Defendant Name: Allen Garner

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Allen Garner
First Document Date 14-Oct-2020
Initial Filing Format Administrative Action
File Number 3-20123
Allegation Type Issuer Reporting and Disclosure
AAER 4188

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Rule 13a-11
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 13(b)(5)
Securities Act
• Sec 17(a) (Not specified)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Resolutions

Bars:
First Resolution Date

Related Documents:

34-90168 14-Oct-2020 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

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