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

Violations Alleged

Exchange Act
Rule 13a-14
Sec 13(b)(5)
Sec 14(a)
Rule 14a-9
Securities Act
Sec 17(a)(2)
Sec 17(a)(3)
Other
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

Related Documents:

comp20950 12-Mar-2009 Complaint
Complaint
court_doc10_09-cv-00315 01-Apr-2009 Court Docket Document
Final Judgment as to Defendant Vincent C. Smith

Other Defendants in Action: