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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
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 Home Solutions of America, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'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 Rule 12b-20 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'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 Sec 13(a) of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'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-1 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'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 Rule 13a-13 of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'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)(A) of the Exchange Act.
Frank J. Fradella is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(b)(2)(B) 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:
First Resolution Date 03-Dec-2018
Headline Total Penalty and Disgorgement $1,550,876

Related Documents:

comp21314 30-Nov-2009 Complaint
Complaint
court_doc78_09-cv-02269 03-Dec-2018 Court Docket Document
Final Judgment as to Defendant Frank J. Fradella

Other Defendants in Action:

Related Actions:

In the Matter of Stephen C. Gingrich (CPA)
In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA