Defendant Name:
Stephanie K. Kushner
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
First Document Date
05-Feb-2015
Initial Filing Format
Civil Proceeding
Case Number
15-cv-01142
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Illinois, Northern District of Illinois
Affiliations
- Current: Executive Vice President at Broadwind Energy, Inc. (From August 15, 2009)
- Current: CFO at Broadwind Energy, Inc. (From August 15, 2009)
- Current: Treasurer at Broadwind Energy, Inc. (From August 15, 2009)
Violations Alleged
Related Violations Alleged
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Sec 13(a) of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled
Broadwind Energy, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Stephanie K. Kushner is alleged to have controlled an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
11-Feb-2015
Headline Total Penalty and Disgorgement
$1,691,467
Other Defendants in Action:
