Defendant Name:
Lisa M. Roberts
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Lisa M. Roberts
First Document Date
18-Jun-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-02590
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Eastern District of New York
Affiliations
- Former: Vice President at Ulticom, Inc. (1999—March 2006)
- Former: Senior Vice President at Ulticom, Inc. (March 2006—October 31, 2007)
- Former: CFO at Ulticom, Inc. (July 2, 1998—1999)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Sec 14(a) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 14(a) of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted Ulticom, Inc.'s violation of Rule 14a-9 of the Exchange Act (willfully/knowingly).
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 14a-9 of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
01-Jul-2009
Headline Total Penalty and Disgorgement
$25,000
