Defendant Name:
Ron Roe
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. FAT Brands Inc., Andrew Wiederhorn, Ron Roe, and Rebecca Hershinger
First Document Date
10-May-2024
Initial Filing Format
Civil Proceeding
Case Number
24-cv-03913
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Central District of California
Affiliations
- Current: Senior Vice President at FAT Brands, Inc. (From August 16, 2018)
- Former: CFO at FAT Brands, Inc. (October 20, 2017—August 16, 2018)
Violations Alleged
•
Rule 13b2-2 Exchange Act
Related Violations Alleged
Ron Roe is alleged to have aided and abetted
Andrew Wiederhorn's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Sec 13(a) of the Exchange Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Ron Roe is alleged to have aided and abetted
Andrew Wiederhorn's violation of Sec 17(a)(1) of the Securities Act.
Ron Roe is alleged to have aided and abetted
Andrew Wiederhorn's violation of Sec 17(a)(3) of the Securities Act.
Ron Roe is alleged to have aided and abetted
FAT Brands, Inc.'s violation of Section 13(k) Exchange Act.
Resolutions
First Resolution Date
Other Defendants in Action:
