Securities Enforcement Empirical Database (SEED)

Defendant Name: Stephen C. Gringrich

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

Current: Undetermined at Home Solutions of America, Inc. (From 2008)
Former: Controller/Comptroller at Fireline Restoration, Inc. (March 2006—May 2006)

Violations Alleged

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

Related Violations Alleged

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 12b-20 of the Exchange Act.

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(a) of the Exchange Act.

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 13a-1 of the Exchange Act.

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Rule 13a-13 of the Exchange Act.

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Stephen C. Gringrich is alleged to have aided and abetted Home Solutions of America, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 10-Dec-2009

Headline Total Penalty and Disgorgement $1,550,876

Other Defendants in Action:

Home Solutions of America, Inc.

Frank J. Fradella

Brian M. Marshall

Jeffrey M. Mattich

Rick J. O'Brien

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