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
- Former: Director—No Specific Position Named in Document at Heart Tronics, Inc. (June 28, 2009—June 23, 2011)
- Former: CEO at Heart Tronics, Inc.
- Former: President at Heart Tronics, Inc. (June 28, 2009—June 23, 2011)
- Former: Co-CEO of Administration at Heart Tronics, Inc. (October 15, 2008—June 23, 2011)
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:
- Bar from acting as Director or Officer of a public company (of permanent duration)
First Resolution Date
14-Apr-2016
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
