Defendant Name: Robert P. Jordheim

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Surgalign Holdings, Inc. and Robert P. Jordheim
First Document Date 03-Aug-2022
Initial Filing Format Administrative Action
File Number 3-20945
Allegation Type Issuer Reporting and Disclosure
AAER 4318

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Sec 304(a) Sarbanes-Oxley Act
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert P. Jordheim is alleged to have caused Surgalign Holdings, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 03-Aug-2022
Headline Total Penalty and Disgorgement $281,831

Related Documents:

33-11088 03-Aug-2022 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Surgalign Holdings, Inc.

Related Actions:

SEC v. Brian K. Hutchinson
Brian K. Hutchison