2026-02-24 sec-litreleases judgment 192 KB 6,638 chars

SEC v. Joseph C. Lewis, No. 1:23-cv-06438, Southern District of New York (Feb. 24, 2026) — Judgment

raw: ph C. Lewis having entered a general appearance; consented to the Court's

ph C. Lewis having entered a general appearance; consented to the Court's, No. 1:23-cv-06438 (Feb. 24, 2026)

Caption: Maxum Casualty Insurance Company v. Brya

Enriched metadata

Scheme: accounting-fraud (60%)
Court: Southern District of New York
Case No.: 1:23-cv-06438
Civil penalty: $1,636,645

Classified accounting-fraud(confidence 60%). EDGAR detection: forms 10-K/10-Q/8-K/NT 10-K· recall 80% / precision 48%. detection rule →

Extracted insights

Entities 4

person defendant joseph c. lewis
person Joseph C. Lewis
organization United States District Court Southern District Of New York
organization United States Securities And Exchange Commission

Triples 4

Defendant Joseph C. Lewis consented to the Court's jurisdiction
Defendant shall pay a civil penalty of $1,636,645.11 to the Commission
The Commission shall send the funds paid pursuant to this Final Judgment to the United States Treasury
Defendant relinquishes all legal and equitable right, title, and interest in such funds

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ph C. Lewis having entered a general appearance; consented to the Court's · Source

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Extracted body text (6,638c)

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW Y,Q~R~K~-=-=-~· -=::.:.:::::::::::=-=--

UNITED STATES SECURITIES AND
EXCHANGE COMMISSION,

Plaintiff,

vs.

JOSEPH C. LEWIS, et al.,

Defendants.

- i·U~::'.' v SL1~

DOCrJMENT

I E1E21T ~1ITC TXF
J r, #: - --

Civil o. 1 :23-cv-6438-CM

FINAL JUDGMENT AS TO DEFENDANT JOSEPH C. LEWIS

The Securities and Exchange Commission ("Commission") having filed a Complaint and

Defendant Joseph C. Lewis 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 Final

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

this Final Judgment:

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

permanently restrained and enjoined from vio lating, directly or indirectly, Sect ion I O(b) of the

Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. § 78j(b)] and Rule l0b-5

promulgated thereunder [ 17 C.F.R. § 240.1 0b-5], by using any means or instrumentality of

interstate commerce, or of the mails, or of any fac ility of any national securities exchange, in

connection with the purchase or sale of any security:

(a) to employ any device, scheme, or artifice to defraud;

(b) to make any untrue statement of a material fact or to omit to state a material fact

necessary in order to make the statements made, in the light of the circumstances

under which they were made, not misleading; or

operate as a fraud or deceit upon any person.

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 thi s Final 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).

11.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a

civil penalty in the amount of $1 ,636,645.11 to the Commission pursuant to Exchange Act

Section 21A (15 U.S.C. § 78u-l(a)(2)). Defendant shall make this payment within thirty days

after entry of th is Final Judgment.

Defendant may transm it payment electronically to the Commission, which will provide

detailed ACH transfer/Fedwire instructions upon request. Payment may also be made directly

from a bank account via Pay.gov through the SEC website at

http://www.sec.gov/about/offices/ofm.htm. Defendant may also pay by certified check, bank

cashier ' s check, or United States postal money order payable to the Securities and Exchange

Commission, which shall be delivered or mailed to

Enterprise Services Center
Accounts Receivable Branch
6500 South MacArthur Boulevard
Oklahoma City, OK 73169

and shall be accompanied by a letter identifying the case title, civil action number, and name of

this Court; Joseph C. Lewis as a defendant in this action ; and specifying that payment is made

pursuant to thi s Final Judgment.

Defendant shall simultaneously transmit photocopies of evidence of payment and case

identifying information to the Commission's counsel in this action . By making this payment,

Defendant relinquishes all legal and equitable right, title, and interest in such funds and no part

of the funds shall be returned to Defendant. The Commission shall send the funds paid pursuant

to this Final Judgment to the United States Treasury.

The Commission may enforce the Court's judgment for penalties by the use of all

collection procedures authorized by law, including the Federal Debt Collection Procedures Act,

28 U.S.C.§3001 et seq. , and moving for civil contempt for the violation of any Court orders

issued in this action. Defendant shall pay post-judgment interest on any amounts due after 30

days of the entry of this Final Judgment pursuant to 28 U .S .C. § 1961.

I I I.

rT IS HEREBY ORDERED, ADJU DGED, AND DECREED that within IO days after

being served with a copy of this Final Judgment, Glinton Sweeting O' Brien ("G linton") shall

transfer the entire balance of any and all moneys received from Defendant Lewis, or held for the

benefit of Defen dant Lewis to the Commission. Glinton may transmit payment electronically to

the Commission, which will provide detailed ACH transfer/Fedwire instructions upon request.

Payment may also be made directly from a bank account via Pay.gov through the SEC website at

http://www.sec.gov/about/offices/ofm.htm. Glinton also may transfer these funds by certified

check, bank cashier's check, or United States postal money order payable to the Securities and

Exchange Comm ission, which shall be delivered or mailed to

Enterprise Services Center
Accounts Receivable Branch
6500 South MacArthur Boulevard
Oklahoma City, OK 73 169

and shall be accompanied by a letter identifying the case title, civil action number, and name of

this Court; and specifying that payment is made pursuant to this Final Judgment.

JV.

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.

IT IS FU RTHER ORDERED, ADJUDGED, AND DECREED that, for purposes of

exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. § 523 , the

allegations in the complaint are true and admitted by Defendant, and further, any debt for

disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this

Final Judgment or any other judgment, order, consent order, decree or settlement agreement

entered in connection with this proceeding, is a debt for the violation by Defendant of the federal

securities laws or any regulation or order issued under such laws, as set fo11h in Section

523(a)(l 9) of the Bankruptcy Code, 11 U.S.C. § 523(a)( 19).

VI.

IT IS FU RTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain

jurisdiction of this matter fo r the purposes of enforcing the terms of this Final Judgment.

VII.

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 Fi ~ji~ t further notice.

Dated: fl /-)1, J ?A)?..)/
' { I UNITED STATES DISTRICT JUDGE

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