Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_16-cv-03131/USCOURTS-cand-5_16-cv-03131-0/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:77 Securities Fraud

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[PROPOSED] FINAL JUDGMENT 

AS TO GUOLIN MA 

CASE NO.

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JINA L. CHOI (N.Y. Bar No. 2699718) 

STEVEN D. BUCHHOLZ (Cal. Bar No. 202638) 

 buchholzs@sec.gov 

E. BARRETT ATWOOD (Cal. Bar No. 291181) 

 atwoode@sec.gov 

WADE RHYNE (Cal. Bar No. 216799) 

 rhynew@sec.gov 

AMANDA L. STRAUB (N.Y. Bar No. 4396982) 

 strauba@sec.gov 

44 Montgomery Street, Suite 2800 

San Francisco, CA 94104 

(415) 705-2500 

JOSEPH G. SANSONE (NY Bar No. 4043659) 

200 Vesey Street, Suite 400 

New York, NY 10281 

(212) 336-1100 

Attorneys for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

SECURITIES AND EXCHANGE COMMISSION, 

Plaintiff, 

 vs. 

GUOLIN MA, 

Defendant. 

Case No. 

[PROPOSED] FINAL JUDGMENT 

AS TO DEFENDANT GUOLIN MA

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN JOSE DIVISION 

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[PROPOSED] FINAL JUDGMENT

AS TO GUOLIN MA

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The Securities and Exchange Commission having filed a Complaint and Defendant Guolin 

Ma 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 without admitting or 

denying the allegations of the Complaint (except as to jurisdiction and except as otherwise provided 

herein in Paragraph V); waived findings of fact and conclusions of law; and waived any right to 

appeal from this Final Judgment:

I.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant’s 

agents, servants, employees, attorneys, and all persons in active concert or participation with them 

who receive actual notice of this Final Judgment by personal service or otherwise are permanently 

restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities 

Exchange Act of 1934 (the “Exchange Act”) [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated 

thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of interstate commerce, or 

of the mails, or of any facility 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 

(c) to engage in any act, practice, or course of business which operates or would 

operate as a fraud or deceit upon any person. 

II.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for 

disgorgement of $367,387, representing profits gained as a result of the conduct alleged in the 

Complaint, together with prejudgment interest thereon in the amount of $21,986, and a civil monetary 

penalty of $367,387. Defendant shall satisfy this obligation by paying $756,760 to the Securities and 

Exchange Commission. 

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[PROPOSED] FINAL JUDGMENT

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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. 

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; Guolin Ma as a defendant in this action; and specifying that payment is made pursuant to this 

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 the 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 disgorgement and prejudgment 

interest by moving for civil contempt (and/or through other collection procedures authorized by law) 

at any time after 14 days following entry of this Final Judgment if Defendant fails to comply with the 

terms of this Final Judgment. Defendant shall pay post-judgment interest on any unpaid amounts of 

disgorgement, prejudgment interest, and penalty due after 14 days of the entry of Final Judgment 

pursuant to 28 U.S.C. § 1961. 

III.

IT IS FURTHER 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 

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[PROPOSED] FINAL JUDGMENT

AS TO GUOLIN MA

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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 forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 

§523(a)(19). 

IV.

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.

V.

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: , 2016 

UNITED STATES DISTRICT JUDGE

June 14

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