Defendant Name: voxeljet AG

Defendant Type: Public Company
SIC Code: 3577
CUSIP: 92912L20

Initial Case Details

Legal Case Name In the Matter of voxeljet and Rudolf Franz
First Document Date 01-Jul-2022
Initial Filing Format Administrative Action
File Number 3-20923
Allegation Type Issuer Reporting and Disclosure
AAER 4314

Violations Alleged

Exchange Act
• Rule 12b-20
• Sec 13(a)
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Other
• Rule 13a-16 Exchange Act
Additionally, Rudolf Franz is alleged to have caused voxeljet AG's violation of Rule 12b-20 of the Exchange Act.
Rudolf Franz is alleged to have caused voxeljet AG's violation of Sec 13(a) of the Exchange Act.
Rudolf Franz is alleged to have caused voxeljet AG's violation of Sec 13(b)(2)(A) of the Exchange Act.
Rudolf Franz is alleged to have caused voxeljet AG's violation of Sec 13(b)(2)(B) of the Exchange Act.
Rudolf Franz is alleged to have caused voxeljet AG's violation of Rule 13a-16 Exchange Act.

Resolutions

First Resolution Date 01-Jul-2022
Headline Total Penalty and Disgorgement $175,000

Related Documents:

34-95193 01-Jul-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
On July 1, 2022, the SEC instituted settled cease-and-desist proceedings against voxeljet AG and Rudolf Franz, stating: "These proceedings concern voxeljet’s reporting during two quarters in 2019 of its compliance with a Finance Contract it entered into with the European Investment Bank (“EIB”) and the state of its internal accounting controls."
34-95193-s 01-Jul-2022 Administrative Summary
SEC Files Settled Charges Against voxeljet AG and Its CFO Rudolf Franz; Notes Self-Reporting, Cooperation, and Remediation
The SEC "announced a settled cease-and-desist Order against voxeljet AG, a Foreign Private Issuer headquartered in Friedberg, Germany ("voxeljet" or "Company")and Rudolf Franz, its Chief Financial Officer. The Order concerns voxeljet's reporting during two quarters in2019 of its compliance with a Finance Contract it entered into with the European Investment Bank ("EIB") and the state of its internal accounting controls."

Other Defendants in Action:

Rudolf Franz