Defendant Name: Bancinsurance Corporation

Defendant Type: Public Company
SIC Code: 6330
CUSIP: 05945K10

Initial Case Details

Legal Case Name SEC v. Bancinsurance Corporation and John S. Sokol
First Document Date 16-Nov-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-02155
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Additionally, John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Rule 12b-20 of the Exchange Act.
John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Sec 13(a) of the Exchange Act.
John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Rule 13a-1 of the Exchange Act.
John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Rule 13a-13 of the Exchange Act.
John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
John S. Sokol is alleged to have aided and abetted Bancinsurance Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 16-Nov-2009

Related Documents:

comp21300 16-Nov-2009 Complaint
Complaint
On November 16, 2009, the SEC filed a complaint against Bancinsurance Corporation, and John S. Sokol. According to the SEC: "This case concerns a financial fraud at Bancinsurance Corporation, an Ohio-based insurance company. Defendant Bancinsurance Corporation ('Bancinsurance' or the 'Company') failed to account properly for more than $2 million of reinsurance claims and Bancinsurance's president, Defendant John S. Sokol ('Sokol'), failed to ensure that the Company's principal financial officer or its external auditors were informed of the claims."
LR-21300 16-Nov-2009 Litigation Release
SEC Charges Bancinsurance Corporation and its Senior Executive with Securities Fraud
On November 16, 2009, the SEC published a litigation release announcing that it filed a settled complaint against Bancinsurance Corporation and John S. Sokol, charging them with "securities fraud and other violations of the federal securities laws."
court_doc5_09-cv-02155 19-Nov-2009 Court Docket Document
Final Judgment as to Defendant Bancinsurance Corporation
On November 19, 2009, Federal District Judge Colleen Kollar-Kotelly entered final judgment against Bancinsurance Corporation pursuant to the consent of Bancinsurance Corporation.

Other Defendants in Action:

John S. Sokol