Defendant Name: Dayl W. Pearson

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless
First Document Date 28-Nov-2012
Initial Filing Format Administrative Action
File Number 3-15109
Allegation Type Issuer Reporting and Disclosure
AAER 3425

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Sec 13(a) of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Dayl W. Pearson is alleged to have caused KCAP Financial, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 28-Nov-2012
Headline Total Penalty and Disgorgement $125,000

Related Documents:

34-68307 28-Nov-2012 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Civil Penalties and a Cease-and-Desist Order

Other Defendants in Action:

KCAP Financial, Inc.
Michael I. Wirth
R. Jonathan Corless