Defendant Name:
Gary S. Klein
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Gary S. Klein
First Document Date
09-Aug-2021
Initial Filing Format
Administrative Action
File Number
3-20456
Allegation Type
Issuer Reporting and Disclosure
AAER
4241
Affiliations
- Former: CFO at Sequential Brands Group, Inc. (November 29, 2012—August 31, 2017)
Violations Alleged
Related Violations Alleged
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Gary S. Klein is alleged to have caused Sequential Brands Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
09-Aug-2021
Headline Total Penalty and Disgorgement
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