Defendant Name: Yan-Qing Lu

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. China Sky One Medical, Inc. and Yan-qing Liu
First Document Date 04-Sep-2012
Initial Filing Format Civil Proceeding
Case Number 12-cv-07543
Allegation Type Issuer Reporting and Disclosure
Federal District Court California, Central District of California

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
• Sec 13(b)(5)
• Sec 20(a)
Securities Act
• Sec 17(a)(2)
• Sec 17(a) (Not specified)
Other
• Sec 304(a) Sarbanes-Oxley Act
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Sec 13(a) of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Sec 13(a) of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Yan-Qing Lu is alleged to have aided and abetted China Sky One Medical, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Yan-Qing Lu is alleged to have controlled China Sky One Medical, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 03-Mar-2015
Headline Total Penalty and Disgorgement $9,972,559

Related Documents:

comp-pr2012-175 04-Sep-2012 Complaint
Complaint
court_doc21_12-cv-07543 03-Mar-2015 Court Docket Document
Final Judgment of Permanent Injunction and Other Relief Against Defendants China Sky One Medical, Inc. and Yan-qing Liu

Other Defendants in Action:

China Sky One Medical, Inc.

Related Actions:

In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA
Sherb & Co., LLP
Steven J. Sherb, CPA
Christopher A. Valleau, CPA
Mark Mycio, CPA
Steven N. Epstein, CPA