Defendant Name:
Daniel Ives
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Daniel Ives
First Document Date
07-Jun-2022
Initial Filing Format
Administrative Action
File Number
3-20886
Allegation Type
Issuer Reporting and Disclosure
AAER
4305
Affiliations
- Former: Executive Vice President at Synchronoss Technologies, Inc. (February 2016—2017)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Daniel Ives is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Daniel Ives is alleged to have caused Synchronoss Technologies, Inc.'s violation of Sec 13(a) of the Exchange Act.
Daniel Ives is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Daniel Ives is alleged to have caused Synchronoss Technologies, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Daniel Ives 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
$15,000