Defendant Name:
Tony Tontat
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Tony Tontat
First Document Date
03-Dec-2024
Initial Filing Format
Administrative Action
File Number
3-22336
Allegation Type
Issuer Reporting and Disclosure
Affiliations
- Former: Director—No Specific Position Named in Document at Kiromic BioPharma, Inc. (January 2020—September 2021)
- Former: CFO at Kiromic BioPharma, Inc. (October 2019—September 29, 2021)
Related Violations Alleged
Tony Tontat is alleged to have caused Kiromic BioPharma, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Tony Tontat is alleged to have caused Kiromic BioPharma, Inc.'s violation of Sec 13(a) of the Exchange Act.
Tony Tontat is alleged to have caused Kiromic BioPharma, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Resolutions
First Resolution Date
03-Dec-2024
Headline Total Penalty and Disgorgement
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