Defendant Name:
Richard A. Kwak
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
- Current: Broker/Registered Representative at Morgan Stanley DW, Inc. (From March 1998)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 9(a) Exchange Act
Related Violations Alleged
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.
Richard A. Kwak is alleged to have aided and abetted
Chauncey D. Steele's violation of Section 9(a) Exchange Act.
Resolutions
First Resolution Date
Other Defendants in Action:
