Defendant Name:
David J. Schramm
Defendant Type:
Individual
Document Reference:
33-10472
Document Details
Legal Case Name
In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
Document Name
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 Remedial Sanctions and a Cease-and-Desist Order
Document Date
27-Mar-2018
Document Format
Administrative Proceeding
AAER
3932
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$33,878.00
Shared:
Civil Penalty
Individual:
$40,000.00
Shared:
Pre-Judgment Interest
Individual:
$6,113.00
Shared:
Other Defendants in Action:
