Defendant Name: Michael Swade

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade
First Document Date 07-Aug-2018
Initial Filing Format Administrative Action
File Number 3-18624
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)

Related Violations Alleged

Michael Swade is alleged to have caused Ribbon Communications Inc.'s violation of Rule 12b-20 of the Exchange Act.
Michael Swade is alleged to have caused Ribbon Communications Inc.'s violation of Sec 13(a) of the Exchange Act.
Michael Swade is alleged to have caused Ribbon Communications Inc.'s violation of Rule 13a-11 of the Exchange Act.

Resolutions

First Resolution Date 07-Aug-2018
Headline Total Penalty and Disgorgement $40,000

Related Documents:

33-10528 07-Aug-2018 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

Other Defendants in Action:

Ribbon Communications Inc.
Mark Greenquist