Securities Enforcement Empirical Database (SEED)

Defendant Name: James Atchison

Defendant Type: Individual

Legal Case Name SEC v. Seaworld Entertainment, Inc. and James Atchison

First Document Date 18-Sep-2018

Initial Filing Format Civil Proceeding

Case Number 18-cv-08480

Allegation Type Issuer Reporting and Disclosure

Federal District Court New York, Southern District of New York

Former: Director—No Specific Position Named in Document at SeaWorld Entertainment, Inc.
Former: CEO at SeaWorld Entertainment, Inc.
Former: President at SeaWorld Entertainment, Inc.

Exchange Act

• Rule 12b-20

• Sec 13(a)

• Rule 13a-1

• Rule 13a-11

• Rule 13a-13

• Sec 20(a)

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

James Atchison is alleged to have controlled an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.

James Atchison is alleged to have controlled an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.

James Atchison is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.

James Atchison is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.

James Atchison is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

First Resolution Date 18-Sep-2018

Headline Total Penalty and Disgorgement $1,000,183

SeaWorld Entertainment, Inc.

SEC v. Frederick D. Jacobs

Frederick D. Jacobs