Defendant Name: Thomas C. Kocherhans

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

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Section 9(a) Exchange Act

Related Violations Alleged

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.
Thomas C. Kocherhans is alleged to have aided and abetted Chauncey D. Steele's violation of Section 9(a) Exchange Act.

Resolutions

First Resolution Date 31-Oct-2007
Headline Total Penalty and Disgorgement $50,000

Related Documents:

complaint_04-cv-01331 11-Aug-2004 Complaint
Complaint
court_doc233_04-cv-01331 31-Oct-2007 Court Docket Document
Final Judgment of Permanent Injunction and Other Relief as to Defendant Thomas C. Kocherhans

Other Defendants in Action:

Competitive Technologies, Inc.
Chauncey D. Steele
John R. Glushko
Richard A. Kwak
Sheldon A. Strauss
Stephen J. Wilson
Frank R. McPike

Related Actions:

In the Matter of John R. Glushko
John R. Glushko