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
- Former: CFO at W.P. Carey & Co. LLC (1999—May 4, 2005)
- Former: Managing Director at W.P. Carey & Co. LLC (1999—March 17, 2008)
- Current: Strategic Planning at W.P. Carey & Co. LLC
Violations Alleged
•
Sec 17(a) (Not specified)
•
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:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
20-Mar-2008
Headline Total Penalty and Disgorgement
$240,000
Other Defendants in Action:
