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

Violations Alleged

Exchange Act
Sec 13(b)(5)
Securities Act
Sec 17(a)(3)
Other
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

Related Documents:

comp_pr2016-218 17-Oct-2016 Complaint
Complaint
2016-218 17-Oct-2016 Press Release--Civil Action
SEC Charges Energy Services Company and Executives With Accounting Fraud
court_doc7_16-cv-08088 18-Oct-2016 Court Docket Document
Final Judgment as to Defendant Karan Raina
LR-23673 27-Oct-2016 Litigation Release
SEC Charges Energy Services Company and Executives with Accounting Fraud

Other Defendants in Action:

Related Actions:

In the Matter of Julianne M. Chandler