Defendant Name: Justin F. Ficken

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon
First Document Date 04-Nov-2003
Initial Filing Format Civil Proceeding
Case Number 03-cv-12154
Allegation Type Investment Advisers/Investment Companies
Federal District Court Massachusetts, District of Massachusetts

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Additionally, Robert E. Shannon is alleged to have aided and abetted Justin F. Ficken's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Related Violations Alleged

Justin F. Ficken is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Resolutions

First Resolution Date 13-Sep-2007
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

court_doc1_03-cv-12154 04-Nov-2003 Complaint
Complaint
court_doc169_03-cv-12154 13-Sep-2007 Court Docket Document
Final Judgment of Permanent Injunction, Disgorgement and Other Relief as to Defendant Justin Ficken

Other Defendants in Action:

Robert E. Shannon
Marc J. Bilotti
Martin J. Druffner
Skifter Ajro
John S. Peffer

Related Actions:

In the Matter of Prudential Equity Group, LLC, formerly known as Prudential Securities, Inc.
Prudential Equity Group, LLC
In the Matter of Justin F. Ficken
Justin F. Ficken
In the Matter of Marc J. Bilotti
Marc J. Bilotti