Defendant Name: Barry R. Bekkedam

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Barry R. Bekkedam
First Document Date 30-Apr-2014
Initial Filing Format Civil Proceeding
Case Number 14-cv-02488
Allegation Type Investment Advisers/Investment Companies
Federal District Court Pennsylvania, Eastern District of Pennsylvania

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(2)
• Sec 17(a) (Not specified)
Other
• Sections 206(1), 206(2) Advisers Act

Resolutions

First Resolution Date 22-Apr-2020
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

complaint_14-cv-02488 30-Apr-2014 Complaint
Complaint
court_doc45_14-cv-02488 22-Apr-2020 Court Docket Document
Final Judgment as to Defendant Barry R. Bekkedam

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