Defendant Name: Kee Chan

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Kee Chan
First Document Date 15-May-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-03605
Allegation Type Broker Dealer
Federal District Court New York, Southern District of New York


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)


First Resolution Date 16-May-2017
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2017-102-chan 15-May-2017 Complaint
court_doc7_17-cv-03605 16-May-2017 Court Docket Document
Final Consent Judgment as to Defendant Kee Chan

Related Actions:

In the Matter of Nomura Securities International, Inc.
SEC v. James H. Im
In the Matter of Kee Chan