Defendant Name: Thor Industries, Inc.

Defendant Type: Public Company
SIC Code: 3716
CUSIP: 88516010

Initial Case Details

Legal Case Name SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff
First Document Date 12-May-2011
Initial Filing Format Civil Proceeding
Case Number 11-cv-00889
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

Violations Alleged

Exchange Act
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Additionally, Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Mark C. Schwartzhoff is alleged to have aided and abetted Thor Industries, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 13-May-2011
Headline Total Penalty and Disgorgement $1,394,830

Related Documents:

comp21966 12-May-2011 Complaint
Complaint
On May 12, 2011, the SEC filed a complaint against Thor Industries, Inc., alleging that the company violated a previous Commission cease and desist order by "fail[ing] to maintain accurate books and records and adequate internal accounting controls." The failure of the company to implement internal controls led to its former VP of financing to engage in a fraudulent accounting scheme.
LR-21966 13-May-2011 Litigation Release
SEC Charges Thor Industries With Violating Commission Cease-and-Desist Order and Charges Former VP of Finance of Thor Subsidiary With Securities Fraud
On May 13, 2011, the SEC announced that it filed a settled enforcement action against Thor Industries, Inc. with issuer-reporting, record-keeping, and internal control violations. The complaint also charges the former Vice President of Finance at Thor's Dutchman Manufacturing, Inc. with securities fraud and other violations.
court_doc5_11-cv-00889 20-May-2011 Court Docket Document
Final Judgment as to Defendant Thor Industries, Inc.
On May 20, 2011, Federal District Judge Rosemary M. Collyer entered final judgment against Thor Industries, Inc. pursuant to the consent of Thord Industries, Inc.

Other Defendants in Action:

Mark C. Schwartzhoff

Related Actions:

In the Matter of Mark C. Schwartzhoff
Marc C. Schwartzhoff