Defendant Name:
Mark C. Schwartzhoff
Defendant Type:
Individual
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
Affiliations
- Former: Vice President of Finance at Dutchman Manufacturing, Inc. (May 1995—January 2007)
Violations Alleged
•
Rule 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity'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 an unidentified individual or entity's violation of Sec 13(b)(2)(A) 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)(B) of the Exchange Act.
Mark C. Schwartzhoff is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
20-May-2011
Headline Total Penalty and Disgorgement
$1,394,830
Other Defendants in Action:
