Defendant Name: SafeNet, Inc.

Defendant Type: Public Company
SIC Code: 3669
CUSIP: 78645R10

Initial Case Details

Legal Case Name SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko
First Document Date 10-Nov-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-02117
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-11
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 14(a)
• Rule 14a-9
• Sec 15(d)
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(2)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)
Other
• Regulation G
Additionally, Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Gregory Pasko is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 13(b)(5) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 14(a) of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 14(a) of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 14(a) of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Sec 14(a) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 14a-9 of the Exchange Act.
Kenneth Mueller is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 14a-9 of the Exchange Act.
Clinton Ronald Greenman is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 14a-9 of the Exchange Act.
John Wilroy is alleged to have aided and abetted SafeNet, Inc.'s violation of Rule 14a-9 of the Exchange Act.

Resolutions

First Resolution Date 12-Nov-2009
Headline Total Penalty and Disgorgement $3,427,560

Related Documents:

comp21290 10-Nov-2009 Complaint
Complaint
On November 10, 2009, the SEC filed a complaint against SafeNet, Inc. and other individual defendants alleging that: "During the period from the fourth quarter of 2000 through May 2006, SafeNet ('SafeNet' or the Company) engaged in two fraudulent schemes."
LR-21290 12-Nov-2009 Litigation Release
SEC Charges SafeNet, Inc. and Two Former Senior Officers in Earning Management and Options Backdating Schemes. SEC Also Charges Three Former SafeNet Accountants for Their Roles in the Earnings Management Scheme.
On November 12, 2009, the SEC published a litigation release announcing that it filed a settled complaint against SafeNet, Inc., and other individual defendants. According to the SEC: "during the period of the fourth quarter of 2000 through May 2006, SafeNet engaged in two fraudulent schemes -- one involving the backdating of options and the other earnings management."
court_doc4_09-cv-02117 02-Dec-2009 Court Docket Document
Final Judgement as to Defendant SafeNet, Inc.
On December 1, 2009, Federal District Judge Richard W. Roberts entered final judgment against SafeNet, Inc. pursuant to the consent of SafeNet, Inc.

Other Defendants in Action:

Anthony Caputo
Kenneth Mueller
Clinton Ronald Greenman
John Wilroy
Gregory Pasko

Related Actions:

In the Matter of Carole D. Argo, CPA
Carole D. Argo
In the Matter of Kenneth Mueller, CPA
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In the Matter of Clinton Ronald Greenman, CPA
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In the Matter of John Wilroy, CPA
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In the Matter of Gregory Pasko, CPA
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