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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
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

Related Documents:

comp-pr2016-182 09-Sep-2016 Complaint
Complaint: Jury Trial Demanded
court_doc13_16-cv-05475 03-Mar-2017 Court Docket Document
Final Judgment as to Defendant Marrien Neilson

Related Actions:

In the Matter of BOKF, NA
SEC (Plaintiff) v. Christopher Freeman Brogdon (Defendant) and Connie Brogdon, Tygh Brogdon, Brogdon Family LLC, Gordon Jensen Healthcare Association, Inc., JRT Group 2 Properties, LLC, Mobama Nursing, LLC, National Assistance Bureau, Inc., Saint Simons Healthcare, LLC , and Winter Haven Homes, Inc. (Relief Defendants)
In the Matter of Lawson Financial Corporation and Robert Lawson