Defendant Name: Guizhi Ju

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants
First Document Date 29-Nov-2012
Initial Filing Format Civil Proceeding
Case Number 12-cv-08696
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 13(b)(5)
Sec 20(a)
Securities Act
Sec 17(a) (Not specified)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 13(a) of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-1 of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-11 of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-13 of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 13(b)(2)(A) of the Exchange Act.
Guizhi Ju is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Guizhi Ju is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 15-Oct-2015

Related Documents:

comp22552 29-Nov-2012 Complaint
Complaint
court_doc132_12-cv-08696 15-Oct-2015 Court Docket Document
Clerk's Certificate Noting Default as to Defendant Ju Guizhi (a/k/a Guizhi Ju)

Other Defendants in Action:

Related Actions:

In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA