Defendant Name: Stephen Kenneth Leech

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Stephen Kenneth Leech
First Document Date 25-Nov-2024
Initial Filing Format Civil Proceeding
Case Number 24-cv-09017
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(3)
Other
• Sections 206(1), 206(2) Advisers Act; Sections 36(a), 37 Investment Company Act

Resolutions

First Resolution Date

Related Documents:

comp-pr2024-187 25-Nov-2024 Complaint
Complaint

Related Actions:

In the Matter of Western Asset Management Company, LLC
Western Asset Management Company, LLC