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.
- Key Docs
- Official SEC press release