Defendant Name: Andrew David Ross, CPA

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA
First Document Date 17-Dec-2014
Initial Filing Format Administrative Action
File Number 3-16324
Allegation Type Issuer Reporting and Disclosure
AAER 3615


Violations Alleged

Section 4C, 10A(a)(2) Exchange Act; Rule 102(e)(1)(ii) Commission's Rules of Practice


First Resolution Date 17-Dec-2014
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-73862 17-Dec-2014 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to 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

Other Defendants in Action:

Related Actions:

SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants