Defendant Name: James Reynolds

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Exela Technologies, Inc. and James G. Reynolds
First Document Date 19-Dec-2022
Initial Filing Format Administrative Action
File Number 3-21256
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Related Violations Alleged

James Reynolds is alleged to have caused Exela Technologies, Inc. 's violation of Rule 12b-20 of the Exchange Act.
James Reynolds is alleged to have caused Exela Technologies, Inc. 's violation of Sec 13(a) of the Exchange Act.
James Reynolds is alleged to have caused Exela Technologies, Inc. 's violation of Rule 13a-13 of the Exchange Act.

Resolutions

First Resolution Date 19-Dec-2022
Headline Total Penalty and Disgorgement $10,000

Related Documents:

34-96535 19-Dec-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

Other Defendants in Action:

Exela Technologies, Inc.