Defendant Name: Mark Sturgeon, CPA

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
First Document Date 10-Jul-2018
Initial Filing Format Administrative Action
File Number 3-18582
Allegation Type Issuer Reporting and Disclosure
AAER 3949

Affiliations

Violations Alleged

Exchange Act
• Sec 13(b)(5)
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Sec 304(a) Sarbanes-Oxley Act
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Sec 13(a) of the Exchange Act.
Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Mark Sturgeon, CPA is alleged to have caused Advanced Drainage Systems, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 10-Jul-2018
Headline Total Penalty and Disgorgement $273,970

Related Documents:

33-10517 10-Jul-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Advanced Drainage Systems, Inc.