Defendant Name:
J. Rowland Perkins
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—Chairman at Heart Tronics, Inc. (From August 23, 2005)
- Former: CEO at Heart Tronics, Inc. (From June 1, 2008)
Related Violations Alleged
J. Rowland Perkins is alleged to have aided and abetted
Heart Tronics, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
J. Rowland Perkins is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 3 years
- Bar from participating in any penny stock offering for 3 years
First Resolution Date
Headline Total Penalty and Disgorgement
$42,500
Other Defendants in Action:
