Defendant Name: John T. Place

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC
First Document Date 08-Aug-2016
Initial Filing Format Civil Proceeding
Case Number 16-cv-04291
Allegation Type Broker Dealer
Federal District Court Pennsylvania, Eastern District of Pennsylvania

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5

Related Violations Alleged

John T. Place is alleged to have controlled Global Transition Solutions, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
John T. Place is alleged to have controlled Global Transition Solutions, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
John T. Place is alleged to have aided and abetted Global Transition Solutions, Inc. 's violation of Sec 15(c) of the Exchange Act.
John T. Place is alleged to have controlled Global Transition Solutions, Inc. 's violation of Sec 15(c) of the Exchange Act.
John T. Place is alleged to have controlled Global Transition Solutions, LLC's violation of Sec 15(c) of the Exchange Act.

Resolutions

First Resolution Date
Headline Total Penalty and Disgorgement $433,491

Related Documents:

comp23613 08-Aug-2016 Complaint
Complaint
court_doc_22_16-cv-04291 04-Apr-2017 Court Docket Document
Plaintiff U.S. Securities and Exchange Commission's Application for Entry of Default Against Defendant John T. Place
court_doc_85_16-cv-04291 22-Jul-2019 Court Docket Document
Final Judgment as to Defendant John Place

Other Defendants in Action:

Paul G. Kirk
John P. Kirk
Global Transition Solutions, Inc.
Global Transition Solutions, LLC

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