Defendant Name: Edward S. Steffelin

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Edward S. Steffelin
First Document Date 21-Jun-2011
Initial Filing Format Civil Proceeding
Case Number 11-cv-04204
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Section 206(2) Investment Advisers Act

Resolutions

First Resolution Date 16-Nov-2012

Related Documents:

complaint_11-cv-04204 21-Jun-2011 Complaint
Complaint: Jury Trial Demanded
court_doc43_11-cv-04204 16-Nov-2012 Court Docket Document
Stipulation of Dismissal with Prejudice

Related Actions:

SEC v. J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.)
J.P. Morgan Securities LLC
In the Matter of GSCP (NJ), L.P.
GSCP (NJ), L.P.