Defendant Name: Warren Clamen, CPA

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Warren Clamen, CPA
First Document Date 05-Dec-2019
Initial Filing Format Administrative Action
File Number 3-19612
Allegation Type Issuer Reporting and Disclosure
AAER 4105

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Warren Clamen, CPA is alleged to have caused Iconix Brand Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 05-Dec-2019
Headline Total Penalty and Disgorgement $199,125

Related Documents:

33-10730 05-Dec-2019 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Related Actions:

SEC v. Neil R. Cole and Seth Horowitz
Neil R. Cole
Seth Horowitz
SEC v. Iconix Brand Group, Inc.
Iconix Brand Group, Inc.