Defendant Name: Dickson Lee

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of L&L Energy, Inc. and Dickson Lee, CPA
First Document Date 27-Mar-2014
Initial Filing Format Administrative Action
File Number 3-15815
Allegation Type Issuer Reporting and Disclosure
AAER 3545

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
Securities Act
• Sec 17(a) (Not specified)

Related Violations Alleged

Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Sec 13(a) of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Rule 13a-14 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Rule 13a-14 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-14 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Rule 13a-14 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Rule 13a-15 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Rule 13a-15 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-15 of the Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Rule 13a-15 of the Exchange Act.
Dickson Lee is alleged to have aided and abetted L&L Energy, Inc.'s violation of Section 302 of Regulation S-T Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused L&L Energy, Inc.'s violation of Section 302 of Regulation S-T Exchange Act.
Dickson Lee is alleged to have aided and abetted an unidentified individual or entity's violation of Section 302 of Regulation S-T Exchange Act (willfully/knowingly).
Dickson Lee is alleged to have caused an unidentified individual or entity's violation of Section 302 of Regulation S-T Exchange Act.

Resolutions

Bars:
First Resolution Date 01-Jun-2015

Related Documents:

33-9565 27-Mar-2014 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securties Act of 1933 and Sections 4C and 21C of The Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice and Notice of Hearing
33-9799 01-Jun-2015 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 4C And 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice
AP-3354 30-Nov-2015 ALJ Order
Order Directing Supplemental Briefing

Other Defendants in Action:

L&L Energy, Inc

Related Actions:

In the Matter of Shirley Kiang
Shirley Kiang