Defendant Name: Paul C. Tarell, Jr.

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA
First Document Date 23-May-2023
Initial Filing Format Administrative Action
File Number 3-21438
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Related Violations Alleged

Paul C. Tarell, Jr. is alleged to have caused Gaia, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Paul C. Tarell, Jr. is alleged to have caused Gaia, Inc.'s violation of Sec 13(a) of the Exchange Act.
Paul C. Tarell, Jr. is alleged to have caused Gaia, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Paul C. Tarell, Jr. is alleged to have caused Gaia, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Paul C. Tarell, Jr. is alleged to have caused Gaia, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date 23-May-2023
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-11196 23-May-2023 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Other Defendants in Action:

Gaia, Inc.