Defendant Name:
Stephen J. Treadway
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Stephen J. Treadway and Kenneth W. Corba
First Document Date
10-Nov-2004
Initial Filing Format
Civil Proceeding
Case Number
04-cv-03464
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Director—Chairman at PIMCO Advisors Distributors LLC
- Former: CEO at PIMCO Advisers Fund Management LLC
- Former: CEO at PIMCO Advisors Distributors LLC
- Former: Managing Director at PIMCO Advisers Fund Management LLC
- Former: Managing Director at PIMCO Advisors Distributors LLC
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 34(b), 36(a) Investment Company Act
Related Violations Alleged
Stephen J. Treadway is alleged to have aided and abetted PEA Capital LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Stephen J. Treadway is alleged to have aided and abetted PIMCO Advisers Fund Management LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Stephen J. Treadway is alleged to have aided and abetted PIMCO Advisors Distributors LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Stephen J. Treadway is alleged to have aided and abetted PEA Capital LLC's violation of Section 206(1), 206(2) Advisers Act (willfully/knowingly).
Stephen J. Treadway is alleged to have aided and abetted PIMCO Advisers Fund Management LLC's violation of Section 206(1), 206(2) Advisers Act (willfully/knowingly).
Resolutions
First Resolution Date
27-Oct-2006
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
