Defendant Name: Hoau-Yan Wang

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Hoau-Yan Wang
First Document Date 26-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22210
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(3)

Related Violations Alleged

Hoau-Yan Wang is alleged to have caused Cassava Sciences, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Hoau-Yan Wang is alleged to have caused Cassava Sciences, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date 26-Sep-2024
Headline Total Penalty and Disgorgement $50,000

Related Documents:

33-11311 26-Sep-2024 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

Related Actions:

SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns
Cassava Sciences, Inc.
Remi Barbier
Lindsay Burns