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
- Former: Director—Chairman at Uni-Pixel, Inc.
- Current: Director—No Specific Position Named in Document at Uni-Pixel, Inc.
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:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
03-Mar-2016
