Defendant Name:
Brian McCollum
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Brian McCollum
First Document Date
18-Jan-2017
Initial Filing Format
Administrative Action
File Number
3-17793
Allegation Type
Issuer Reporting and Disclosure
AAER
3847
Affiliations
- Former: President at Orthofix International N.V. (November 2012—July 2013)
- Former: CFO at Orthofix International N.V. (March 2011—November 2012)
Violations Alleged
•
Sec 304(a) Sarbanes-Oxley Act
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Rule 12b-20 of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Sec 13(a) of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Rule 13a-1 of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Rule 13a-11 of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Rule 13a-13 of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Brian McCollum is alleged to have caused Orthofix International N.V.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
18-Jan-2017
Headline Total Penalty and Disgorgement
$75,885
