Defendant Name: Syndicated Food Service International, Inc.

Defendant Type: Other

Initial Case Details

Legal Case Name SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis
First Document Date 30-Mar-2004
Initial Filing Format Civil Proceeding
Case Number 04-cv-01303
Allegation Type Market Manipulation
Federal District Court New York, Eastern District of New York

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 12b-20
Sec 13(a)
Rule 13a-1
Rule 13a-13
Securities Act
Sec 17(a) (Not specified)
Additionally, Nick Pirgousis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 12b-20 of the Exchange Act.
William Keeler is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Thomas Tanis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Nick Pirgousis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Sec 13(a) of the Exchange Act.
William Keeler is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Sec 13(a) of the Exchange Act.
Thomas Tanis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Sec 13(a) of the Exchange Act.
Nick Pirgousis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-1 of the Exchange Act.
William Keeler is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Thomas Tanis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Nick Pirgousis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-13 of the Exchange Act.
William Keeler is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Thomas Tanis is alleged to have controlled Syndicated Food Service International, Inc.'s violation of Rule 13a-13 of the Exchange Act.

Resolutions

First Resolution Date 12-Jul-2013

Related Documents:

comp18643 30-Mar-2004 Complaint
Complaint
According to the SEC: "Pirgousis and Dolney orchestrated a massive broker bribery scheme involving the stock of nine public companies, including Syndicated. Through the use of domestic and offshore nominee brokerage accounts, Pirgousis and Dolney sold stock surreptitiously into the public market for personal gain and paid undisclosed kickbacks (often in the form of stock and cash) to boiler rooms responsible for selling the stock to the public. To conceal their control over large blocks of Syndicated stock, Pirgousis and Dolney also filed false and misleading periodic reports with the Commission on Syndicated's behalf and failed to file disclosures with the Commission identifying the stock they beneficially owned."
LR-22751 12-Jul-2013 Litigation Release
Court Enters Final Judgments Against Defendants Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, Gray Todd, Mario Casias, Thomas Tanis, Iain H.T. Brown, Fidra Holdings Ltd., William Brown, Joseph Ferragamo, and Christopher Quintana, and Dismisses Claims Against Defendants Delta Asset Management Company, LLC, William Scott, and Michelle Kramish Kain
On July 12, 2013 the SEC published a litigation release regarding this matter. According to the SEC, Syndicated Food Service International, Inc. consented to enter a final judgment enjoining it from future violations of Section 17(a) of the Securities Act, Sections 10(b) and 13(a) of the Exchange Act, and Rules 10b-5, 12b-20, 13a-1 and 13a-13.

Other Defendants in Action: