Defendant Name:
Frank R. McPike
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: CEO at Competitive Technologies, Inc. (November 2000—June 2002)
- Former: CFO at Competitive Technologies, Inc. (1983—July 2003)
- Former: Interim CEO at Competitive Technologies, Inc. (August 1998—November 2000)
Related Violations Alleged
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.
Frank R. McPike is alleged to have aided and abetted
Chauncey D. Steele's violation of Sec 9(a) Exchange Act.
Resolutions
First Resolution Date
31-Oct-2007
Headline Total Penalty and Disgorgement
$60,000
Other Defendants in Action:
