Defendant Name: Charles J. Marquardt

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Charles J. Marquardt
First Document Date 17-Mar-2010
Initial Filing Format Administrative Action
File Number 3-13819
Allegation Type Insider Trading


Violations Alleged

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


First Resolution Date

Related Documents:

34-61723 17-Mar-2010 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc.
In the Matter of Lisa B. Premo
SEC v. Charles J. Marquardt