Defendant Name:
Mitchell J. Stein
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Mitchell J. Stein
First Document Date
15-May-2015
Initial Filing Format
Administrative Action
File Number
3-16538
Allegation Type
Issuer Reporting and Disclosure
Affiliations
- Outside Counsel at Heart Tronics, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 13b2-1 Exchange Act
Related Violations Alleged
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Mitchell J. Stein is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Attorney for 30 days
First Resolution Date
15-May-2015
