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


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.


First Resolution Date 07-Dec-2005
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

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

Other Defendants in Action:

Related Actions:

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