Defendant Name: Karen J. Smith

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
• Sec 13(b)(5)
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)
Other
• Rules 13b2-1, 13b2-2 Exchange Act
Additionally, Jonathan L. Wilcox is alleged to have aided and abetted Karen J. Smith's violation of Rules 13b2-2 Exchange Act (willfully/knowingly).

Related Violations Alleged

Karen J. Smith 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).
Karen J. Smith is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Karen J. Smith is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Karen J. Smith is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Karen J. Smith is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Karen J. Smith is alleged to have aided and abetted American Renal Associates Holdings, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Karen J. Smith 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).
Karen J. Smith 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).
Karen J. Smith 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).

Resolutions

Bars:
First Resolution Date 17-Jan-2025
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2021-252 06-Dec-2021 Complaint
Complaint
court_doc218_22-cv-10651 17-Jan-2025 Court Docket Document
Final Judgment as to Defendant Karen J. Smith

Other Defendants in Action:

American Renal Associates Holdings, Inc.
Jonathan L. Wilcox
Jason M. Boucher

Related Actions:

In the Matter of Jason M. Boucher, CPA
Jason M. Boucher
In the Matter of Karen J. Smith, CPA
Karen J. Smith