Defendant Name:
Mark J. Ahn
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Galena Biopharma, Inc. and Mark J. Ahn
First Document Date
10-Apr-2017
Initial Filing Format
Administrative Action
File Number
3-17911
Allegation Type
Market Manipulation
AAER
3865
Affiliations
- Former: Director—No Specific Position Named in Document at Galena Biopharma, Inc. (2007—2014)
- Former: CEO at Galena Biopharma, Inc. (2007—2014)
Violations Alleged
•
Section 5(b)(1) Securities Act
Related Violations Alleged
Mark J. Ahn is alleged to have caused Lidingo Holdings, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mark J. Ahn is alleged to have caused
Galena Biopharma, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Mark J. Ahn is alleged to have caused Lidingo Holdings, LLC's violation of Sec 17(a)(1) of the Securities Act.
Mark J. Ahn is alleged to have caused
Galena Biopharma, Inc.'s violation of Sec 17(a)(1) of the Securities Act.
Mark J. Ahn is alleged to have caused Lidingo Holdings, LLC's violation of Sec 17(a)(2) of the Securities Act.
Mark J. Ahn is alleged to have caused Lidingo Holdings, LLC's violation of Sec 17(a)(3) of the Securities Act.
Mark J. Ahn is alleged to have caused
Galena Biopharma, Inc.'s violation of Sec 17(a)(3) of the Securities Act.
Mark J. Ahn is alleged to have caused Lidingo Holdings, LLC's violation of 17(b) Securities Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
10-Apr-2017
Headline Total Penalty and Disgorgement
$1,544,431
Other Defendants in Action:
