Defendant Name: Michael J. Sophie

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie
First Document Date 01-May-2008
Initial Filing Format Administrative Action
File Number 3-13031
Allegation Type Issuer Reporting and Disclosure
AAER 2821

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14

Related Violations Alleged

Michael J. Sophie is alleged to have caused UTStarcom, Inc.'s violation of Sec 13(a) of the Exchange Act.
Michael J. Sophie is alleged to have caused UTStarcom, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Michael J. Sophie is alleged to have caused UTStarcom, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Michael J. Sophie is alleged to have caused UTStarcom, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Michael J. Sophie is alleged to have caused UTStarcom, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 01-May-2008

Related Documents:

34-57754 01-May-2008 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934

Other Defendants in Action:

UTStarcom, Inc.
Hong Liang Lu

Related Actions:

SEC v. UTStarcom, Inc.
UTStarcom, Inc.
SEC v. Hong Liang Lu and Michael J. Sophie
Michael J. Sophie
Hong Liang Lu