Defendant Name: Michael Mendes

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Michael Mendes
First Document Date 09-Jan-2014
Initial Filing Format Administrative Action
File Number 3-15674
Allegation Type Issuer Reporting and Disclosure
AAER 3526

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
• Sec 13(b)(2)(B)
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Sec 13(a) of the Exchange Act.
Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Michael Mendes is alleged to have caused Diamond Foods, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 09-Jan-2014
Headline Total Penalty and Disgorgement $125,000

Related Documents:

33-9508 09-Jan-2014 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Related Actions:

SEC v. Steven Neil
Steven Neil
In the Matter of Steven Neil, CPA
Steven Neil
SEC v. Diamond Foods, Inc.
Diamond Foods, Inc.