Defendant Name: Donald S. Doody

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody
First Document Date 08-Jun-2016
Initial Filing Format Administrative Action
File Number 3-17278
Allegation Type Issuer Reporting and Disclosure
AAER 3782

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(b)(5)
Other
• Rule 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Rule 12b-20 of the Exchange Act.
Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Sec 13(a) of the Exchange Act.
Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Rule 13a-1 of the Exchange Act.
Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Rule 13a-11 of the Exchange Act.
Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Rule 13a-13 of the Exchange Act.
Donald S. Doody is alleged to have caused IEC Electronics Corp.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

First Resolution Date 08-Jun-2016
Headline Total Penalty and Disgorgement $294,204

Related Documents:

34-78017 08-Jun-2016 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Other Defendants in Action:

IEC Electronics Corp.
Ronald J. Years, CPA