Securities and Exchange Commission v. Court

UNITED
STATES
DISTRICT
COURT
SOUTHERN
DISTRICT
OF
NEW
YORK
--------------------------------------------------------------------x
SECURITIES
AND
EXCHANGE
COMMISSION,
Applicant,
-
against
-
ANVIL
PARTNERS,
INC.,
Respondent.
--------------------------------------------------------------------x
CONTEMPT
ORDER
17-MISC-0318
(AJN)
ECFCASE
WHEREAS,
the
Securities
and
Exchange
Commission
("Commission")
has
applied
for
an
order,
by
order
to
show
cause,
holding
Respondent
Anvil
Partners,
Inc.
("Anvil")
and
Jeremy
Beck
("Beck")-Anvil's
majority
owner,
president,
and
chief
investment
officer-in
civil
contempt
of
the
Order
dated
September
21,
2017
(the
"Subpoena
Enforcement
Order");
WHEREAS,
the
Court's Subpoena
Enforcement
Order
required Anvil
to
comply
with
the
Commission's
investigative
subpoena
by
October
12,
2017;
WHEREAS,
the
Commission
submitted
a
memorandum
of
law,
a declaration
by
Sheldon
Mui,
and
attached
exhibits
on
November
27,
2017
(the
"Supporting
Papers"),
in
support
of
its
civil
contempt
application
against
Anvil
and
Beck;
WHEREAS,
after
reviewing
the
Supporting
Papers,
the
Court
entered
an
Order
to
Show
Cause,
on
November
29,
2017,
requiring
Anvil
and
Beck
to
show
cause
in
writing
by
December
12,
2017,
if
any
exists,
why
they
should
not
be
held
in
civil
contempt
and
to
appear
before
the
Court
on
December
19,
2017,
at
1:00
p.m.;
WHEREAS,
on
November
29,
2017,
the
Commission's
process
server
personally
served
both
Beck
and
Anvil,
through
Beck,
with
(1)
the
Court's
November
29
Order
to
Show
Cause,
(2)
the
Supporting
Papers,
and
(3)
a copy
of
Local
Civil
Rule
83.6,
as
reflected
in
the
Commission's
proof
of
service
(ECF
Docket
Entry
No.
19);
WHEREAS,
neither
Anvil
nor
Beck
has
filed
any
opposing
papers;

WHEREAS, Anvil and Beck failed to appear before this Court on December 19, 2017, at
1 :00 p.m. in Room 906 of the Thurgood Marshall United States Courthouse;
WHEREAS, based upon the Commission's Supporting Documents, the Court is satisfied
that the Commission has made a sufficient and proper showing in support of the relief sought in its
application,
and therefore:
I.
IT IS HEREBY ORDERED that Anvil and Beck are in civil contempt of the Court's
Subpoena Enforcement Order.
II.
,~
IT IS FURTHER ORDERED that Anvil shall pay the Commission, by _j
1
V'\Ju-j
(,
_/ __ , 20 \ i, a total of $225.50, the Commission's costs of retaining a process server to serve Anvil
with the
Supporting Papers and the November 29 Order to Show Cause. The Commission shall
provide Anvil, by overnight delivery service within two business days
of this Order, with written
instructions for remitting this payment.
III.
-1
IT IS FURTHER ORDERED that Beck shall pay the Commission, by, c:::"\JofQ
\ O ,
20_
1
_, a total of $157.85, the Commission's costs of retaining a process server to serve Beck
with the
Supporting Papers and the November 29 Order to Show Cause. The Commission shall
provide Beck, by
overnight delivery service within two business days of this Order, with written
instructions for remitting this payment.
IV.
IT IS FURTHER ORDERED that Anvil and Beck shall each pay a  fine of $250 per day
until Anvil fully complies with the
Subpoena Enforcement Order or is otherwise discharged
pursuant to law. To fully comply with the Subpoena Enforcement Order, (1) Anvil must produce all
documents within its possession, custody, or control responsive to the subpoena attached hereto
(the
"Subpoena"), or, if Anvil does not have documents within its possession, custody, or control
that are responsive to the Subpoena or to any one or more requests contained in the Subpoena,
2

Anvil
must
submit
a
sworn
statement,
from
Beck
or
another
of
its
officers
with
personal
knowledge,
to
the
Commission
describing
the
efforts
Anvil
made
to locate
responsive
documents
and
the
results
of
those
efforts;
and
(2)
if
Anvil
claims
any
privilege
or
protection
over
any
documents
responsive
to
the
Subpoena,
Anvil
must
provide
the
Commission,
for
each
document
or
similar
group
of
documents,
with
the
following
information:
(a)
the
type
of
document,
e.g.,
letter
or
memorandum;
(b)
the
general
subject
matter
of
the
document;
(c)
the
date
of
the
document;
and
(d)
the
author
of
the
document,
the
addressees
of
the
document,
and
any
other
recipients,
and,
where
not
apparent,
the
relationship
of
the
author,
addressees,
and
recipients
to
each
other.
V.
IT
IS
FURTHER
ORDERED
that,
pursuant
to
Local
Civil
Rule
83.6(a),
the
United
States
Marshal
is
directed
to
arrest
Beck
and
that
any
and
all
force
to
effect
the
arrest,
up
to
and
including
forcible
ent1-y
into
a premise,
may
be
utilized,
and
that
this
Order
is
in
effect
for
every
district
within
the
United
States,
and
the
United
States
Marshal
will
hold
Beck
unless
bail
is
posted
in
the
amount
,~
I
of
$10,000,
conditioned
on
Beck's
appearance
before
this
Court
on
~
c\,i
,,L,1/
0
,
2018,
at
's'e:
f.m.
and
all
further
contempt
proceedings
in
this
action
and
further
conditioned
on
Beck's
agreement
to
hold
himself
amenable
to
any
and
all
orders
of
the
Court
for
surrender.
SO
ORDERED.
Dated:
New
York,
New
York
3

Case 1:17-mc-00318-AJN   Document 22   Filed 12/19/17   Page 1 of 3

UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT OF NEW YORK 
--------------------------------------------------------------------x 
SECURITIES AND EXCHANGE COMMISSION, 

Applicant, 
- against -

ANVIL PARTNERS, INC., 

Respondent. 
--------------------------------------------------------------------x 

CONTEMPT ORDER 

17-MISC-0318 (AJN) 

ECFCASE 

WHEREAS, the Securities and Exchange Commission ("Commission") has applied for an 

order, by order to show cause, holding Respondent Anvil Partners, Inc. ("Anvil") and Jeremy Beck 

("Beck")-Anvil's majority owner, president, and chief investment officer-in civil contempt of the 

Order dated September 21, 2017 (the "Subpoena Enforcement Order"); 

WHEREAS, the Court's Subpoena Enforcement Order required Anvil to comply with the 

Commission's investigative subpoena by October 12, 2017; 

WHEREAS, the Commission submitted a memorandum of law, a declaration by Sheldon 

Mui, and attached exhibits on November 27, 2017 (the "Supporting Papers"), in support of its civil 

contempt application against Anvil and Beck; 

WHEREAS, after reviewing the Supporting Papers, the Court entered an Order to Show 

Cause, on November 29, 2017, requiring Anvil and Beck to show cause in writing by December 12, 

2017, if any exists, why they should not be held in civil contempt and to appear before the Court on 

December 19, 2017, at 1:00 p.m.; 

WHEREAS, on November 29, 2017, the Commission's process server personally served 

both Beck and Anvil, through Beck, with (1) the Court's November 29 Order to Show Cause, 

(2) the Supporting Papers, and (3) a copy of Local Civil Rule 83.6, as reflected in the Commission's 

proof of service (ECF Docket Entry No. 19); 

WHEREAS, neither Anvil nor Beck has filed any opposing papers; 



Case 1:17-mc-00318-AJN   Document 22   Filed 12/19/17   Page 2 of 3

WHEREAS, Anvil and Beck failed to appear before this Court on December 19, 2017, at 

1 :00 p.m. in Room 906 of the Thurgood Marshall United States Courthouse; 

WHEREAS, based upon the Commission's Supporting Documents, the Court is satisfied 

that the Commission has made a sufficient and proper showing in support of the relief sought in its 

application, and therefore: 

I. 

IT IS HEREBY ORDERED that Anvil and Beck are in civil contempt of the Court's 

Subpoena Enforcement Order. 

II. 
,~ 

IT IS FURTHER ORDERED that Anvil shall pay the Commission, by _j 
1V'\Ju-j 

(, 

_/ __ , 20 \ i, a total of $225.50, the Commission's costs of retaining a process server to serve Anvil 

with the Supporting Papers and the November 29 Order to Show Cause. The Commission shall 

provide Anvil, by overnight delivery service within two business days of this Order, with written 

instructions for remitting this payment. 

III. 

-1 IT IS FURTHER ORDERED that Beck shall pay the Commission, by, c:::"\JofQ 

\ O , 20_1_, a total of $157.85, the Commission's costs of retaining a process server to serve Beck 

with the Supporting Papers and the November 29 Order to Show Cause. The Commission shall 

provide Beck, by overnight delivery service within two business days of this Order, with written 

instructions for remitting this payment. 

IV. 

IT IS FURTHER ORDERED that Anvil and Beck shall each pay a fine of $250 per day 

until Anvil fully complies with the Subpoena Enforcement Order or is otherwise discharged 

pursuant to law. To fully comply with the Subpoena Enforcement Order, (1) Anvil must produce all 

documents within its possession, custody, or control responsive to the subpoena attached hereto 

(the "Subpoena"), or, if Anvil does not have documents within its possession, custody, or control 

that are responsive to the Subpoena or to any one or more requests contained in the Subpoena, 

2 



Case 1:17-mc-00318-AJN   Document 22   Filed 12/19/17   Page 3 of 3

Anvil must submit a sworn statement, from Beck or another of its officers with personal knowledge, 

to the Commission describing the efforts Anvil made to locate responsive documents and the results 

of those efforts; and (2) if Anvil claims any privilege or protection over any documents responsive to 

the Subpoena, Anvil must provide the Commission, for each document or similar group of 

documents, with the following information: (a) the type of document, e.g., letter or memorandum; 

(b) the general subject matter of the document; (c) the date of the document; and (d) the author of 

the document, the addressees of the document, and any other recipients, and, where not apparent, 

the relationship of the author, addressees, and recipients to each other. 

V. 

IT IS FURTHER ORDERED that, pursuant to Local Civil Rule 83.6(a), the United States 

Marshal is directed to arrest Beck and that any and all force to effect the arrest, up to and including 

forcible ent1-y into a premise, may be utilized, and that this Order is in effect for every district within 

the United States, and the United States Marshal will hold Beck unless bail is posted in the amount 

,~ I 
of $10,000, conditioned on Beck's appearance before this Court on ~ c\,i ,,L,1/ 0 , 2018, at 

's'e: f.m. and all further contempt proceedings in this action and further conditioned on Beck's 

agreement to hold himself amenable to any and all orders of the Court for surrender. 

SO ORDERED. 

Dated: 
New York, New York 

3