Defendant Name: James Michael Saul

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

Violations Alleged

Securities Act
Sec 17(a)(2)
Sec 17(a)(3)

Related Violations Alleged

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.
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

Bars:
First Resolution Date 22-Mar-2016
Headline Total Penalty and Disgorgement $912,500

Related Documents:

comp-pr2016-37 07-Mar-2016 Complaint
Complaint: Jury Trial Demanded
2016-37 07-Mar-2016 Press Release--Civil Action
SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering
LR-23480 07-Mar-2016 Litigation Release
SEC Charges Rhode Island Agency and Wells Fargo with Fraud in 38 Studios Bond Offering
court_doc3_16-cv-00107 22-Mar-2016 Court Docket Document
Final Judgment as to Defendant James Michael Saul

Other Defendants in Action:

Related Actions:

In the Matter of First Southwest Company, LLC