Defendant Name: Waldyr Da Silva Prado Neto

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Waldyr Da Silva Prado Neto
First Document Date 20-Sep-2012
Initial Filing Format Civil Proceeding
Case Number 12-cv-07094
Allegation Type Insider Trading
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 14(e) + Rule 14-e3

Resolutions

First Resolution Date 07-Jan-2014
Headline Total Penalty and Disgorgement $5,634,233

Related Documents:

comp-pr2012-195 20-Sep-2012 Complaint
Complaint
court_doc46_12-cv-07094 07-Jan-2014 Court Docket Document
Final Judgment Against Defendant Waldyr Da Silva Prado Neto

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