Securities Enforcement Empirical Database (SEED)

Defendant Name: Ronald E. Pipoly, Jr.

Defendant Type: Individual

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

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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.

Ronald E. Pipoly, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

First Resolution Date 19-Jun-2020

Headline Total Penalty and Disgorgement $237,499

AmTrust Financial Services, Inc.