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#1
10-12-06, 07:14 PM
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Upshaw and Associates, L.L.C. et al.
The Securities and Exchange Commission announced that on July 25, 2006, Judge Samuel Der-Yeghiayan of the United States District Court for the Northern District of Illinois entered a Final Judgment against James E. Upshaw, Sr. (Upshaw), pursuant to his consent and without admitting or denying the allegations of the Commission's Complaint, permanently enjoining him from violating Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
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