Defendant Name:
Julianne M. Chandler
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: Controller/Comptroller at Lime Energy Co. (2011—November 2012)
- Former: Senior Accounting Manager and Business Unit Controller at Lime Energy Co. (May 2009—2011)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Julianne M. Chandler is alleged to have aided and abetted
Lime Energy Co.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted
Lime Energy Co.'s violation of Sec 13(a) of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted
Lime Energy Co.'s violation of Rule 13a-1 of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted
Lime Energy Co.'s violation of Rule 13a-13 of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted
Lime Energy Co.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Julianne M. Chandler is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Julianne M. Chandler 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
- Bar on practicing before the SEC as an Accountant for 5 years
First Resolution Date
17-Oct-2016
Headline Total Penalty and Disgorgement
$1,125,000
Other Defendants in Action:
