Securities and Exchange Commission v. Meridian Holdings, Inc., Anthony C. Dike and Michelle V. Nguyen

Case No. CV 07-06335 DDP (SSx) (Central District of California)

Highlights

Consent Agreement signed by Dr. Dike 11/14/2008 (8 pages) Globe1234.org/meho/dikeconsent.pdf, downloaded from court records at Pacer.gov

"Without admitting or denying the allegations of the Complaint... the Defendant hereby consents to the entry of the Final Judgment... which, among other things...

"orders Defendant to pay a civil penalty in the amount of $25,000.00...

"Defendant understands and agrees to comply with the Commission's policy "not to permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings."17 C.F.R. §202.5. In compliance with this policy, Defendant agrees: (i) not to take any action or to make or permit to be made any public statement denying, directly or indirectly, any allegation in the Complaint or creating the impression that the Complaint is without factual basis..."

Final Judgment concerning Dr. Dike 1/5/2009 (6 pages) Globe1234.org/meho/dikejudge.pdf, downloaded from court records at Pacer.gov

SEC announcement, 2/11/2009 (2 pages) sec.gov/litigation/litreleases/2009/lr20898.htm

"Dike was also ordered to pay a civil penalty in the amount of $25,000, and is prohibited for five years from the date of the judgment from acting as an officer or director of a public company...

"The Commission's complaint, filed on September 28, 2007, alleged that the financial statements filed with Meridian's 2004 second and third quarter reports caused Meridian to materially overstate it assets and represent it had significant gains, when, in fact, it should have reported losses...

"The complaint further alleged that when Dike filed Meridian's second and third quarter reports, he included Nguyen's name on the Sarbanes-Oxley Act certifications filed with the reports even though he knew Nguyen had not signed them."

Dr. Dike asked judge to set aside the Judgment 7/25/2009 (50 pages) Globe1234.org/meho/setaside.pdf, downloaded from court records at Pacer.gov

Judge denied motion to set aside the Judgment 9/29/2009 (4 pages) Globe1234.org/meho/deny.pdf, downloaded from court records at Pacer.gov

Dr. Dike wrote about the case to the Small Business Administration Ombudsman 8/19/2011 (10 pages) Globe1234.org/meho/ombud1.pdf, provided by Dr. Dike

Dr. Dike wrote about the case to the Small Business Administration Ombudsman 10/24/2011 (4 pages) Globe1234.org/meho/ombud2.pdf, provided by Dr. Dike

SEC filed lien for $25,000 3/21/2014 (1 page) Globe1234.org/meho/lien.pdf, downloaded from court records at Pacer.gov

ACDIKE wrote to Globe1234 about pursuing legal action "if you continue to publish this matter" 4/26/2015 (1 page) Globe1234.org/meho/email.pdf