Defendant Name: John S. Sokol

Defendant Type: Individual

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

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(b)(5)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

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 19-Nov-2009
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp21300 16-Nov-2009 Complaint
Complaint
court_doc4_09-cv-02155 19-Nov-2009 Court Docket Document
Final Judgment as to Defendant John S. Sokol

Other Defendants in Action:

Bancinsurance Corporation