2025-07-22 sec-litreleases judgment 78 KB 1,032 chars

SEC v. JERRY D. GUESS; and GUESS & CO. CORPORATION, No. 8:24-cv-00172, District of Nebraska (July 22, 2025) — Judgment

raw: Pursuant to the accompanying memorandum and order, judgment is

Pursuant to the accompanying memorandum and order, judgment is, No. 8:24-cv-00172 (July 22, 2025)

Caption
United States Securities and Exchange Commission v. Guess
Source PDF JSON
summary

Jerry D. Guess and Guess & Co. Corporation were ordered to comply with SEC injunctions and pay a $15,000 penalty for violating the Securities Act of 1933.

paragraph

The SEC obtained a judgment against Jerry D. Guess and Guess & Co. Corporation for violating Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933. The court imposed a five-year injunction prohibiting the defendants from participating in the issuance, purchase, offer, or sale of any security, excluding Guess's personal trading. Additionally, Jerry D. Guess was ordered to pay a $15,000 civil penalty.

narrative

The U.S. Securities and Exchange Commission successfully obtained a judgment against Jerry D. Guess and Guess & Co. Corporation in the District of Nebraska. The defendants were found to have violated Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933. As a result, both defendants are permanently enjoined from future violations of these specific sections. Furthermore, the defendants are prohibited from participating in the issuance, purchase, offer, or sale of any security for a period of five years, though Jerry D. Guess may continue to trade for his own account. The court also ordered Jerry D. Guess to pay a $15,000 civil penalty. This judgment was officially entered by Senior United States District Judge John M. Gerrard on July 7, 2025.

Enriched metadata

Scheme
unregistered-securities (90%)
Court
District of Nebraska
Case No.
8:24-cv-00172
Civil penalty
$15,000
Classified unregistered-securities(confidence 90%). EDGAR detection: forms Form D/S-1· recall 41% / precision 30%. detection rule →
Statutes
Sections 17(a)(1) and 17(a)(3) of the Securities ActSections 17(a)(1) and 17(a)(3) of the Securities ActSections 17(a)(1) and 17(a)(3) of the Securities Act
Parties
Securities and Exchange CommissionGuess & Co. CorporationJerry D. Guess
Keywords
jerry guessguesspursuant accompanyingaccompanying memorandummemorandum orderguess guessguess corporationjerrycorporation shallpursuantaccompanyingmemorandumordersecuritiescorporation

Extracted insights

Dollar amounts 1
  • $15K $15,000 $10K–$100K
Entities 4
  • person defendant jerry d. guess
  • company defendants jerry d. guess and guess & co. corporation
  • person jerry d. guess
  • person john m. gerrard
Triples 6
  • Judgment is entered for the Plaintiff and against the Defendants
  • Defendants Jerry D. Guess and Guess & Co. Corporation shall be enjoined from participating in the issuance, purchase, offer, or sale of any security
  • Jerry D. Guess may purchase and sell securities for his own account
  • Defendants Jerry D. Guess and Guess & Co. Corporation shall be permanently enjoined from violating Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933
  • Defendant Jerry D. Guess is ordered to pay a civil penalty in the amount of $15,000
  • John M. Gerrard is Senior United States District Judge
PDF
Pursuant to the accompanying memorandum and order, judgment is · Source
Text layers
Extracted body text (1,032c) 
IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF NEBRASKA
UNITED STATES SECURITIES
AND EXCHANGE COMMISSION,
Plaintiff,
vs.
JERRY D. GUESS and GUESS & CO.
CORPORATION,
Defendants.
8:24-CV-172
JUDGMENT
Pursuant to the accompanying memorandum and order, judgment is
entered for the plaintiff and against the defendants as follows:
•For  a  period  of five  years  from  the  date  of  this  judgment,
defendants Jerry D. Guess and Guess & Co. Corporation shall be
enjoined from participating in the issuance, purchase, offer, or sale
of any security, except to the extent that Jerry D. Guess may
purchase and sell securities for his own account.
•Defendants Jerry D. Guess and Guess & Co. Corporation shall be
permanently enjoined from violating Sections 17(a)(1) and 17(a)(3)
of the Securities Act of 1933, 15 U.S.C. §§ 77q(a)(1), 77q(a)(3).
•Defendant Jerry D. Guess is ordered to pay a civil penalty in the
amount of $15,000.
Dated this 7th day of July, 2025.
BY THE COURT:
John M. Gerrard
Senior United States District Judge
OCR text (1,156c · tika · 95% conf) 
IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF NEBRASKA 

UNITED STATES SECURITIES 

AND EXCHANGE COMMISSION, 

Plaintiff, 

vs. 

JERRY D. GUESS and GUESS & CO. 

CORPORATION, 

Defendants. 

8:24-CV-172 

JUDGMENT 

Pursuant to the accompanying memorandum and order, judgment is 

entered for the plaintiff and against the defendants as follows: 

• For a period of five years from the date of this judgment,

defendants Jerry D. Guess and Guess & Co. Corporation shall be

enjoined from participating in the issuance, purchase, offer, or sale

of any security, except to the extent that Jerry D. Guess may

purchase and sell securities for his own account.

• Defendants Jerry D. Guess and Guess & Co. Corporation shall be

permanently enjoined from violating Sections 17(a)(1) and 17(a)(3)

of the Securities Act of 1933, 15 U.S.C. §§ 77q(a)(1), 77q(a)(3).

• Defendant Jerry D. Guess is ordered to pay a civil penalty in the

amount of $15,000.

Dated this 7th day of July, 2025. 

BY THE COURT: 

John M. Gerrard 

Senior United States District Judge 

8:24-cv-00172-JMG-MDN     Doc # 48     Filed: 07/07/25     Page 1 of 1 - Page ID # 175

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