Defendant Name:
Stephen J. Wilson
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 Shamrock Partners (1997—August 2001)
- Current: Director of Investment Banking at an unidentified individual or entity
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 9(a) Exchange Act
Related Violations Alleged
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.
Stephen J. Wilson 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:
