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

Affiliations

Violations Alleged

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

Resolutions

First Resolution Date 09-Sep-2021
Headline Total Penalty and Disgorgement $100,000

Related Documents:

comp-pr2021-174 03-Sep-2021 Complaint
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
The Kraft Heinz Co.
Eduardo Pelleissone