Defendant Name:
Michael Sassano
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Michael Sassano, Dogan Baruh, Robert Oking, and R. Scott Abry
First Document Date
31-Jan-2007
Initial Filing Format
Administrative Action
File Number
3-12554
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at CIBC World Markets Corp. (July 1995—January 2003)
- Former: Broker/Registered Representative at Fahnestock and Co., Inc. (January 2003—July 2004)
Violations Alleged
•
Sec 17(a) (Not specified)
Additionally,
Robert Okin is alleged to have aided and abetted Michael Sassano's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Robert Okin is alleged to have caused Michael Sassano's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
R. Scott Abry is alleged to have aided and abetted Michael Sassano's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
R. Scott Abry is alleged to have caused Michael Sassano's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Robert Okin is alleged to have aided and abetted Michael Sassano's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Robert Okin is alleged to have caused Michael Sassano's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
R. Scott Abry is alleged to have aided and abetted Michael Sassano's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
R. Scott Abry is alleged to have caused Michael Sassano's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Related Violations Alleged
Michael Sassano is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Michael Sassano is alleged to have caused an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Michael Sassano is alleged to have aided and abetted CIBC World Markets Corp.'s violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Michael Sassano is alleged to have caused CIBC World Markets Corp.'s violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Michael Sassano is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Michael Sassano is alleged to have caused an unidentified individual or entity's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Resolutions
First Resolution Date
Other Defendants in Action:
