SEC v. Roger Knox; Wintercap SA; Michael T. Gastauer; WB21 US Inc.; Silvertown SA Inc.; WB21 NA Inc., et al., No. 1:18-cv-12058, District of Massachusetts (June 8, 2022) — Judgment

1
UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS
___________________________________________

)
SECURITIES AND EXCHANGE COMMISSION,    )
)
Plaintiff, )
)
v. ) Case No.  1:18-cv-12058-RGS
)
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. )
___________________________________________ )
FINAL JUDGMENT AS TO
RELIEF DEFENDANT WB21 DMCC
The Securities and Exchange Commission (“Commission”) having moved for summary
judgment on
its claims that relief defendant WB21 DMCC (“Relief Defendant”) is liable in
unjust enrichment for having received proceeds of fraud, and Defendant having opposed the
motion, the Court now GRANTS the Commission’s
motion, FINDS that Relief Defendant WB21
DMCC is liable in unjust enrichment for receiving proceeds of fraud, and further orders as
follows:

2

I.
 IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Relief Defendant is
liable for disgorgement of $554,460, representing the net proceeds gained as a result of the
conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of
$80,185, for a total of $634,645.  Relief Defendant shall satisfy this obligation by paying
$634,645 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; WB21 DMCC 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.

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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 HEREBY ORDERED, ADJUDGED, AND DECREED that within 3 days after
being served with a copy of this Final Judgment, Emirates NBD Bank (United Arab Emirates)
shall transfer the entire balance of the following Emirates NBD Bank account(s) which were
frozen pursuant to an Order of this Court to the Commission:
Account Owner Acct. Ending in:
WB21 DMCC ****8802

 Emirates NBD Bank 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.  Emirates NBD Bank also may transfer these funds
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

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a
nd 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.
III.
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.
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 Final Judgment forthwith and without further notice.
D
ated:  ______________, 2022
____________________________________
UNITED STATES DISTRICT JUDGE

June 3
/s/ Richard G. Stearns

1 

UNITED STATES DISTRICT COURT 
DISTRICT OF MASSACHUSETTS 

___________________________________________ 
) 

SECURITIES AND EXCHANGE COMMISSION, ) 
) 

Plaintiff, ) 
) 

v. ) Case No.  1:18-cv-12058-RGS 
) 

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. ) 

___________________________________________ ) 

FINAL JUDGMENT AS TO 
RELIEF DEFENDANT WB21 DMCC

The Securities and Exchange Commission (“Commission”) having moved for summary 

judgment on its claims that relief defendant WB21 DMCC (“Relief Defendant”) is liable in 

unjust enrichment for having received proceeds of fraud, and Defendant having opposed the 

motion, the Court now GRANTS the Commission’s motion, FINDS that Relief Defendant WB21 

DMCC is liable in unjust enrichment for receiving proceeds of fraud, and further orders as 

follows: 

Case 1:18-cv-12058-RGS   Document 272   Filed 06/03/22   Page 1 of 4



 
 

2 
 

 

I. 

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

liable for disgorgement of $554,460, representing the net proceeds gained as a result of the 

conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of 

$80,185, for a total of $634,645.  Relief Defendant shall satisfy this obligation by paying 

$634,645 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; WB21 DMCC 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.   

Case 1:18-cv-12058-RGS   Document 272   Filed 06/03/22   Page 2 of 4



 
 

3 
 

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 HEREBY ORDERED, ADJUDGED, AND DECREED that within 3 days after 

being served with a copy of this Final Judgment, Emirates NBD Bank (United Arab Emirates) 

shall transfer the entire balance of the following Emirates NBD Bank account(s) which were 

frozen pursuant to an Order of this Court to the Commission: 

Account Owner Acct. Ending in: 
WB21 DMCC ****8802 

 

 Emirates NBD Bank 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.  Emirates NBD Bank also may transfer these funds 

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  

Case 1:18-cv-12058-RGS   Document 272   Filed 06/03/22   Page 3 of 4



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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. 

III. 

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. 

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 Final Judgment forthwith and without further notice. 

Dated:  ______________, 2022 

____________________________________ 
UNITED STATES DISTRICT JUDGE 

June 3

/s/ Richard G. Stearns

Case 1:18-cv-12058-RGS   Document 272   Filed 06/03/22   Page 4 of 4