Defendant Name: Keith W. Stokes

Defendant Type: Individual

Document Reference: LR-23480

Document Details

Legal Case Name SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Cannava, Keith W. Stokes, and James Michael Saul
Document Name SEC Charges Rhode Island Agency and Wells Fargo with Fraud in 38 Studios Bond Offering
Document Date 07-Mar-2016
Document Format Civil Proceeding
Case Number 16-cv-00107
Federal District Court Rhode Island, District of Rhode Island
Allegation Type Municipal Securities & Public Pensions
Document Summary

Disgorgement & Penalty Information

Resolutions
Bars:
  • Bar from participating in any future municipal securities offerings (of permanent duration)

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
court_doc4_16-cv-00107 22-Mar-2016 Court Docket Document
Final Judgment as to Defendant Keith W. Stokes

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