Defendant Name:
Patrick Farrell
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon
First Document Date
24-Sep-2014
Initial Filing Format
Administrative Action
File Number
3-16159
Allegation Type
Issuer Reporting and Disclosure
AAER
3583
Affiliations
- Former: Vice President of Consulting, North America Service Operations at Saba Software, Inc. (June 2006—July 2012)
Violations Alleged
•
Rule 13b2-1 Exchange Act
•
Saba: Sections 13(a), 13(b)(2)(A), 13(b)(2)(B) Excahnge Act; Rules 12b-20, 13a-1, 13a-11, 13a-13 Exchange Act
Related Violations Alleged
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Sec 13(a) of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Patrick Farrell is alleged to have caused
Saba Software, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
24-Sep-2014
Headline Total Penalty and Disgorgement
$1,904,638
Other Defendants in Action:
