Defendant Name: Dasan Zhone Solutions, Inc.

Defendant Type: Public Company
SIC Code: 3661
CUSIP: 23305L20

Initial Case Details

Legal Case Name In the Matter of Dasan Zhone Solutions, Inc.
First Document Date 21-Sep-2018
Initial Filing Format Administrative Action
File Number 3-18822
Allegation Type Issuer Reporting and Disclosure
AAER 3983

Violations Alleged

Exchange Act
• Sec 13(a)
• Rule 13a-13
Other
• Rule 8-03 Regulation S-X

Resolutions

First Resolution Date 21-Sep-2018
Headline Total Penalty and Disgorgement $50,000

Related Documents:

34-84261 21-Sep-2018 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 21, 2018, the SEC issued an order against Dasan Zhone Solutions, Inc., stating: "These proceedings arise out of the violation of the Regulation S-X requirement that interim financial statements filed as part of a Form 10-Q be reviewed by an independent public accounting firm prior to filing (the "Interim Review Requirement")."
2018-207 21-Sep-2018 Press Release--Administrative Proceeding
Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
The Commission stated: "The Securities and Exchange Commission today announced charges against five public companies for failing to provide financial statements that were reviewed by their independent external auditor when they filed quarterly reports with the Commission on Form 10-Q."