Defendant Name:
Mitchell J. Stein
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants.
First Document Date
20-Dec-2011
Initial Filing Format
Civil Proceeding
Case Number
11-cv-01962
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Central District of California
Affiliations
- Former: Outside Counsel at Heart Tronics, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 13(d), 16(a) Exchange Act; Rule 13b2-1, 16a-3 Exchange Act
Additionally,
Martin Bert Carter is alleged to have aided and abetted Mitchell J. Stein's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Willie Gault is alleged to have aided and abetted Mitchell J. Stein's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Mark Nevdahl is alleged to have aided and abetted Mitchell J. Stein's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Related Violations Alleged
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have controlled
Heart Tronics, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of permanent duration)
- Bar from participating in any penny stock offering (of permanent duration)
First Resolution Date
03-Mar-2015
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
