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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
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

Related Documents:

court_doc1_05-cv-08656 12-Oct-2005 Complaint
Complaint
court_doc3_05-cv-08656 18-Oct-2005 Court Docket Document
Final Consent Judgment as to Defendant Theodore Charles Sihpol III

Related Actions:

In the Matter of Theodore Charles Sihpol III