San Diego Company Admits Misleading SEC As Part Of

NJ 2013 Municipal Government

DOJ Conspiracy Obstruction

Penalty

$28 million

Outcome

San Diego Company Admits Misleading SEC As Part Of Settlement Agreement Unico, Inc. Agreed To Pay A Monetary Penalty And To Submit To Oversight By A Government-Approved Monitor For A Period Of At Least Three Years

Details

San Diego Company Admits Misleading SEC As Part Of — DOJ Enforcement (2013)

Outcome: San Diego Company Admits Misleading SEC As Part Of Settlement Agreement Unico, Inc. Agreed To Pay A Monetary Penalty And To Submit To Oversight By A Government-Approved Monitor For A Period Of At Least Three Years

How Crucible Prevents This

Crucible's compliance monitoring for Municipal Government would have detected the patterns underlying this enforcement action.

Source: DOJ Press Release — San Diego Company Admits Misleading SEC As Part Of Settlement Agreement Unico, Inc. Agreed To Pay A Monetary Penalty And To Submit To Oversight By A G

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