Defendant Name:
Neil R. Cole
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Neil R. Cole and Seth Horowitz
First Document Date
05-Dec-2019
Initial Filing Format
Civil Proceeding
Case Number
19-cv-11148
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Director—Chairman at Iconix Brand Group, Inc.
- Former: CEO at Iconix Brand Group, Inc. (1991—August 2015)
- Former: President at Iconix Brand Group, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-2 Exchange Act
Related Violations Alleged
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Neil R. Cole is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
Other Defendants in Action:
