Defendant Name:
James H. Roberts
Defendant Type:
Individual
Document Reference:
34-95609
Document Details
Legal Case Name
In the Matter of James H. Roberts
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant To Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
25-Aug-2022
Document Format
Administrative Proceeding
AAER
4325
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Clawback provision ex art. 304 SOX: $629,000.00 + " 27,527 shares he received as incentive compensation (or the cash equivalent value calculated based on the last closing price as of June 17, 2022)"
Individual:
$629,000.00
Shared:
