Defendant Name: Patrizio & Zhao LLC

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA
First Document Date 30-Sep-2013
Initial Filing Format Administrative Action
File Number 3-15534
Allegation Type Issuer Reporting and Disclosure
AAER 3500

Violations Alleged

Other
• Section 10A(a)(2) Exchange Act

Related Violations Alleged

Patrizio & Zhao LLC is alleged to have caused Keyuan Petrochemicals, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Patrizio & Zhao LLC is alleged to have caused Keyuan Petrochemicals, Inc.'s violation of Sec 13(a) of the Exchange Act.
Patrizio & Zhao LLC is alleged to have caused Keyuan Petrochemicals, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Patrizio & Zhao LLC is alleged to have caused Keyuan Petrochemicals, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Patrizio & Zhao LLC is alleged to have caused Keyuan Petrochemicals, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date 30-Sep-2013
Headline Total Penalty and Disgorgement $30,000

Related Documents:

34-70562 30-Sep-2013 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
On September 30, 2013, the SEC instituted settled cease-and-desist proceedings against Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA. The SEC stated: "This matter involves improper professional conduct under Rule 102(e) of the Commission's Rules of Practice and related violations by Patrizio & Zhao LLC ("P&Z") partner Xinggeng (John) Zhao. P&Z served as auditor to Keyuan Petrochemicals, Inc. ("Keyuan"), a China-based issuer, and Zhao was the engagement partner."

Other Defendants in Action:

Xinggeng (John) Zhao, CPA

Related Actions:

SEC v. Keyuan Petrochemicals, Inc. and Aichun Li
Keyuan Petrochemicals, Inc.
Aichun Li
In the Matter of Aichun Li, CPA
Aichun Li