Defendant Name:
Mitchell J. Stein
Defendant Type:
Individual
Document Reference:
court_doc5_11-cv-01962
Document Details
Legal Case Name
SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch (Defendants); Tracey Hampton-Stein, ARC Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership (Relief Defendants)
Document Name
Final Judgment Against Defendnat Stein Imposing Permanent Injunctions, Permanent Officer and Director Bar, Permanent Penny Stock Bar, Disgorgement with Prejudgment Interest, and a Civil Penalty
Document Date
03-Mar-2015
Document Format
Civil Proceeding
Case Number
11-cv-01962
Federal District Court
California, Central District of California
Federal District Judge
James V. Selna
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Bars:
- Bar from acting as Director or Officer of a public company (of permanent duration)
- Bar from participating in any penny stock offering (of permanent duration)
Monetary Penalties:
Disgorgement
Individual:
$5,378,581.61
Shared:
Civil Penalty
Individual:
$5,378,581.61
Shared:
Pre-Judgment Interest
Individual:
$697,833.91
Shared:
Total Penalty
Individual:
$11,454,997.13
Shared:
Other Defendants in Action:
