SEC v. NYP HOLDINGS, No. 1:18-cv-12058, District of Massachusetts (Feb. 6, 2025) — Judgment

Case 1:18-cv-12058-RGS     Document 343     Filed 01/29/25     Page 1 of 3

Case 1:18-cv-12058-RGS     Document 343     Filed 01/29/25     Page 2 of 3

Case 1:18-cv-12058-RGS     Document 343     Filed 01/29/25     Page 3 of 3

UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS

SECURITIES AND EXCHANGE COMMISSION,
Plaintiff,
v.
ROGER KNOX, WINTERCAP SA,
MICHAEL T. GASTAUER, WB21 US
INC., SILVERTON SA INC., WB21 NA
INC., C CAPITAL CORP., WINTERCAP
SA INC. AND B2 CAP INC.
Defendants,
and
RAIMUND GASTAUER, SIMONE
GASTAUER FOEHR, B21 LTD., SHAMAL
INTERNATIONAL FZE, AND WB21 DMCC
Relief Defendants.
Case No. 1:18-cv-12058-RGS

FINAL JUDGMENT AS TO RELIEF
DEFENDANT RAIMUND GASTAUER

The Securities and Exchange Commission ("Commission") having moved for summary judgment on its claims that relief defendant Raimund Gastauer ("Relief Defendant") is liable in unjust enrichment for having received proceeds of fraud, the Court now GRANTS the Commission’s motion, FINDS that Relief Defendant Raimund Gastauer is liable in unjust enrichment for receiving proceeds of fraud, and further orders as follows:

I.
IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Relief Defendant is liable for disgorgement of $3,315,305, representing the net proceeds gained as a result of the

conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $1,347,326, for a total of $4,662,631. Relief Defendant shall satisfy this obligation by paying $4,662,631 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment.

Relief Defendant 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. Relief 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; Raimund Gastauer as a relief defendant in this action; and specifying that payment is made pursuant to this Final Judgment.

Relief 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, Relief Defendant relinquishes all legal and equitable right, title, and interest in such funds and no part of the funds shall be returned to Relief Defendant.

The Commission shall hold the funds (collectively, the “Fund”) until further order of this Court. The SEC may propose a plan to distribute the Fund subject to the Court’s approval, and the Court shall retain jurisdiction over the administration of any distribution of the Fund.

The Commission may enforce the Court’s judgment for disgorgement and prejudgment

interest by using all collection procedures authorized by law, including, but not limited to, moving for civil contempt at any time after 30 days following entry of this Final Judgment.

Relief Defendant shall pay post judgment interest on any amounts due after 30 days of entry of this Final Judgment pursuant to 28 U.S.C. §1961.

II.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment.

III.

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 Final Judgment forthwith and without further notice.

Dated: Jan 29, 2025
_________________________
Richard G. Berman
UNITED STATES DISTRICT JUDGE