Defendant Name: Todd H. Takeyasu

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab
First Document Date 28-Jun-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-04866
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
• Sec 13(b)(5)
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(3)
Other
• Rule 13b2-1 Exchange Act; Rule 13b2-2 Exchange Act; Section 304(a) SOX Act

Related Violations Alleged

Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Rule 12b-20 of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(a) of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Rule 13a-1 of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of Sec 17(a) (Not specified) of the Securities Act.
Todd H. Takeyasu is alleged to have aided and abetted Penn West Petroleum Ltd.'s violation of 13a-16 Exchange Act.

Resolutions

First Resolution Date 28-Apr-2020
Headline Total Penalty and Disgorgement $8,655,000

Related Documents:

2017-120 28-Jun-2017 Press Release--Civil Action
SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud
comp-pr2017-120 28-Jun-2017 Complaint
Complaint
court_doc138_17-cv-04866 28-Apr-2020 Court Docket Document
Final Judgment of Defendant Todd D. Takeyasu
court_doc143_17-cv-04866 15-May-2020 Court Docket Document
Order Dismissing with Prejudice the Plaintiff's Claims Not Encompassed in the Final Judgments

Other Defendants in Action:

Penn West Petroleum Ltd.
Waldemar Grab
Jeffrey A. Curran

Related Actions:

In the Matter of Todd H. Takeyasu, CA
Todd H. Takeyasu, CA
In the Matter of Jeffery A. Curran, CA
Jeffery A. Curran, CA
In the Matter of Waldemar Grab
Waldemar Grab