Securities Enforcement Empirical Database (SEED)

Defendant Name: Brian Stoker

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Brian H. Stoker

First Document Date 19-Oct-2011

Initial Filing Format Civil Proceeding

Case Number 11-cv-07388

Allegation Type Securities Offering

Federal District Court New York, Southern District of New York

Affiliations

Former: Director in the CDO Structuring Group at Citigroup Global Markets, Inc. (March 2005—August 2008)

Violations Alleged

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

Resolutions

First Resolution Date 06-Aug-2012

Related Actions:

In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt

Credit Suisse Alternative Capital, LLC

CREDIT SUISSE ASSET MANAGEMENT, LLC

Samir H. Bhatt

SEC v. Citigroup Global Markets Inc.

Citigroup Global Markets Inc.