Securities Enforcement Empirical Database (SEED)

Defendant Name: Li Xipeng

Defendant Type: Individual

Legal Case Name SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng

First Document Date 03-Mar-2015

Initial Filing Format Civil Proceeding

Case Number 15-cv-00307

Allegation Type Issuer Reporting and Disclosure

Federal District Court District of Columbia, District of Columbia

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 20(e)

Other

• Rule 13b2-2 Exchange Act

Additionally, Wang Feng is alleged to have aided and abetted Li Xipeng's violation of Rule 13a-14 of the Exchange Act.

Li Xipeng is alleged to have aided and abetted China Infrastructure Investment Corp. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Li Xipeng is alleged to have controlled China Infrastructure Investment Corp. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Li Xipeng is alleged to have aided and abetted China Infrastructure Investment Corp. 's violation of Rule 12b-20 of the Exchange Act.

Li Xipeng is alleged to have controlled China Infrastructure Investment Corp. 's violation of Rule 12b-20 of the Exchange Act.

Li Xipeng is alleged to have aided and abetted China Infrastructure Investment Corp. 's violation of Sec 13(a) of the Exchange Act.

Li Xipeng is alleged to have controlled China Infrastructure Investment Corp. 's violation of Sec 13(a) of the Exchange Act.

Li Xipeng is alleged to have aided and abetted China Infrastructure Investment Corp. 's violation of Rule 13a-1 of the Exchange Act.

Li Xipeng is alleged to have controlled China Infrastructure Investment Corp. 's violation of Rule 13a-1 of the Exchange Act.

Li Xipeng is alleged to have aided and abetted China Infrastructure Investment Corp. 's violation of Rule 13a-13 of the Exchange Act.

Li Xipeng is alleged to have controlled China Infrastructure Investment Corp. 's violation of Rule 13a-13 of the Exchange Act.

Bars:

Bar from acting as Director or Officer of a public company (of permanent duration)

First Resolution Date 26-May-2016

Headline Total Penalty and Disgorgement $2,100,000

China Infrastructure Investment Corp.

Wang Feng