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


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)
Section 17(b) Securities Act; Sections 206(1), 206(2) Advisers Act


First Resolution Date

Related Documents:

comp19064 07-Feb-2005 Complaint
court_doc149_05-cv-00941 02-Mar-2009 Court Docket Document
Order of Voluntary Dismissal

Related Actions:

SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson
In the Matter of Richard J. Evangelista
SEC v. Kenneth P. D'Angelo and RBF International, Inc.