Defendant Name:
Jerry Li
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Jerry Li
First Document Date
14-Nov-2019
Initial Filing Format
Civil Proceeding
Case Number
19-cv-10562
Allegation Type
Foreign Corrupt Practices Act
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Managing Director at an unidentified individual or entity (December 2007—May 2017)
- Former: Director of Sales at an unidentified individual or entity (2006—2007)
Related Violations Alleged
Jerry Li is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Jerry Li is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Jerry Li is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(5) of the Exchange Act.
Jerry Li is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 30A of the Exchange Act.
Jerry Li is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13b2-1.
Resolutions
First Resolution Date
28-Jun-2022
Headline Total Penalty and Disgorgement
$550,092
