Defendant Name: Brian K. Hutchison

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Brian K. Hutchinson
First Document Date 03-Aug-2022
Initial Filing Format Civil Proceeding
Case Number 22-cv-02296
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
• Sec 13(b)(5)
Securities Act
• Sec 17(a) (Not specified)
Other
• Sec 304(a) Sarbanes-Oxley Act
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Sec 13(a) of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Brian K. Hutchison is alleged to have aided and abetted Surgalign Holdings, Inc.'s violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date

Related Documents:

comp33-11088 03-Aug-2022 Complaint
Complaint
The Commission stated that: "This is a disclosure fraud and accounting fraud case in which Brian K. Hutchison ("Hutchison"), the CEO of RTI Surgical Holdings ("RTI"), masked disappointing sales numbers from Q1 2015 through Q2 2016 (the "Relevant Period") by urging his subordinates to ship future orders ahead of schedule and report the revenue early."

Related Actions:

In the Matter of Surgalign Holdings, Inc. and Robert P. Jordheim
Surgalign Holdings, Inc.
Robert P. Jordheim