Defendant Name:
Yu Kwai Chong
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Fuqi International, inc. and Yu Kwai Chong
First Document Date
01-Jul-2013
Initial Filing Format
Civil Proceeding
Case Number
13-cv-00995
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
District of Columbia, District of Columbia
Affiliations
- Current: Director—Chairman at Fuqi International, Inc.
- Former: CEO at Fuqi International, Inc.
- Former: President at Fuqi International, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Yu Kwai Chong is alleged to have aided and abetted
Fuqi International, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Yu Kwai Chong is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
03-Oct-2013
Headline Total Penalty and Disgorgement
$1,150,000
Other Defendants in Action:
