Defendant Name:
Carlos Javier Moctezuma Velasco
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes
First Document Date
11-Oct-2017
Initial Filing Format
Civil Proceeding
Case Number
17-cv-02086
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Southern District of California
Affiliations
- Former: CFO at Desarrolladora Homex S.A.B. de C.V (December 2009—May 5, 2016)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Rule 12b-20 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Rule 12b-20 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(a) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(a) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Rule 13a-1 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Rule 13a-1 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Sec 17(a) (Not specified) of the Securities Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted Desarrolladora Homex S.A.B. de C.V 's violation of Rule 13a-16 Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have controlled Desarrolladora Homex S.A.B. de C.V 's violation of Rule 13a-16 Exchange Act.
Carlos Javier Moctezuma Velasco is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-16 Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
29-Jun-2021
Headline Total Penalty and Disgorgement
$160,000
Other Defendants in Action:
