Defendant Name: Willie Gault

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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Sec 13(b)(5)
Sec 20(e)
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)

Related Violations Alleged

Willie Gault 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).
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).

Resolutions

Bars:
First Resolution Date 14-Apr-2016

Related Documents:

comp22204 20-Dec-2011 Complaint
Complaint
court_doc2_11-cv-01962 14-Apr-2016 Court Docket Document
Final Judgement Against Defendant Willie J. Gault Imposing Permanent Injunctions and Other Equitable Relief, Disgorgement with Prejudgment Interest, and a Civil Penalty
court_doc463_11-cv-01962 24-Sep-2018 Court Docket Document
Memorandum

Other Defendants in Action:

Related Actions:

In the Matter of Mitchell J. Stein