Defendant Name:
Henry McKelvey Blodget
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Henry McKelvey Blodget
First Document Date
28-Apr-2003
Initial Filing Format
Civil Proceeding
Case Number
03-cv-02947
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Managing Director at Merrill Lynch, Pierce, Fenner & Smith, Inc.
- Former: Research Analyst at Merrill Lynch, Pierce, Fenner & Smith, Inc.
Violations Alleged
•
Section 15(c)(1), 15(c)(2) Exchange Act; Rule 15c1-2 Exchange Act; Rules 2110, 2210(d)(1), 2210(d)(2) NASD Conduct Rules; Rules 401, 472, 476(a)(6) NYSE Conduct Rules
Related Violations Alleged
Henry McKelvey Blodget is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 15(c) of the Exchange Act.
Henry McKelvey Blodget is alleged to have aided and abetted Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 15(c)(1), 15(c)(2) Exchange Act; Rule 15c1-2 Exchange Act; Rules 2110, 2210(d)(1), 2210(d)(2) NASD Conduct Rules; Rules 401, 472, 476(a)(6) NYSE Conduct Rules.
Henry McKelvey Blodget is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 15c1-2 Exchange Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
First Resolution Date
28-Apr-2003
Headline Total Penalty and Disgorgement
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