Defendant Name:
Jian Ming Ni
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Zhou Min Ni; and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni
First Document Date
03-Jun-2024
Initial Filing Format
Civil Proceeding
Case Number
24-cv-01632
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
District of Columbia, District of Columbia
Affiliations
- Former: CFO at HF Foods Group Inc. (2015—April 2019)
- Former: Consultant at HF Foods Group Inc. (2003—2015)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-2 Exchange Act
Related Violations Alleged
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Rule 12b-20 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Sec 13(a) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Rule 13a-1 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Rule 13a-13 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Sec 14(a) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 14(a) of the Exchange Act.
Jian Ming Ni is alleged to have aided and abetted HF Foods Group Inc.'s violation of Rule 14a-9 of the Exchange Act.
Jian Ming Ni 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 from acting as Director or Officer of a public company for 10 years
First Resolution Date
10-Jun-2024
Headline Total Penalty and Disgorgement
$80,000
Other Defendants in Action:
