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

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

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

Related Documents:

complaint_04-cv-01331 11-Aug-2004 Complaint
Complaint
court_doc506_04-cv-01331 11-Mar-2009 Court Docket Document
Amended Partial Judgment

Other Defendants in Action:

Related Actions:

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