Defendant Name:
Thomas Weisel Partners LLC
Defendant Type:
Other
Initial Case Details
Legal Case Name
SEC v. Thomas Weisel Partners LLC
First Document Date
26-Aug-2004
Initial Filing Format
Civil Proceeding
Case Number
04-cv-06910
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Violations Alleged
•
Section 17(b) Exchange Act; Rules 2110, 2210, 3010 Conduct Rules of NASD; Rules 342, 401, 472, 476 NYSE
Resolutions
First Resolution Date
26-Aug-2004
Headline Total Penalty and Disgorgement
$12,500,000