Defendant Name:
Kevin E. Brooks
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: Controller/Comptroller at Quest Software, Inc. (1999—October 26, 2006)
- Former: Principal Accounting Officer at Quest Software, Inc. (1999—October 26, 2006)
Violations Alleged
•
Section 16(a) Exchange Act; Rules 13b2-1, 13b2-2, 16a-13 Exchange Act
Related Violations Alleged
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(a) of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Kevin E. Brooks is alleged to have aided and abetted
Quest Software, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Kevin E. Brooks 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
See Related Documents
Other Defendants in Action:
