Defendant Name: Clayton "Charlie" Thomas

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Clayton "Charlie" Thomas
First Document Date 07-Jun-2022
Initial Filing Format Administrative Action
File Number 3-20884
Allegation Type Issuer Reporting and Disclosure
AAER 4303

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(b)(5)
Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Sec 13(a) of the Exchange Act.
Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Clayton "Charlie" Thomas is alleged to have caused Synchronoss Technologies, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

First Resolution Date 07-Jun-2022
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-95050 07-Jun-2022 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

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