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
- Former: Director—Chairman at DHB Industries, Inc. (1992—July 2006)
- Former: CEO at DHB Industries, Inc. (1992—July 2006)
- Founder at DHB Industries, Inc. (From 1992)
Violations Alleged
•
Sec 17(a) (Not specified)
•
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
Headline Total Penalty and Disgorgement
$284,000,000
