Securities Enforcement Empirical Database (SEED)

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

Former: Director—Chairman at Songyuan North East Petroleum Technical Services Co., Ltd. (November 2009—May 2010)
Former: Director—No Specific Position Named in Document at China Northeast Petroleum Holdings Limited (November 2009—May 2010)
Current: Director—No Specific Position Named in Document at Songyuan Yu Qiao Oil & Gas Development Co., Ltd.
Current: General Manager at Changling Longde Oil and Gas
Current: General Manager at Songyuan Yu Qiao Oil & Gas Development Co., Ltd.

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

Other Defendants in Action:

China Northeast Petroleum Holdings Limited

Sun Jishuang

Wang Hongjun

Jiang Chao

Jiang Mingfu

Related Actions:

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

Baker Tilly Hong Kong Limited

Andrew David Ross, CPA

Kwok Laiha Helena, CPA