Defendant Name:
Frank A. Spinosa
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Frank Spinosa
First Document Date
23-Sep-2013
Initial Filing Format
Civil Proceeding
Case Number
13-cv-62066
Allegation Type
Securities Offering
Federal District Court
Florida, Southern District of Florida
Affiliations
- Former: Undetermined at Commerce Bank Capital Markets Group (April 2006—March 2008)
- Former: Regional Vice President at TD Bank (March 2008—November 2009)
Related Violations Alleged
Frank A. Spinosa is alleged to have aided and abetted Scott Rothstein's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Resolutions
First Resolution Date
26-Jan-2015
