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
- Current: CEO at KCAP Financial, Inc. (From December 2006)
- Current: President at KCAP Financial, Inc. (From December 2006)
Violations Alleged
•
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
Other Defendants in Action:
