Defendant Name: John S. Peffer

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 John S. Peffer's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Related Violations Alleged

John S. Peffer 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 07-Dec-2005
Headline Total Penalty and Disgorgement $2,373,726

Related Documents:

court_doc1_03-cv-12154 04-Nov-2003 Complaint
Complaint
court_doc101_03-cv-12154 07-Dec-2005 Court Docket Document
Final Judgment as to Defendant John S. Peffer

Other Defendants in Action:

Robert E. Shannon
Justin F. Ficken
Marc J. Bilotti
Martin J. Druffner
Skifter Ajro

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