Defendant Name: James G. Spencer

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Allion Healthcare, Inc. and James G. Spencer
First Document Date 18-Mar-2009
Initial Filing Format Administrative Action
File Number 3-13411
Allegation Type Issuer Reporting and Disclosure
AAER 2951

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14

Related Violations Alleged

James G. Spencer is alleged to have caused Allion Healthcare, Inc.'s violation of Rule 12b-20 of the Exchange Act.
James G. Spencer is alleged to have caused Allion Healthcare, Inc.'s violation of Sec 13(a) of the Exchange Act.
James G. Spencer is alleged to have caused Allion Healthcare, Inc.'s violation of Rule 13a-13 of the Exchange Act.
James G. Spencer is alleged to have caused Allion Healthcare, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
James G. Spencer is alleged to have caused Allion Healthcare, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 18-Mar-2009

Related Documents:

34-59594 18-Mar-2009 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:

Allion Healthcare, Inc.