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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)

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

Related Documents:

comp-pr2013-192 23-Sep-2013 Complaint
Complaint
court_doc65_13-cv-62066 26-Jan-2015 Court Docket Document
Judgment of Permanent Injunction and Other Relief Against Defendant Frank Spinosa
court_doc69_13-cv-62066 15-Mar-2016 Court Docket Document
Final Judgment of Permanent Injunction Against Defendant Frank Spinosa

Related Actions:

In the Matter of TD Bank, N.A.
SEC v. George G. Levin and Frank J. Preve
SEC v. Barry R. Bekkedam
In the Matter of Barry R. Bekkedam