Defendant Name: Universal Electronics Inc

Defendant Type: Public Company
SIC Code: 3650
CUSIP: 91348310

Initial Case Details

Legal Case Name In the Matter of Universal Electronics Inc.
First Document Date 10-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16062
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Other
• Sections 16(a), 13(d), 13(g) Exchange Act

Resolutions

First Resolution Date 10-Sep-2014
Headline Total Penalty and Disgorgement $75,000

Related Documents:

34-73033 10-Sep-2014 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 and Civil Penalty
On September 10, 2014, the SEC instituted administrative proceedings against Universal Electronics, Inc. alleging "violations of the beneficial ownership reporting requirements of the federal securities laws."
2014-190-Universal 10-Sep-2014 Press Release--Administrative Proceeding
SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings: Nearly Three Dozen Charged in Enforcement Initiative to Root Out Repeated Late Filers
On September 10, 2014, the SEC announced charges against 28 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock. The SEC's orders also named six publicly-traded companies for contributing to filing failures by insiders or failing to report their insiders' filing delinquencies, including Universal Electronics Inc., which agreed to pay a $75,000 penalty to settle the SEC's charges. According to the press release, a total of 33 of the 34 individuals and companies named in the SEC's orders agreed to settle and pay financial penalties totaling $2.6 million.

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