Defendant Name: Brian S. Block

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Brian S. Block and Lisa Pavelka McAlister
First Document Date 08-Sep-2016
Initial Filing Format Civil Proceeding
Case Number 16-cv-07003
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Additionally, Lisa Pavelka McAlister is alleged to have aided and abetted Brian S. Block's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Related Violations Alleged

Brian S. Block is alleged to have aided and abetted Lisa Pavelka McAlister's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted American Realty Capital Properties Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted American Realty Capital Properties Inc. 's violation of Rule 12b-20 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted American Realty Capital Properties Inc. 's violation of Sec 13(a) of the Exchange Act.
Brian S. Block is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Brian S. Block is alleged to have aided and abetted American Realty Capital Properties Inc. 's violation of Rule 13a-11 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted American Realty Capital Properties Inc. 's violation of Rule 13a-13 of the Exchange Act.
Brian S. Block is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

Resolutions

Bars:
First Resolution Date 08-Feb-2018

Related Documents:

comp-pr2016-180 08-Sep-2016 Complaint
Complaint and Jury Demand
court_doc94_16-cv-07003 08-Feb-2018 Court Docket Document
Final Judgment as to Defendant Brian S. Block

Other Defendants in Action:

Related Actions:

In the Matter of VEREIT, Inc.