Defendant Name: John C. Shea, CPA

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner
First Document Date 24-Aug-2021
Initial Filing Format Administrative Action
File Number 3-20468
Allegation Type Issuer Reporting and Disclosure
AAER 4244

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Rule 13a-15 of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
John C. Shea, CPA is alleged to have caused Healthcare Services Group, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

Bars:
First Resolution Date 24-Aug-2021
Headline Total Penalty and Disgorgement $50,000

Related Documents:

33-10967 24-Aug-2021 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceeding Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Derya D. Warner
Healthcare Services Group, Inc.