Defendant Name: Rick J. O'Brien

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

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Related Violations Alleged

Rick J. O'Brien is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Rick J. O'Brien is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(a) of the Exchange Act.
Rick J. O'Brien is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Rick J. O'Brien is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Rick J. O'Brien is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

First Resolution Date 10-Dec-2009
Headline Total Penalty and Disgorgement $1,550,876

Related Documents:

comp21314 30-Nov-2009 Complaint
Complaint
court_doc13_09-cv-02269 10-Dec-2009 Court Docket Document
Final Judgment as to Defendant Rick J. O'Brien

Other Defendants in Action:

Home Solutions of America, Inc.
Frank J. Fradella
Brian M. Marshall
Jeffrey M. Mattich
Stephen C. Gringrich
Thomas L. Davis
Jeffrey T. Craft

Related Actions:

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