Defendant Name: Serge Matta

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Serge Matta
First Document Date 24-Sep-2019
Initial Filing Format Administrative Action
File Number 3-19500
Allegation Type Issuer Reporting and Disclosure
AAER 4092

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
Rules 13b2-1, 13b2-2 Exchange Act; Section 304 Sarbanes-Oxley

Related Violations Alleged

Serge Matta is alleged to have caused Comscore, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Sec 13(a) of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Serge Matta is alleged to have caused Comscore, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.

Resolutions

Bars:
First Resolution Date 24-Sep-2019
Headline Total Penalty and Disgorgement $700,000

Related Documents:

33-10693 24-Sep-2019 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Related Actions:

In the Matter of Comscore, Inc.