Defendant Name:
Annie Astor-Carbonell (CPA)
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Angel Alvarez-Perez and Annie Astor-Carbonell
First Document Date
16-Sep-2008
Initial Filing Format
Civil Proceeding
Case Number
08-cv-08009
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Director—No Specific Position Named in Document at First Bancorp (Until September 2005)
- Former: Senior Vice President at First Bancorp (Until September 2005)
- Former: Executive Vice President at First Bancorp (Until September 2005)
- Former: CFO at First Bancorp (Until September 2005)
Violations Alleged
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Rule 12b-20 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Sec 13(a) of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Rule 13a-1 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Rule 13a-13 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted Doral Financial Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Annie Astor-Carbonell (CPA) is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
17-Oct-2008
Headline Total Penalty and Disgorgement
$75,000
Other Defendants in Action:
