Securities Enforcement Empirical Database (SEED)

Defendant Name: Van M. Andrews

Defendant Type: Individual

Legal Case Name In the Matter of Maxwell Technologies, Inc., et al.

First Document Date 27-Mar-2018

Initial Filing Format Administrative Action

File Number 3-18408

Allegation Type Issuer Reporting and Disclosure

AAER 3932

Former: Vice President at Maxwell Technologies Inc. (February 2010—December 30, 2010)
Former: Senior Vice President at Maxwell Technologies Inc. (December 30, 2010—February 28, 2013)

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 17(a) (Not specified)

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 12b-20 of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(a) of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-1 of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-11 of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-13 of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(b)(5) of the Exchange Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.

Van M. Andrews is alleged to have caused Maxwell Technologies Inc.'s violation of Rules 13b2-1, 13b2-2 Exchange Act.

Bars:

First Resolution Date 27-Mar-2018

Maxwell Technologies Inc.

James W. DeWitt, Jr.

David J. Schramm