Defendant Name:
Courtney D. Smith
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Courtney D. Smith
First Document Date
07-Feb-2005
Initial Filing Format
Civil Proceeding
Case Number
05-cv-00941
Allegation Type
Market Manipulation
Federal District Court
California, Central District of California
Affiliations
- Former: President at Courtney Smith & Co. (December 2000—November 2001)
- Former: Chief Investment Officer at Orbitex Management, Inc. (1997—December 1999)
- Former: Chief Investment Officer at Courtney Smith & Co. (December 2000—November 2001)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 17(b) Securities Act; Sections 206(1), 206(2) Advisers Act
Resolutions
First Resolution Date
