Defendant Name:
Steven Neil
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Steven Neil
First Document Date
09-Jan-2014
Initial Filing Format
Civil Proceeding
Case Number
14-cv-00122
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Northern District of California
Affiliations
- Former: CFO at Diamond Foods, Inc. (2008—February 2012)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act; Section 304(a) Sarbanes-Oxley Act
Related Violations Alleged
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Steven Neil is alleged to have aided and abetted Diamond Foods, Inc.'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 for 5 years
First Resolution Date
02-Feb-2015
Headline Total Penalty and Disgorgement
$125,000
