Defendant Name: David H. Brooks

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. David H. Brooks
First Document Date 25-Oct-2007
Initial Filing Format Civil Proceeding
Case Number 07-cv-61526
Allegation Type Issuer Reporting and Disclosure
Federal District Court Florida, Southern District of Florida

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 13a-14
Sec 13(b)(5)
Sec 14(a)
Rule 14a-9
Securities Act
Sec 17(a) (Not specified)
Other
Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Rule 12b-20 of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Sec 13(a) of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Rule 13a-1 of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Rule 13a-11 of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Rule 13a-13 of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
David H. Brooks is alleged to have aided and abetted DHB Industries, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 12-Dec-2007

Related Documents:

comp20345 25-Oct-2007 Complaint
Complaint for Injunctive and Other Relief
court_doc16_07-cv-61526 12-Dec-2007 Court Docket Document
Order
court_doc181_07-cv-61526 12-Dec-2018 Court Docket Document
Final Judgment Order

Related Actions:

SEC v. DHB Industries, Inc., n/k/a Point Blank Solutions, Inc.
SEC v. Dawn M. Schlegel, and Sandra L. Hatfield
SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman
In the Matter of Dawn M. Schlegel, CPA