Defendant Name:
Waldemar Grab
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
- Former: Controller/Comptroller at Penn West Petroleum Ltd. (2008—June 19, 2014)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
•
Aided and Abetted Penn West Petroleum Ltd., Section 13(a), 13(b)(2)(A), 13(b)(2)(B), Rule 12b-20, 13a-1, 13a-16 Exchange Act
Related Violations Alleged
Waldemar Grab is alleged to have aided and abetted
Penn West Petroleum Ltd.'s violation of Rule 12b-20 of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted
Penn West Petroleum Ltd.'s violation of Sec 13(a) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted
Penn West Petroleum Ltd.'s violation of Rule 13a-1 of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted
Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted
Penn West Petroleum Ltd.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Waldemar Grab is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-16 Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of permanent duration)
First Resolution Date
28-Jun-2017
Headline Total Penalty and Disgorgement
$8,655,000
Other Defendants in Action:
