Defendant Name: Crowe U.K. LLP

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA
First Document Date 14-Aug-2023
Initial Filing Format Administrative Action
File Number 3-21560
Allegation Type Issuer Reporting and Disclosure
AAER 4438

Violations Alleged

Exchange Act
• Sec 14(a)
• Rule 14a-9
Other
• Rule 2-02(b)(1) Regulation S-X
Additionally, Nigel D. Bostock, FCA is alleged to have caused Crowe U.K. LLP's violation of Sec 14(a) of the Exchange Act.
Matthew C. Stallabrass, FCA is alleged to have caused Crowe U.K. LLP's violation of Sec 14(a) of the Exchange Act.
Nigel D. Bostock, FCA is alleged to have caused Crowe U.K. LLP's violation of Rule 14a-9 of the Exchange Act.
Matthew C. Stallabrass, FCA is alleged to have caused Crowe U.K. LLP's violation of Rule 14a-9 of the Exchange Act.
Nigel D. Bostock, FCA is alleged to have caused Crowe U.K. LLP's violation of Rule 2-02(b)(1) Regulation S-X.
Matthew C. Stallabrass, FCA is alleged to have caused Crowe U.K. LLP's violation of Rule 2-02(b)(1) Regulation S-X.

Related Violations Alleged

Crowe U.K. LLP is alleged to have caused Akazoo S.A.'s violation of Sec 13(a) of the Exchange Act.
Crowe U.K. LLP is alleged to have caused Akazoo S.A.'s violation of Rule 13a-19 Exchange Act.

Resolutions

First Resolution Date 14-Aug-2023
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-98118 14-Aug-2023 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules and Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Nigel D. Bostock, FCA
Matthew C. Stallabrass, FCA

Related Actions:

SEC v. Akazoo S.A.
Akazoo S.A.