Defendant Name:
Daniel Poston
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Fifth Third Bancorp and Daniel Poston
First Document Date
04-Dec-2013
Initial Filing Format
Administrative Action
File Number
3-15635
Allegation Type
Issuer Reporting and Disclosure
AAER
3514
Affiliations
- Former: CFO at Fifth Third Bancorp (2009—October 2013)
- Former: Controller/Comptroller at Fifth Third Bancorp (August 2007—September 2009)
Violations Alleged
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Sec 13(a) of the Exchange Act.
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Rule 13a-13 of the Exchange Act.
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Sec 13(b)(2)(A) of the Exchange Act.
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Sec 13(b)(2)(B) of the Exchange Act.
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Sec 17(a)(2) of the Securities Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Sec 17(a)(2) of the Securities Act.
Daniel Poston is alleged to have aided and abetted
Fifth Third Bancorp's violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).
Daniel Poston is alleged to have caused
Fifth Third Bancorp's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Accountant for 1 year
First Resolution Date
04-Dec-2013
Headline Total Penalty and Disgorgement
$6,600,000
Other Defendants in Action: