Defendant Name:
Frank J. Fradella
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft
First Document Date
30-Nov-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-02269
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Texas, Northern District of Texas
Affiliations
- Former: Director—Chairman at Home Solutions of America, Inc. (Until March 18, 2008)
- Former: Director—No Specific Position Named in Document at Home Solutions of America, Inc. (Until May 4, 2009)
- Former: CEO at Home Solutions of America, Inc. (Until March 31, 2009)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sec 304(a) Sarbanes-Oxley Act
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Frank J. Fradella is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Frank J. Fradella 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 (of permanent duration)
First Resolution Date
03-Dec-2018
Headline Total Penalty and Disgorgement
$1,550,876
Other Defendants in Action:
