Defendant Name: Stormy L. Dean

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Stormy L. Dean
First Document Date 24-Oct-2012
Initial Filing Format Administrative Action
File Number 3-15077
Allegation Type Issuer Reporting and Disclosure
AAER 3419

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Rule 13a-14
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 13(b)(5)
• Sec 14(a)
• Rule 14a-3
• Rule 14a-9
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Resolutions

Bars:
First Resolution Date

Related Documents:

34-68097 24-Oct-2012 Administrative Proceeding
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission's Rules of Practice
34-69645 28-May-2013 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e)(3)(i) of the Commission's Rules of Practice

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