Defendant Name:
Rhode Island Commerce Corporation
Defendant Type:
Government
Initial Case Details
Legal Case Name
SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul
First Document Date
07-Mar-2016
Initial Filing Format
Civil Proceeding
Case Number
16-cv-00107
Allegation Type
Municipal Securities & Public Pensions
Federal District Court
Rhode Island, District of Rhode Island
Violations Alleged
Additionally,
Keith W. Stokes is alleged to have aided and abetted Rhode Island Commerce Corporation's violation of Sec 17(a)(2) of the Securities Act.
James Michael Saul is alleged to have aided and abetted Rhode Island Commerce Corporation's violation of Sec 17(a)(2) of the Securities Act.
Keith W. Stokes is alleged to have aided and abetted Rhode Island Commerce Corporation's violation of Sec 17(a)(3) of the Securities Act.
James Michael Saul is alleged to have aided and abetted Rhode Island Commerce Corporation's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
First Resolution Date
03-Apr-2017
Headline Total Penalty and Disgorgement
$50,000
Other Defendants in Action: