Defendant Name: Rockwell Automation, Inc.

Defendant Type: Public Company
SIC Code: 3829
CUSIP: 77390310

Initial Case Details

Legal Case Name In the Matter of Rockwell Automation, Inc.
First Document Date 03-May-2011
Initial Filing Format Administrative Action
File Number 3-14364
Allegation Type Foreign Corrupt Practices Act
AAER 3274

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)

Resolutions

First Resolution Date 03-May-2011
Headline Total Penalty and Disgorgement $2,761,091

Related Documents:

34-64380 03-May-2011 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On May 3, 2011, the SEC filed a settled administrative proceeding against Rockwell Automation, Inc. According to the SEC: "This matter involves violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA) by Rockwell, through one of its former subsidiaries in China...."