Defendant Name: William J. "Boots" Del Biaggio III

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. William J. "Boots" Del Biaggio III
First Document Date 04-Dec-2008
Initial Filing Format Civil Proceeding
Case Number 08-cv-05450
Allegation Type Broker Dealer
Federal District Court California, Northern District of California

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Sections 206(1), 206(2) Advisers Act

Resolutions

First Resolution Date 12-Dec-2008

Related Documents:

complaint_08-cv-05450 04-Dec-2008 Complaint
Complaint
court_doc8_08-cv-05450 12-Dec-2008 Court Docket Document
Final Judgment as to Defendant William J. Del Baggio III
court_doc22_08-cv-054050 19-Feb-2010 Court Docket Document
Notice of Dismissal of Plaintiff's Claims for Disgorgement and Civil Penalties Against Defendant

Related Actions:

In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
Merriman Curhan Ford & Co.
D. Jonathan Merriman
Christopher Aguilar
SEC v. David Scott Cacchione
D. Scott Cacchione
In the Matter of David Scott Cacchione
D. Scott Cacchione
In the Matter of William J. Del Biaggio III
William J. "Boots" Del Biaggio III