Defendant Name: Marc J. Gabelli

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


Violations Alleged

Related Violations Alleged

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


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_doc52_08-cv-03868 05-Aug-2013 Court Docket Document
Stipulated Order of Final Judgment of Dismissal Against Defendant Marc J. Gabelli

Other Defendants in Action:

Related Actions:

In the Matter of Gabelli Funds LLC