Defendant Name: EFP Rotenberg, LLP

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
First Document Date 01-Jul-2014
Initial Filing Format Administrative Action
File Number 3-15952
Allegation Type Issuer Reporting and Disclosure
AAER 3562

Violations Alleged

Other
• Rule 2-06 Regulation S-X

Resolutions

First Resolution Date 01-Jul-2014
Headline Total Penalty and Disgorgement $50,000

Related Documents:

33-9608 01-Jul-2014 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Exchange Act of 1933, Sections 21C and 4C 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 July 1, 2014, the SEC instituted settled cease-and-desist proceedings against EFP Rotenberg, LLP and Nicholas R. Bottini, CPA. The SEC stated: "This matter concerns improper professional conduct by EFP Rotenberg, LLP and Nicholas R. Bottini (collectively, "Respondents") in connection with the audit of the financial statements of Universal Travel Group ("UTG") for the year ending December 31, 2010 (the "UTG Audit"), and their violation of the document retention requirements of Rule 2-06 under Regulation S-X [17 C.F.R. § 210.2-06]."

Other Defendants in Action:

Nicholas R. Bottini, CPA

Related Actions:

SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie
Universal Travel Group
Jiangping Jiang
Jing Xie
In the Matter of Jing Xie
Jing Xie