Defendant Name:
Khaled "Kal" Bassily
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Khaled "Kal" Bassily
First Document Date
12-Apr-2016
Initial Filing Format
Civil Proceeding
Case Number
16-CV-02733
Allegation Type
Broker Dealer
Federal District Court
New York, Southern District of New York
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 20(b) Exchange Act
Related Violations Alleged
Khaled "Kal" Bassily is alleged to have aided and abetted ConvergEx Global Markets Limited's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Khaled "Kal" Bassily is alleged to have aided and abetted ConvergEx Execution Solutions LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Khaled "Kal" Bassily is alleged to have aided and abetted Jonathan Daspin's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Khaled "Kal" Bassily is alleged to have aided and abetted ConvergEx Execution Solutions LLC's violation of Sec 15(c) of the Exchange Act.
Resolutions
First Resolution Date
21-Dec-2017
Headline Total Penalty and Disgorgement
See Related Documents
