Case 4:12-cv Document 209 Filed in TXSD on 07/02/14 Page 1 of 3 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION

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1 Case 4:12-cv Document 209 Filed in TXSD on 07/02/14 Page 1 of 3 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. MARK A. JACKSON and JAMES J. RUEHLEN, Defendants. Case No. 4:12-cv JOINT STIPULATION AND MOTION FOR ENTRY OF FINAL JUDGMENTS 1. Plaintiff, the United States Securities and Exchange Commission (the SEC, has reached settlements with Defendant Mark A. Jackson ( Jackson and Defendant James J. Ruehlen ( Ruehlen which resolve all claims asserted in this case. 2. Defendants have each consented to entry of a proposed final judgment reflecting the terms of the underlying settlement. Mr. Jackson s Consent is attached as Exhibit A and the proposed Final Judgment as to Mr. Jackson is attached as Exhibit B. Mr. Ruehlen s Consent is attached as Exhibit C and the proposed Final Judgment as to Mr. Ruehlen is attached as Exhibit D. // // // //

2 Case 4:12-cv Document 209 Filed in TXSD on 07/02/14 Page 2 of 3 3. Now, therefore, the Parties respectfully request that the Court enter the proposed Final Judgments as to each Defendant and close this case. Dated: July 3, 2014 Respectfully submitted, /s/ Alfred A. Day ALFRED A. DAY MA Bar No PATRICK M. BRYAN D.C. Bar No SHARAN K.S. CUSTER D.C. Bar No NICHOLAS A. BRADY D.C. Bar No Securities and Exchange Commission 100 F Street NE Washington, DC Telephone: ( Counsel for the SEC 2

3 Case 4:12-cv Document 209 Filed in TXSD on 07/02/14 Page 3 of 3 STIPULATED AND AGREED /s/ DAVID S. KRAKOFF Attorney-in-Charge D.C. Bar No BuckleySandler LLP th Street N.W., Ste. 700 Washington, D.C Telephone: ( Facsimile: ( dkrakoff@buckleysandler.com Of Counsel: ADAM MILLER LAUREN R. RANDELL PAIGE AMMONS BuckleySandler LLP th Street N.W., Ste. 700 Washington, D.C /s/ F. JOSEPH WARIN Attorney-in-Charge D.C. Bar No Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W. Washington, D.C Telephone: ( Facsimile: ( fwarin@gibsondunn.com Of Counsel: NICOLA T. HANNA Gibson, Dunn & Crutcher LLP 3161 Michelson Drive Irvine, California DANIEL P. CHUNG MARTIN A. HEWETT Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W. Washington, D.C DAVID GERGER SAMY KHALIL Gerger & Clarke 1001 Fannin, Suite 1950 Houston, Texas Telephone: ( Facsimile: ( Counsel for Defendant Mark A. Jackson Counsel for Defendant James J. Ruehlen 3

4 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 1 of 6 EXHIBIT A

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10 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 1 of 3 EXHIBIT B

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13 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 1 of 6 EXHIBIT C

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19 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 1 of 3 EXHIBIT D

20 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 2 of 3 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Case No. 4:12-cv v. Hon. Keith P. Ellison MARK A. JACKSON and JAMES J. RUEHLEN, Defendants. FINAL CONSENT JUDGMENT AS TO DEFENDANT JAMES J. RUEHLEN The Securities and Exchange Commission having filed a Complaint and Defendant James J. Ruehlen ( Defendant or Ruehlen 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; waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment: I. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant and Defendant s agents, servants, employees, attorneys and all persons in active concert or participation with them who receive notice of this Final Judgment by personal service or otherwise are permanently restrained and enjoined from aiding and abetting any violation of Section 13(b(2(A of the Exchange Act [15 U.S.C. 78m(b(2(A] by knowingly or

21 Case 4:12-cv Document Filed in TXSD on 07/02/14 Page 3 of 3 recklessly providing substantial assistance to an issuer having a class of securities registered pursuant to Section 12 of the Exchange Act [15 U.S.C. 781] or that is required to file reports pursuant to Section 15(d of the Exchange Act [15 U.S.C. 780(f] to make and keep accurate books, records and accounts which, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the issuer. II. IT IS FURTHER ORDERED, ADJUDGED AND DECREED that the Consent of Defendant James J. Ruehlen attached hereto is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all undertakings and agreements set forth therein. III. IT IS FURTHER ORDERED, ADJUDGED AND DECREED that this Court shall retain jurisdiction of the matter for 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:, 2014 Hon. Keith P. Ellison UNITED STATES DISTRICT JUDGE