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Caroline Ellison and Garry Wang violated SEC's rules, per lawsuit

 2 years ago
source link: https://hackernoon.com/caroline-ellison-and-garry-wang-violated-secs-rules-per-lawsuit
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Caroline Ellison and Garry Wang violated SEC's rules, per lawsuit

December 27th 2022 New Story
2 min
by @legalpdf

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SEC v. Ellison and Wang is part of HackerNoon’s Legalpdf Series. This is part 2 of 11- VIOLATIONS.

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Securities and Exchange Commission (the “Commission”) v. Caroline Ellison (“Ellison”) and Zixiao “Gary” Wang (“Wang”) Court Filing, Dec 21 2022 is part of HackerNoon’s Legal PDF Series. You can jump to any part in this filing here. This is part 2 of 11.

Case Number: 1:22-cv-10794

Plaintiffs: Securities and Exchange Commission (the “Commission”)

Defendants: Caroline Ellison (“Ellison”) and Zixiao “Gary” Wang (“Wang”)

Filing Date: Dec 21, 2022

Location: US District Court, Southern District of New York

Filer: Jorge G. Tenreiro, David L. Hirsch (not admitted in SDNY), Ladan F. Stewart, Amy Harman Burkart, David J. D'Addio - Attorneys for the Plaintiff

VIOLATIONS

  1. By engaging in the conduct set forth in this Complaint, Defendants violated Section 17(a)(1) and (3) of the Securities Act of 1933 (“Securities Act”) [15 U.S.C. § 77q(a)(1) and (3)]; and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78j(b)] and Rule 10b-5(a) and (c) thereunder [17 C.F.R. § 240.10b-5(a) and (c)].

  2. Unless Defendants are permanently restrained and enjoined, they will continue to engage in the acts, practices, transactions and courses of business set forth in this Complaint and in acts, practices, transactions and courses of business of similar type and object.

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About HackerNoon Legal PDF Series: We bring you the most important technical and insightful public domain court case filings.

This court case 1:22-cv-10794 retrieved on Dec 21 2022, is part of the public domain. The court-created documents are works of the federal government, and under copyright law, are automatically placed in the public domain and may be shared without legal restriction.


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