Defendant Name: Phillip K. Marshall, CPA

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA
First Document Date 21-Sep-2020
Initial Filing Format Administrative Action
File Number 3-20035
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Related Violations Alleged

Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Rule 13a-15 of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Sec 14(a) of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Rule 14a-3 of the Exchange Act.
Phillip K. Marshall, CPA is alleged to have caused RCI Hospitality Holdings, Inc.'s violation of Rule 14a-9 of the Exchange Act.

Resolutions

First Resolution Date 21-Sep-2020
Headline Total Penalty and Disgorgement $35,000

Related Documents:

34-89935 21-Sep-2020 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Other Defendants in Action:

RCI Hospitality Holdings, Inc.
Eric S. Langan

Related Actions:

In the Matter of Steven L. Jenkins, CPA
Steven L. Jenkins, CPA