Defendant Name: Bernard Thomas Marren

Defendant Type: Individual

Initial Case Details

Legal Case Name Deferred Prosecution Agreement with Bernard Thomas Marren
First Document Date 03-Mar-2016
Initial Filing Format Civil Proceeding
Case Number
Allegation Type Issuer Reporting and Disclosure
Federal District Court No District Court Specified

Affiliations

Violations Alleged

Related Violations Alleged

Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(a) of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-1 of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-11 of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Bernard Thomas Marren is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 03-Mar-2016

Related Documents:

comp-pr2016-45-dpa 03-Mar-2016 Complaint
Deferred Prosecution Agreement
2016-45_Marren 09-Mar-2016 Press Release--Civil Action
SEC: Tech Company Misled Investors About Key Product

Related Actions:

SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc.