Defendant Name: Hongjun Wang

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(e)
Securities Act
• Sec 17(a) (Not specified)
Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Hongjun Wang 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).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Hongjun Wang is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 13(a) of the Exchange Act.
Hongjun Wang is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-1 of the Exchange Act.
Hongjun Wang is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-11 of the Exchange Act.
Hongjun Wang is alleged to have aided and abetted China Northeast Petroleum Holdings Limited's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Rule 13a-13 of the Exchange Act.
Hongjun Wang 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).
Hongjun Wang is alleged to have controlled China Northeast Petroleum Holdings Limited's violation of Sec 13(b)(2)(A) of the Exchange Act.
Hongjun Wang 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).
Hongjun Wang 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 13-Jul-2015

Related Documents:

comp22552 29-Nov-2012 Complaint
Complaint
court_doc128_12-cv-08696 13-Jul-2015 Court Docket Document
Clerk's Certificate Noting Defaults as to Defendants China North East Petroleum Holdings Limited and Wang Hongjun (a/k/a Hongjun Wang)

Other Defendants in Action:

China Northeast Petroleum Holdings Limited
Sun Jishuang
Ju Guizhi
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