated based on the amount of fees charged to 

Case: 1:25-cv-07491 Document #: 43 Filed: 03/26/26 Page 2 of 3 PageID #:131



3 
 

clients each quarter (excluding the standard advisory fee) from the last day of such quarter, 

dating back to February 1, 2019, based on the rate of interest used by the Internal Revenue 

Service for the underpayment of federal income tax as set forth in 26 U.S.C. § 6621(a)(2).  

In connection with the Commission’s motion for disgorgement, prejudgment interest, and 

civil penalties, and at any hearing held on such a motion: (a) Defendant will be precluded from 

arguing that he did not violate the federal securities laws as alleged in the Complaint; (b) 

Defendant may not challenge the validity of the Consent or this Judgment; (c) solely for the 

purposes of such motion, the allegations of the Complaint shall be accepted as and deemed true 

by the Court; and (d) the Court may determine the issues raised in the motion on the basis of 

affidavits, declarations, excerpts of sworn deposition or investigative testimony, and 

documentary evidence, without regard to the standards for summary judgment contained in Rule 

56(c) of the Federal Rules of Civil Procedure. In connection with the Commission’s motion for 

disgorgement, prejudgment interest, and civil penalties, the parties may take discovery, including 

discovery from appropriate non-parties. 

III.  
 

 IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is 

incorporated herein with the same force and effect as if fully set forth herein, and that Defendant 

shall comply with all of the undertakings and agreements set forth therein. 

IV. 

 There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil 

Procedure, the clerk is ordered to enter this judgment forthwith and without further notice. 

Dated: March 26, 2026 

____________________________________ 
UNITED STATES DISTRICT JUDGE 

Case: 1:25-cv-07491 Document #: 43 Filed: 03/26/26 Page 3 of 3 PageID #:132