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


Violations Alleged

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


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

Related Actions:

SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
In the Matter of Brixmor Property Group Inc.
In the Matter of Michael Mortimer