Defendant Name: FuelCell Energy, Inc.

Defendant Type: Public Company
SIC Code: 3629
CUSIP: 35952H60

Initial Case Details

Legal Case Name In the Matter of FuelCell Energy, Inc.
First Document Date 03-Sep-2020
Initial Filing Format Administrative Action
File Number 3-19957
Allegation Type Securities Offering

Violations Alleged

Other
• Section 5(b)(2) Securities Act

Resolutions

First Resolution Date 03-Sep-2020

Related Documents:

33-10831 03-Sep-2020 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
On September 3, 2020 the SEC instituted settled cease-and-desist proceedings against FuelCell Energy, Inc. The Commission stated: "This proceeding concerns failures by FuelCell, a Connecticut-based, publicly traded company that designs, manufactures, installs, and services fuel cell power plants, to satisfy its prospectus delivery obligations to investors in connection with five offerings the company conducted from 2005 to 2017."
33-10831-s 03-Sep-2020 Administrative Summary
SEC Charges Broker-Dealer and Issuer with Shelf Offering Violations
The SEC "announced charges against National Financial Services LLC (NFS) and FuelCell Energy, Inc., for failing to deliver final prospectuses to purchasers in connection with the public sale of more than $148 million in FuelCell stock."

Related Actions:

In the Matter of National Financial Services LLC
National Financial Services LLC