Defendant Name:
AmTrust Financial Services, Inc.
Defendant Type:
Public Company
SIC Code:
6411
CUSIP:
03235930
Initial Case Details
Legal Case Name
SEC v. AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr.
First Document Date
17-Jun-2020
Initial Filing Format
Civil Proceeding
Case Number
20-cv-04652
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Violations Alleged
Additionally,
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Sec 13(a) of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Rule 13a-15 of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Ronald E. Pipoly, Jr. is alleged to have aided and abetted AmTrust Financial Services, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
17-Jun-2020
Headline Total Penalty and Disgorgement
$10,300,000
Other Defendants in Action: