Defendant Name:
Theodore Charles Sihpol III
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Theodore Charles Sihpol III
First Document Date
12-Oct-2005
Initial Filing Format
Civil Proceeding
Case Number
05-cv-08656
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Broker/Registered Representative at Banc of America Securities LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Theodore Charles Sihpol III is alleged to have aided and abetted Banc of America Securities LLC's violation of Section 17(a), Rule 17a-3 and 17a-4 Exchange Act (willfully/knowingly).
Theodore Charles Sihpol III is alleged to have caused Banc of America Securities LLC's violation of Section 17(a), Rule 17a-3 and 17a-4 Exchange Act (willfully/knowingly).
Resolutions
First Resolution Date
Headline Total Penalty and Disgorgement
$200,000
