Defendant Name: ImmunoCellular Therapeutics, Ltd. 

Defendant Type: Public Company
SIC Code: 2834
CUSIP: 45253620

Initial Case Details

Legal Case Name In the Matter of ImmunoCellular Therapeutics, Ltd.
First Document Date 10-Apr-2017
Initial Filing Format Administrative Action
File Number 3-17912
Allegation Type Market Manipulation

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(3)

Related Violations Alleged

ImmunoCellular Therapeutics, Ltd.  is alleged to have caused Lidingo Holdings, LLC's violation of Section 17(b) Securities Act.

Resolutions

First Resolution Date 10-Apr-2017

Related Documents:

33-10338 10-Apr-2017 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On April 10, 2017, the SEC instituted a settled proceeding against ImmunoCellular Therapeutics, Ltd. According to the SEC: "[f]rom September 2011 to August 2012, IMUC through its former Chief Executive Officer, Manish Singh, engaged in a scheme to mislead investors by commissioning over 50 internet publications promoting IMUC on investment websites that purported to be independent from the company when, in fact, they were paid promotions ... As a consequence of this conduct, IMUC violated the anti-fraud and caused violations of the anti-touting provisions of the federal securities laws.

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In the Matter of Manish Singh and Lavos, LLC
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In the Matter of Stephen Ramey
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In the Matter of Christopher French
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SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano
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Andrew Hodge
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