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
- Former: CFO at American Realty Capital Properties, Inc. (2010—October 28, 2014)
Violations Alleged
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:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
08-Feb-2018
Headline Total Penalty and Disgorgement
$160,000
Other Defendants in Action:
