Defendant Name:
Claude Fernandez
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
- Current: Managing Director at W.P. Carey & Co. LLC (From 1997)
- Former: Chief Accounting Officer and/or Chief Administrative Officer at W.P. Carey & Co. LLC (1997—June 14, 2007)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Rule 12b-20 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Sec 13(a) of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Rule 13a-1 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Rule 13a-13 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Sec 13(b)(2)(A) of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Sec 13(b)(5) of the Exchange Act.
Claude Fernandez is alleged to have aided and abetted
W.P. Carey & Co. LLC's violation of Rule 13b2-1 Exchange Act.
Resolutions
First Resolution Date
20-Mar-2008
Headline Total Penalty and Disgorgement
$75,000
Other Defendants in Action:
