Defendant Name: Gavin D. Southwell

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell
First Document Date 20-Jul-2022
Initial Filing Format Administrative Action
File Number 3-20932
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Related Violations Alleged

Gavin D. Southwell is alleged to have caused Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Gavin D. Southwell is alleged to have caused Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc.'s violation of Sec 13(a) of the Exchange Act.
Gavin D. Southwell is alleged to have caused Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Gavin D. Southwell is alleged to have caused Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc.'s violation of Rule 13a-11 of the Exchange Act.

Resolutions

First Resolution Date 20-Jul-2022
Headline Total Penalty and Disgorgement $1,111,511

Related Documents:

33-11084 20-Jul-2022 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

Other Defendants in Action:

Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc.