Defendant Name:
Shirley Kiang
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Shirley Kiang
First Document Date
27-Mar-2014
Initial Filing Format
Administrative Action
File Number
3-15816
Allegation Type
Issuer Reporting and Disclosure
AAER
3546
Affiliations
- Former: Director—Audit Committee at L&L Energy, Inc. (July 2008—August 2012)
- Former: Director—Board Member at L&L Energy, Inc. (1998—August 2012)
Violations Alleged
Related Violations Alleged
Shirley Kiang is alleged to have caused L&L Energy, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Shirley Kiang is alleged to have caused L&L Energy, Inc.'s violation of Sec 13(a) of the Exchange Act.
Shirley Kiang is alleged to have caused L&L Energy, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Resolutions
Bars:
- Permanently refrain from signing any Commission public filing that contains any certification required pursuant to the Sarbanes Oxley Act of 2002 (of permanent duration)
First Resolution Date
27-Mar-2014
