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 $220,969

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

Related Actions:

In the Matter of TD Bank, N.A.
TD Bank, N.A.
SEC v. Frank Spinosa
Frank A. Spinosa
SEC v. George G. Levin and Frank J. Preve
Frank J. Preve
George G. Levin
In the Matter of Barry R. Bekkedam
Barry R. Bekkedam