Defendant Name:
Hector A. May
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC Plaintiff, v. Hector A. May, Vania May Bell, Defendants, and Sonia May, Relief Defendant
First Document Date
14-Dec-2018
Initial Filing Format
Civil Proceeding
Case Number
18-cv-11668
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Affiliations
- Former: President at Executive Compensation Planners, Inc. (1982—May 1, 2018)
- Former: Chief Compliance Officer at Executive Compensation Planners, Inc. (1982—May 1, 2018)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2) Advisers Act
Additionally,
Vania May Bell is alleged to have aided and abetted Hector A. May's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Vania May Bell is alleged to have aided and abetted Hector A. May's violation of Sec 17(a) (Not specified) of the Securities Act.
Vania May Bell is alleged to have aided and abetted Hector A. May's violation of Sections 206(1), 206(2) Advisers Act.
Resolutions
First Resolution Date
27-Dec-2018
Other Defendants in Action:
