Securities Enforcement Empirical Database (SEED)

Defendant Name: James G. Smith

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina

First Document Date 17-Oct-2016

Initial Filing Format Civil Proceeding

Case Number 16-cv-08088

Allegation Type Issuer Reporting and Disclosure

Federal District Court New York, Southern District of New York

Affiliations

Former: Vice President at Lime Energy Co. (Until January 2012)
Former: Executive Vice President at Lime Energy Co. (January 2012—November 2012)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Sec 13(b)(5)

Securities Act

• Sec 17(a)(1)

• Sec 17(a)(3)

• Sec 17(a) (Not specified)

Other

• Rule 13b2-1 Exchange Act

Related Violations Alleged

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Sec 13(a) of the Exchange Act.

James G. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Rule 13a-1 of the Exchange Act.

James G. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Rule 13a-13 of the Exchange Act.

James G. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

James G. Smith is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.

James G. Smith is alleged to have aided and abetted Lime Energy Co.'s violation of Sec 17(a)(2) of the Securities Act.

Resolutions

Bars:

Bar from acting as Director or Officer of a public company for 5 years

First Resolution Date 17-Oct-2016

Headline Total Penalty and Disgorgement

See Related Documents

Other Defendants in Action:

Lime Energy Co.

Karan Raina

Joaquin Alberto Dos Santos Almeida

Julianne M. Chandler

Related Actions:

In the Matter of Julianne M. Chandler