Defendant Name: David J. Schramm

Defendant Type: Individual

Initial Case Details

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

Affiliations

Violations Alleged

Related Violations Alleged

David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 12b-20 of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(a) of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-1 of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-11 of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Rule 13a-13 of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
David J. Schramm is alleged to have caused Maxwell Technologies Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 27-Mar-2018
Headline Total Penalty and Disgorgement $2,949,991

Related Documents:

33-10472 27-Mar-2018 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Maxwell Technologies Inc.
James W. DeWitt, Jr.
Van M. Andrews