Defendant Name: Paul Edward Northen

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Rollins, Inc., and Paul Edward Northen
First Document Date 18-Apr-2022
Initial Filing Format Administrative Action
File Number 3-20824
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

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

Related Violations Alleged

Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Sec 13(a) of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Rule 13a-15 of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Paul Edward Northen is alleged to have caused Rollins, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date 18-Apr-2022
Headline Total Penalty and Disgorgement $100,000

Related Documents:

33-11052 18-Apr-2022 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings and Imposing a Cease-and-Desist Order

Other Defendants in Action:

Rollins, Inc.