Defendant Name:
Vincent C. Smith
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks
First Document Date
12-Mar-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-00315
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Central District of California
Affiliations
- Former: Director—Chairman at Quest Software, Inc. (1998—October 10, 2008)
- Director—Executive Chairman of the Board of Directors at Quest Software, Inc. (From October 10, 2008)
- Former: CEO at Quest Software, Inc. (1998—October 10, 2008)
Violations Alleged
•
Section 16(a) Exchange Act; Rules 13b2-1, 13b2-2, 16a-13 Exchange Act
Related Violations Alleged
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(a) of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Vincent C. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
01-Apr-2009
Headline Total Penalty and Disgorgement
$150,000
Other Defendants in Action:
