Defendant Name: Steven A. Splain

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Steven A. Splain, CPA
First Document Date 26-Jul-2021
Initial Filing Format Administrative Action
File Number 3-20439
Allegation Type Issuer Reporting and Disclosure
AAER 4232

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
Other
• Rule 100(b) Regulation G

Resolutions

Bars:
First Resolution Date

Related Documents:

34-92503 26-Jul-2021 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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