Defendant Name:
Martin Bert Carter
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: Consultant at Heart Tronics, Inc. (January 20, 2008—November 5, 2008)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Martin Bert Carter 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).
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).
Martin Bert Carter 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 (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Martin Bert Carter is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Martin Bert Carter 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).
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
09-Aug-2012
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
