Defendant Name: Jonathan L. Wilcox

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith
First Document Date 06-Dec-2021
Initial Filing Format Civil Proceeding
Case Number 21-cv-10366
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

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

Related Violations Alleged

Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted Jason M. Boucher's violation of Rules 13b2-2 Exchange Act (willfully/knowingly).
Jonathan L. Wilcox is alleged to have aided and abetted Karen J. Smith's violation of Rules 13b2-2 Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date

Related Documents:

comp-pr2021-252 06-Dec-2021 Complaint
Complaint

Other Defendants in Action:

American Renal Associates Holdings, Inc.
Jason M. Boucher
Karen J. Smith