Defendant Name:
Andrew Rooke
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Andrew Rooke
First Document Date
29-Sep-2020
Initial Filing Format
Administrative Action
File Number
3-20100
Allegation Type
Issuer Reporting and Disclosure
AAER
4178
Affiliations
- Former: President at Manitex International, Inc. (May 2008—December 2016)
- Former: COO at Manitex International, Inc. (May 2008—December 2016)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have aided and abetted Manitex International, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Andrew Rooke is alleged to have caused Manitex International, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
- Bar on practicing before the SEC as an Accountant (of unspecified duration)
First Resolution Date
29-Sep-2020
Headline Total Penalty and Disgorgement
$80,000
