Defendant Name:
David Barnett
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Gregg Alwine and David Barnett
First Document Date
18-Dec-2012
Initial Filing Format
Civil Proceeding
Case Number
12-cv-09191
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Co-President of "Subsidiary A" at TheStreet, Inc.
Violations Alleged
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
David Barnett is alleged to have aided and abetted TheStreet, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
David Barnett is alleged to have aided and abetted TheStreet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
David Barnett is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
David Barnett is alleged to have aided and abetted TheStreet, Inc.'s violation of Sec 13(a) of the Exchange Act.
David Barnett is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
David Barnett is alleged to have aided and abetted TheStreet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
David Barnett is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
David Barnett is alleged to have aided and abetted TheStreet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
David Barnett is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 10 years
First Resolution Date
21-Dec-2012
Headline Total Penalty and Disgorgement
$250,000
Other Defendants in Action:
