Defendant Name:
Seth Horowitz
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: COO at Iconix Brand Group, Inc. (March 2014—April 2015)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Seth Horowitz is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
13-Dec-2019
Headline Total Penalty and Disgorgement
$147,419
Other Defendants in Action:
