Defendant Name: Charles E. LeCroy

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Charles E. LeCroy and Douglas W. MacFaddin
First Document Date 04-Nov-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-02238
Allegation Type Municipal Securities & Public Pensions
Federal District Court Alabama, Northern District of Alabama

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Section 15B(c)(1) Exchange Act; Rules G-17, G-20 MSRB

Resolutions

First Resolution Date 04-Dec-2015
Headline Total Penalty and Disgorgement $326,373

Related Documents:

comp21280 04-Nov-2009 Complaint
Complaint
court_doc244_09-cv-02238 04-Dec-2015 Court Docket Document
Final Judgment As To Defendant Charles Lecroy

Other Defendants in Action:

Douglas W. McFaddin

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