Defendant Name:
Peter M. Cannava
Defendant Type:
Individual
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
Affiliations
- Current: Vice President of Public Finance Group at Wells Fargo Securities LLC
Violations Alleged
Related Violations Alleged
Peter M. Cannava is alleged to have aided and abetted
Wells Fargo Securities LLC's violation of Sec 17(a)(2) of the Securities Act.
Peter M. Cannava is alleged to have aided and abetted
Wells Fargo Securities LLC's violation of Sec 17(a)(3) of the Securities Act.
Peter M. Cannava is alleged to have aided and abetted
Wells Fargo Securities LLC's violation of Section 15B(c)(1) Exchange Act; Rules G-17, G-32 Municipal Securities Rulemaking Board.
Resolutions
First Resolution Date
11-Jun-2019
Headline Total Penalty and Disgorgement
$912,500
Other Defendants in Action:
