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

Violations Alleged

Exchange Act
• Rule 13a-14
Securities Act
• Sec 17(a)(3)
Other
• 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:
First Resolution Date 04-Dec-2013
Headline Total Penalty and Disgorgement $6,600,000

Related Documents:

33-9490 04-Dec-2013 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders and Penalties

Other Defendants in Action:

Fifth Third Bancorp