Defendant Name: Charles J. Marquardt

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Charles J. Marquardt
First Document Date 20-Jan-2010
Initial Filing Format Civil Proceeding
Case Number 10-cv-10073
Allegation Type Insider Trading
Federal District Court Massachusetts, District of Massachusetts

Affiliations

Violations Alleged

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

Resolutions

First Resolution Date 10-Feb-2010
Headline Total Penalty and Disgorgement $39,456

Related Documents:

2010_comp21383 20-Jan-2010 Complaint
Complaint
court_doc3_10-cv-10073 10-Feb-2010 Court Docket Document
Final Judgment as to Defendant Charles J. Marquardt

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