Defendant Name: Charles W. Adams

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc.
First Document Date 01-Jul-2013
Initial Filing Format Civil Proceeding
Case Number 13-cv-12856
Allegation Type Insider Trading
Federal District Court Michigan, Eastern District of Michigan

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5

Resolutions

First Resolution Date 13-Jan-2014
Headline Total Penalty and Disgorgement $2,108,618

Related Documents:

comp22738 01-Jul-2013 Complaint
Complaint
court_doc30_13-cv-12856 13-Jan-2014 Court Docket Document
Final Judgment as to Defendant Charles W. Adams

Other Defendants in Action:

Raymond James Financial Services, Inc.
Mack D. Murrell
David A. Teekell

Related Actions:

In the Matter of Charles W. Adams
Charles W. Adams