Defendant Name:
John Raffle
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. John Raffle and David Applegate, Defendants, and Kathy Raffle, Relief Defendant
First Document Date
27-Jun-2011
Initial Filing Format
Civil Proceeding
Case Number
11-cv-00540
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Texas, Western District of Texas
Affiliations
- Former: Senior Vice President of Strategic Business Units at ArthroCare Corporation (Until December 19, 2008)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Rule 12b-20 of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Sec 13(a) of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Rule 13a-1 of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Rule 13a-13 of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
John Raffle is alleged to have aided and abetted ArthroCare Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
John Raffle is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
19-Jul-2011
Headline Total Penalty and Disgorgement
$3,040,197
Other Defendants in Action:
