Defendant Name: Charles L. Gassenheimer

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke
First Document Date 19-Apr-2016
Initial Filing Format Administrative Action
File Number 3-17213
Allegation Type Issuer Reporting and Disclosure
AAER 3766

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Related Violations Alleged

Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Sec 13(a) of the Exchange Act.
Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Charles L. Gassenheimer is alleged to have caused Ener1, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 19-Apr-2016
Headline Total Penalty and Disgorgement $180,000

Related Documents:

33-10068 19-Apr-2016 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:

Ener1, Inc.
Jeffrey A. Seidel
Robert R. Kamischke

Related Actions:

In the Matter of Robert D. Hesselgesser, CPA
Robert D. Hesselgesser