Defendant Name: Robert E. Shannon

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

Related Violations Alleged

Robert E. Shannon is alleged to have aided and abetted Martin J. Druffner's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
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.
Robert E. Shannon is alleged to have aided and abetted Skifter Ajro's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
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.
Robert E. Shannon is alleged to have aided and abetted Marc J. Bilotti's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Resolutions

First Resolution Date 24-Aug-2006
Headline Total Penalty and Disgorgement $2,373,726

Related Documents:

court_doc1_03-cv-12154 04-Nov-2003 Complaint
Complaint
court_doc105_03-cv-12154 24-Aug-2006 Court Docket Document
Final Judgment of Permanent Injunction and Other Relief as to Defendant Robert E. Shannon

Other Defendants in Action:

Justin F. Ficken
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