Defendant Name: Waldemar Grab

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Waldemar Grab
First Document Date 07-Sep-2017
Initial Filing Format Administrative Action
File Number 3-18161
Allegation Type Issuer Reporting and Disclosure
AAER 3893

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(b)(5)
Securities Act
• Sec 17(a) (Not specified)
Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Waldemar Grab is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(a) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Rule 13b2-1 Exchange Act.

Resolutions

Bars:
First Resolution Date

Related Documents:

34-81544 07-Sep-2017 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. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab
Penn West Petroleum Ltd.
Waldemar Grab
Todd H. Takeyasu
Jeffrey A. Curran
In the Matter of Todd H. Takeyasu, CA
Todd H. Takeyasu, CA
In the Matter of Jeffery A. Curran, CA
Jeffery A. Curran, CA