Defendant Name: Ronald Emma

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ronald Emma, CPA
First Document Date 20-Mar-2020
Initial Filing Format Administrative Action
File Number 3-19732
Allegation Type Issuer Reporting and Disclosure
AAER 4120

Affiliations

Violations Alleged

Securities Act
Sec 17(a)(3)
Other
Section 13(b)(5) Exchange Act; Rule 13b2-1 Exchange Act

Related Violations Alleged

Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Ronald Emma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-3.

Resolutions

Bars:
First Resolution Date

Related Documents:

34-88432 20-Mar-2020 Administrative Proceeding
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions

Related Actions:

SEC v. Hill International, Inc. and Ronald Emma
SEC v. Nicholas Tornello
In the Matter of Nicholas Tornello, CPA