SEC
Whistleblower
Advocates

February 24, 2015

Unico, Inc., Mark A. Lopez, Steven R. Peacock, Shane H. Traveller, Mark Allen Lefkowitz

Trading and Pricing

SANCTION AMOUNT: $12,850,317

Defendants: Unico, Inc.
Mark A. Lopez, Steven R. Peacock, Shane H. Traveller, Mark Allen Lefkowitz

Settlement with penny stock company, its former CEO and three penny stock financiers (partial settlement only as to one financier, of liability) for their alleged role in illegal unregistered distributions of billions of shares. Case also involved allegations of false and misleading disclosures filed with the Commission, and failure to report greater than 5% beneficial ownership.

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