Defendant Name: Thomas W. Jones

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Thomas v. Jones and Lewis E. Daidone
First Document Date 08-Aug-2005
Initial Filing Format Civil Proceeding
Case Number 05-cv-07044
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York


Violations Alleged

Related Violations Alleged

Thomas W. Jones is alleged to have aided and abetted Citigroup Global Markets Inc.'s violation of Sections 206(1), 206(2) Advisers Act (willfully/knowingly).


First Resolution Date 26-Feb-2007

Related Documents:

comp19330 08-Aug-2005 Complaint
court_doc77_05-cv-07044 26-Feb-2007 Court Docket Document
Memorandum & Order

Other Defendants in Action:

Related Actions:

In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets Inc.