Defendant Name: Stephen G. Waldis

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Stephen G. Waldis
First Document Date 07-Jun-2022
Initial Filing Format Administrative Action
File Number 3-20888
Allegation Type Issuer Reporting and Disclosure
AAER 4307

Affiliations

Violations Alleged

Other
Sec 304(a) Sarbanes-Oxley Act

Resolutions

First Resolution Date 07-Jun-2022

Related Documents:

34-95054 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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