Defendant Name: Steven A. Splain

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
First Document Date 01-Aug-2019
Initial Filing Format Civil Proceeding
Case Number 19-cv-07199
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 100(b) Regulation G
Additionally, Michael Mortimer is alleged to have aided and abetted Steven A. Splain's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.


First Resolution Date 02-Aug-2019

Related Documents:

comp-pr2019-143 01-Aug-2019 Complaint
Complaint and Jury Demand
court_doc10_19-cv-07199 02-Aug-2019 Court Docket Document
Judgment as to Defendant Steven A. Splain
court_doc37_19-cv-07199 03-Dec-2019 Complaint
Amended Complaint and Jury Demand

Other Defendants in Action:

Related Actions:

In the Matter of Brixmor Property Group Inc.
In the Matter of Steven A. Splain, CPA
In the Matter of Michael Mortimer