1 

UNITED STATES DISTRICT COURT 

SOUTHERN DISTRICT OF FLORIDA 

CASE NO.: 9:22-cv-81457-AMC 

 

SECURITIES AND EXCHANGE COMMISSION, 

 Plaintiff, 

v. 

MANHATTAN TRANSFER REGISTRAR COMPANY 

and JOHN C. AHEARN, 

 Defendants. 

 

FINAL JUDGMENT AS TO DEFENDANT JOHN C. AHEARN

The Securities and Exchange Commission (“Commission”) having filed a Complaint and 

Defendant John C. Ahearn (“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 

Final Judgment without admitting or denying the allegations of the Complaint (except as to 

jurisdiction and except as otherwise provided herein in paragraph VI); waived findings of fact and 

conclusions of law; and waived any right to appeal from this Final Judgment: 

I. 

PERMANENT INJUNCTIVE RELIEF 

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

permanently restrained and enjoined from violating, directly or indirectly, Section 17A(c)(4)(C) 

of the Securities Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78q-1(c)(4)(C)], by 

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 1 of 6
2 

willfully associating with any transfer agent without the consent of the Commission and the 

appropriate regulatory agency for that transfer agent. 

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 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). 

II. 

COMPLIANCE WITH COMMISSION ORDER 

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that 

Defendant be, and hereby is commanded, pursuant to Section 21(e) of the Exchange Act [15 U.S.C. 

§ 78u(e)], to comply with the order issued by the Commission pursuant to Section 17A of the 

Exchange Act in In the Matter of Manhattan Transfer Registrar Company and John C. Ahearn, 

SEC A.P. File No. 3-18491, on May 17, 2018, barring him from association with any transfer 

agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor, or 

nationally recognized statistical rating organization with the right to apply for reentry after five 

years to the appropriate self-regulatory organization, or if there is none, to the Commission. 

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 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). 

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 2 of 6
3 

III. 

CIVIL PENALTY

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

a civil penalty in the amount of $25,000 to the Securities and Exchange Commission pursuant to 

Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)]. Defendant shall make this payment 

pursuant to the terms of the payment schedule set forth in paragraph IV below after entry of this 

Final Judgment. 

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; John C. Ahearn 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 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 

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 3 of 6
4 

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 USC § 1961. 

IV. 

PAYMENT PLAN 

Defendant shall pay the total civil penalty due of $25,000 in four (4) installments to the 

Commission according to the following schedule: 

(1) $6,250 within 10 days of entry of this Final Judgment; 

(2) $6,250 within 120 days of entry of this Final Judgment; 

(3) $6,250 within 240 days of entry of this Final Judgment; and 

(4) $6,250 within 360 days of entry of this Final Judgment. Payments shall be deemed 

made on the date they are received by the Commission and shall be applied first to post judgment 

interest, which accrues pursuant to 28 U.S.C. § 1961 on any unpaid amounts due after 30 days of 

the entry of Final Judgment. Prior to making the final payment set forth herein, Defendant shall 

contact the staff of the Commission for the amount due for the final payment. 

 If Defendant fails to make any payment by the date agreed and/or in the amount agreed 

according to the schedule set forth above, all outstanding payments under this Final Judgment, 

including post-judgment interest, minus any payments made, shall become due and payable 

immediately at the discretion of the staff of the Commission without further application to the 

Court. 

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 4 of 6
5 

V. 

INCORPORATION OF CONSENT 

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. 

VI. 

BANKRUPTCY NONDISCHARGEABILITY 

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely 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 forth in Section 523(a)(19) 

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

VII. 

RETENTION OF JURISDICTION 

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. 

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 5 of 6
6 

VIII. 

RULE 54(b) CERTIFICATION 

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. 

DONE and ORDERED in Chambers, in Fort Pierce, Florida, this ______ day of 

________________, 2022. 

____________________________________ 

AILEEN M. CANNON 

UNITED STATES DISTRICT JUDGE

Case 9:22-cv-81457-AMC Document 3-4 Entered on FLSD Docket 09/21/2022 Page 6 of 6