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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 13(b)(5)
Other
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:
First Resolution Date 21-Dec-2012
Headline Total Penalty and Disgorgement $250,000

Related Documents:

complaint_12-cv-09191 18-Dec-2012 Complaint
Complaint
court_doc3_12-cv-09191 21-Dec-2012 Court Docket Document
Final Judgment as to Defendant David Barnett

Other Defendants in Action:

Related Actions:

SEC v. TheStreet, Inc.
SEC v. Eric Ashman
In the Matter of Eric Ashman, CPA