Defendant Name: John J. Park

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez
First Document Date 18-Mar-2008
Initial Filing Format Civil Proceeding
Case Number 08-cv-02846
Allegation Type Broker Dealer
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Sec 13(b)(5)
Sec 14(a)
Rule 14a-9
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sec 17(a) (Not specified)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

John J. Park is alleged to have aided and abetted W.P. Carey & Co. LLC's violation of Rule 12b-20 of the Exchange Act.
John J. Park is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
John J. Park is alleged to have aided and abetted W.P. Carey & Co. LLC's violation of Sec 13(a) of the Exchange Act.
John J. Park is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
John J. Park is alleged to have aided and abetted W.P. Carey & Co. LLC's violation of Rule 13a-1 of the Exchange Act.
John J. Park is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
John J. Park is alleged to have aided and abetted W.P. Carey & Co. LLC's violation of Rule 13a-13 of the Exchange Act.
John J. Park is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
John J. Park is alleged to have aided and abetted W.P. Carey & Co. LLC's violation of Sec 13(b)(2)(A) of the Exchange Act.
John J. Park is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 20-Mar-2008

Related Documents:

2008_comp20501 18-Mar-2008 Complaint
Complaint
court_doc2_08-cv-02846 20-Mar-2008 Court Docket Document
Final Judgment as to Defendant John J. Park

Other Defendants in Action:

Related Actions:

In the Matter of Ameriprise Financial Services, Inc.
In the Matter of Claude Fernandez (CPA)