Defendant Name:
Chauncey D. Steele
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike
First Document Date
11-Aug-2004
Initial Filing Format
Civil Proceeding
Case Number
04-cv-01331
Allegation Type
Market Manipulation
Federal District Court
Connecticut, District of Connecticut
Affiliations
- Former: Broker/Registered Representative at Prudential Securities, Inc. (1988—April 2001)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 9(a) Exchange Act
Additionally,
John R. Glushko is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Thomas C. Kocherhans is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Richard A. Kwak is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Sheldon A. Strauss is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Stephen J. Wilson is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Frank R. McPike is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
John R. Glushko is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Thomas C. Kocherhans is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Richard A. Kwak is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Sheldon A. Strauss is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Stephen J. Wilson is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Frank R. McPike is alleged to have aided and abetted Chauncey D. Steele's violation of Sec 9(a) Exchange Act.
Related Violations Alleged
Chauncey D. Steele is alleged to have aided and abetted Prudential Securities, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.
Chauncey D. Steele is alleged to have aided and abetted Prudential Securities, Inc.'s violation of Rule 17a-3 Exchange Act.
Resolutions
First Resolution Date
08-Jul-2005
Headline Total Penalty and Disgorgement
$168,106
Other Defendants in Action:
