Securities Enforcement Empirical Database (SEED)

Defendant Name: Harry H. Herington

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur

First Document Date 12-Jan-2011

Initial Filing Format Civil Proceeding

Case Number 11-cv-02016

Allegation Type Issuer Reporting and Disclosure

Federal District Court Kansas, District of Kansas

Affiliations

Current: Director—Chairman at NIC Inc.
Current: Director—No Specific Position Named in Document at NIC Inc.
Current: CEO at NIC Inc.
Former: President at NIC Inc. (Until February 2008)
Former: COO at NIC Inc. (Until March 2006)
Former: Executive Vice President of Portal Operations at NIC Inc. (January 1999—April 2002)

Violations Alleged

Exchange Act

• Sec 13(b)(5)

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

Related Violations Alleged

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Rule 12b-20 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Rule 12b-20 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Sec 13(a) of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Sec 13(a) of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Rule 13a-1 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Rule 13a-1 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Sec 14(a) of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Sec 14(a) of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Rule 14a-3 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Rule 14a-3 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC, Inc.'s violation of Rule 14a-9 of the Exchange Act.

Harry H. Herington is alleged to have aided and abetted NIC Inc.'s violation of Rule 14a-9 of the Exchange Act.

Resolutions

First Resolution Date 18-Jan-2011

Headline Total Penalty and Disgorgement

See Related Documents

Other Defendants in Action:

NIC Inc.

Eric J. Bur

Jeffery S. Fraser

Related Actions:

SEC v. Stephen M. Kovzan

Stephen M. Kovzan

In the Matter of Eric J. Bur, CPA