Defendant Name:
Marrien Neilson
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Marrien Neilson
First Document Date
09-Sep-2016
Initial Filing Format
Civil Proceeding
Case Number
16-cv-05475
Allegation Type
Securities Offering
Federal District Court
New Jersey, District of New Jersey
Affiliations
- Former: Senior Vice President at BOKF, NA (2007—2013)
- Former: Manager at BOKF, NA (January 2013—July 2015)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Marrien Neilson is alleged to have aided and abetted Christopher Freeman Brogdon's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Marrien Neilson is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Marrien Neilson is alleged to have aided and abetted Christopher Freeman Brogdon's violation of Sec 17(a) (Not specified) of the Securities Act.
Marrien Neilson is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
First Resolution Date
03-Mar-2017
Headline Total Penalty and Disgorgement
$55,000
