Securities Enforcement Empirical Database (SEED)

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

Former: CFO at American Renal Associates Holdings, Inc. (2011—September 2018)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

• 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 14-Jan-2025

Headline Total Penalty and Disgorgement

See Related Documents

Other Defendants in Action:

American Renal Associates Holdings, Inc.

Jason M. Boucher

Karen J. Smith

Related Actions:

In the Matter of Jason M. Boucher, CPA