Defendant Name: L.S. Smith

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Dr. L.S. Smith
First Document Date 12-Nov-2014
Initial Filing Format Administrative Action
File Number 3-16270
Allegation Type Issuer Reporting and Disclosure
AAER 3596


Violations Alleged

Section 304(a) Sarbanes-Oxley Act


First Resolution Date 12-Nov-2014
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-73582 12-Nov-2014 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

Related Actions:

SEC v. DGSE Companies Inc. and I. John Benson
In the Matter of I. John Benson, CPA