Defendant Name: Klaus Hofmann

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Klaus Hofmann
First Document Date 03-Sep-2021
Initial Filing Format Civil Proceeding
Case Number 21-cv-07407
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York


Violations Alleged

Exchange Act
Sec 13(b)(5)
Securities Act
Sec 17(a)(2)
Sec 17(a)(3)
Rules 12b2-1, 13b2-2 Exchange Act


First Resolution Date 09-Sep-2021
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2021-174 03-Sep-2021 Complaint
court_doc7_21-cv-07407 09-Sep-2021 Court Docket Document
Final Judgement As To Defendant Klaus Hofmann

Related Actions:

In the Matter of The Kraft Heinz Co., and Eduardo Pelleissone