Defendant Name: Hector M. Absi, Jr.

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Hector M. Absi, Jr.
First Document Date 17-Feb-2016
Initial Filing Format Civil Proceeding
Case Number 16-cv-00320
Allegation Type Issuer Reporting and Disclosure
Federal District Court California, Eastern District of California

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 13(b)(5)
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sec 17(a) (Not specified)
Other
Rule 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 12b-20 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Sec 13(a) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 13a-1 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 13a-11 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 13a-13 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Sec 14(a) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 14(a) of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 14a-3 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 14a-3 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted Marrone Bio Innovations 's violation of Rule 14a-9 of the Exchange Act.
Hector M. Absi, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 14a-9 of the Exchange Act.

Resolutions

Bars:
First Resolution Date 31-Aug-2023
Headline Total Penalty and Disgorgement $16,255

Related Documents:

comp-pr2016-32-absi 17-Feb-2016 Complaint
Complaint
court_doc50_16-cv-00320 31-Aug-2023 Court Docket Document
Final Judgment

Related Actions:

SEC v. Marrone Bio Innovations, Inc.
In the Matter of Julieta Favela Barcenas
In the Matter of Donald J. Glidewell, CPA