Defendant Name: Kenneth D. Pasternak

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Kenneth D. Pasternak and John P. Leighton
First Document Date 08-Aug-2005
Initial Filing Format Civil Proceeding
Case Number 05-cv-03905
Allegation Type Broker Dealer
Federal District Court New Jersey, District of New Jersey

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)

Related Violations Alleged

Kenneth D. Pasternak is alleged to have aided and abetted Knight Securities L.P.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Kenneth D. Pasternak is alleged to have aided and abetted Knight Securities L.P.'s violation of Sections 15(c)(1)(A), 17(a) Exchange Act; Rule 17a-3 Exchange Act.
Kenneth D. Pasternak is alleged to have controlled Knight Securities L.P.'s violation of Sections 15(c)(1)(A), 17(a) Exchange Act; Rule 17a-3 Exchange Act.

Resolutions

First Resolution Date 24-Jun-2008

Related Documents:

comp19329 08-Aug-2005 Complaint
Complaint for Injunctive Relief, Disgorgement and Penalties, For Violations of the Federal Securities Laws
court_doc147_05-cv-03905 24-Jun-2008 Court Docket Document
Opinion

Other Defendants in Action:

John P. Leighton

Related Actions:

In the Matter of Knight Securities L.P.
Knight Securities L.P.