Defendant Name:
Christi R. Sulzbach
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Christi R. Sulzbach
First Document Date
25-Jun-2009
Initial Filing Format
Administrative Action
File Number
3-13528
Allegation Type
Issuer Reporting and Disclosure
AAER
3000
Affiliations
- Former: Executive Vice President at Tenet Healthcare Corporation (February 1999—September 2003)
- Former: Chief Compliance Officer at Tenet Healthcare Corporation (February 1999—September 2003)
- Former: General Counsel at Tenet Healthcare Corporation (February 1999—September 2003)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Christi R. Sulzbach is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Christi R. Sulzbach is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Christi R. Sulzbach is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Christi R. Sulzbach is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Attorney (of unspecified duration)
First Resolution Date
25-Jun-2009
Headline Total Penalty and Disgorgement
$120,001
