Securities Enforcement Empirical Database (SEED)

Defendant Name: Brent N. Whiteley

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants)

First Document Date 08-Oct-2020

Initial Filing Format Civil Proceeding

Case Number 20-cv-08423

Allegation Type Issuer Reporting and Disclosure

Federal District Court New York, Southern District of New York

Affiliations

Former: CFO at SAExploration Holdings, Inc. (2011—August 2019)
Former: General Counsel at SAExploration Holdings, Inc. (2011—August 2019)
Former: Secretary at SAExploration Holdings, Inc. (2011—August 2019)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

Securities Act

• Sec 17(a)(1)

• Sec 17(a)(3)

• Sec 17(a) (Not specified)

Other

• Sec 304(a) Sarbanes-Oxley Act

• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Brent N. Whiteley 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.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Rule 13a-11 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Rule 13a-13 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 17(a)(1) of the Securities Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a)(1) of the Securities Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 17(a)(2) of the Securities Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a)(2) of the Securities Act.

Brent N. Whiteley is alleged to have aided and abetted SAExploration Holdings, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Brent N. Whiteley is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a)(3) of the Securities Act.

Resolutions

Bars:

Bar from acting as Director or Officer of a public company (of unspecified duration)

First Resolution Date 29-Jun-2021

Headline Total Penalty and Disgorgement $9,207,906

Other Defendants in Action:

SAExploration Holdings, Inc.

Jeffrey H. Hastings

Brian A. Beatty

Michael J. Scott

Thomas W. O'Neil

Lori E. Hastings

Related Actions:

In the Matter of Brent Whiteley, Esq.

Brent N. Whiteley