Defendant Name: FuelCell Energy, Inc.

Defendant Type: Public Company

Document Reference: 33-10831-s

Document Details

Legal Case Name In the Matter of FuelCell Energy, Inc.
Document Name SEC Charges Broker-Dealer and Issuer with Shelf Offering Violations
Document Date 03-Sep-2020
Document Format Administrative Proceeding
File Number 3-19957
Allegation Type Securities Offering
Document Summary The SEC "announced charges against National Financial Services LLC (NFS) and FuelCell Energy, Inc., for failing to deliver final prospectuses to purchasers in connection with the public sale of more than $148 million in FuelCell stock."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Self Reporting to SEC

Related Documents:

33-10831 03-Sep-2020 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
On September 3, 2020 the SEC instituted settled cease-and-desist proceedings against FuelCell Energy, Inc. The Commission stated: "This proceeding concerns failures by FuelCell, a Connecticut-based, publicly traded company that designs, manufactures, installs, and services fuel cell power plants, to satisfy its prospectus delivery obligations to investors in connection with five offerings the company conducted from 2005 to 2017."

Related Actions:

In the Matter of National Financial Services LLC
National Financial Services LLC