Defendant Name:
Lisa M. Roberts
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Lisa M. Roberts, CPA
First Document Date
20-Jul-2009
Initial Filing Format
Administrative Action
File Number
3-13560
Allegation Type
Issuer Reporting and Disclosure
AAER
3016
Affiliations
- Former: Vice President at Ulticom, Inc. (July 2, 1998—March 2006)
- Former: Senior Vice President at Ulticom, Inc. (March 2006—October 31, 2007)
- Former: CFO at Ulticom, Inc. (July 2, 1998—December 1999)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 14(a) of the Exchange Act.
Lisa M. Roberts is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 14a-9 of the Exchange Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Accountant for 5 years
First Resolution Date
