Defendant Name: Lai Guanglin (Alan)

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Lai Guanglin (Alan)
First Document Date 10-Dec-2018
Initial Filing Format Administrative Action
File Number 3-18918
Allegation Type Market Manipulation

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5

Resolutions

Bars:
First Resolution Date 10-Dec-2018
Headline Total Penalty and Disgorgement $400,000

Related Documents:

34-84764 10-Dec-2018 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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