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
- Former: CEO at Comscore, Inc. (March 1, 2014—August 5, 2016)
Violations Alleged
•
Sec 17(a) (Not specified)
•
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:
- Bar from acting as Director or Officer of a public company for 10 years
First Resolution Date
24-Sep-2019
Headline Total Penalty and Disgorgement
$700,000
