Defendant Name:
Karan Raina
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: Director of Operations, New Jersey Utilities Division at Lime Energy Co. (2008—August 2012)
Violations Alleged
•
Rule 13b2-1 Exchange Act
•
Lime: Section 13(a), 13(b)(2)(A) Exchange Act; Rules 13a-1, 13a-13 Exchange Act
Related Violations Alleged
Karan Raina is alleged to have aided and abetted
Lime Energy Co.'s violation of Sec 13(a) of the Exchange Act.
Karan Raina is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Karan Raina is alleged to have aided and abetted
Lime Energy Co.'s violation of Rule 13a-1 of the Exchange Act.
Karan Raina is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Karan Raina is alleged to have aided and abetted
Lime Energy Co.'s violation of Rule 13a-13 of the Exchange Act.
Karan Raina is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Karan Raina is alleged to have aided and abetted
Lime Energy Co.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Karan Raina is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
First Resolution Date
17-Oct-2016
Headline Total Penalty and Disgorgement
$1,125,000
Other Defendants in Action:
