Defendant Name:
Kent N. Smith
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Kent N. Smith
First Document Date
06-Sep-2023
Initial Filing Format
Administrative Action
File Number
3-21616
Allegation Type
Issuer Reporting and Disclosure
Affiliations
- Former: Senior Vice President at Fluor Corporation (2013—July 2018)
Violations Alleged
Related Violations Alleged
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Rule 12b-20 of the Exchange Act.
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Sec 13(a) of the Exchange Act.
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Rule 13a-1 of the Exchange Act.
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Rule 13a-13 of the Exchange Act.
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Kent N. Smith is alleged to have caused Fluor Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
06-Sep-2023
Headline Total Penalty and Disgorgement
$20,000
