Defendant Name: Bruce Alpert

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Marc J. Gabelli, and Bruce Alpert
First Document Date 24-Apr-2008
Initial Filing Format Civil Proceeding
Case Number 08-cv-03868
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

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

Related Violations Alleged

Bruce Alpert is alleged to have aided and abetted Gabelli Funds LLC's violation of Sections 206(1), 206(2) Investment Advisers Act (willfully/knowingly).

Resolutions

First Resolution Date 01-Aug-2011

Related Documents:

comp20539 24-Apr-2008 Complaint
Complaint: Demand for Jury Trial
court_doc43_08-cv-03868 01-Aug-2011 Court Docket Document
Order Entering Final Judgment
court_doc47_08-cv-03868 01-Aug-2011 Court Docket Document
Appeal from a final order and judgment of the United States District Court for the Southern District of New York granting in part defendants' motions to dismiss
court_doc63_08-cv-03868 19-Jun-2014 Court Docket Document
Stipulated Order of Final Judgment of Dismissal Against Defendant Bruce Alpert

Other Defendants in Action:

Marc J. Gabelli

Related Actions:

In the Matter of Gabelli Funds LLC
Gabelli Funds LLC