Securities Enforcement Empirical Database (SEED)

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

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

Securities Act

• Sec 17(a) (Not specified)

Other

• 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

Other Defendants in Action:

Fuqi International, Inc.