John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc.
No reply on file from John Fanning on this matter.
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"Specifically: Netcapital is charged with violating Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, and 13a-13 under the Exchange Act; Fanning is charged with violating Sections 17(a)(1) and (3) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5(a) and (c) thereunder and with aiding and abetting Netcapital’s violations of Section 17(a)(2) of the Securities Act and Rule 10b-5(b) under the Exchange Act; Kraysler is charged with violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Rules 13a-14 and 13b2-2 under the Exchange Act; Kay is charged with violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5, 13a-14, and 13b2-2 thereunder; Riss is charged with violating Sections 17(a)(1) and (3) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5(a) and (c) thereunder, and with aiding and abetting Netcapital’s violations of Section 17(a)(2) of the Securities Act and Rule 10b-5(b) under the Exchange Act; and Lenk is charged with violating Section 17(a)(2) and (3) of the Securities Act and Rule 13a-14 under the Exchange Act."
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"Without admitting the allegations made in the SEC’s complaint, Lenk consented to the entry of a final judgment, subject to court approval, which would order permanent injunctions, a conduct-based injunction, and a civil monetary penalty of $50,000."