Defendant Name: General Electric Company

Defendant Type: Public Company
SIC Code: 3511
CUSIP: 36960410

Initial Case Details

Legal Case Name SEC v. General Electric Company
First Document Date 04-Aug-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-01235
Allegation Type Issuer Reporting and Disclosure
Federal District Court Connecticut, District of Connecticut

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)
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)

Resolutions

First Resolution Date 04-Aug-2009

Related Documents:

comp21166 04-Aug-2009 Complaint
Complaint
The SEC stated: "Starting in 2002 and continuing through 2003, the General Electric Company ("GE"), a publicly-traded company headquartered in Fairfield, Connecticut, acting primarily through senior corporate accountants, made a number of improper accounting decisions which resulted in its reporting materially false or misleading results in its financial statements and earnings reports in 2002 and 2003 and which required additional adjustments through 2006."
LR-21166 04-Aug-2009 Litigation Release
SEC Charges General Electric with Accounting Fraud
The SEC stated: "The Commission today filed a civil injunctive action alleging civil fraud and other charges against General Electric Company ("GE"), a diversified technology, manufacturing, media, and financial services company with headquarters in Fairfield, Connecticut."
2009-178 04-Aug-2009 Press Release--Civil Action
SEC Charges General Electric With Accounting Fraud
The Commission stated: "The Securities and Exchange Commission today filed civil fraud and other charges against General Electric Company (GE), alleging that it misled investors by reporting materially false and misleading results in its financial statements."
court_doc4_09-cv-01235 04-Aug-2009 Court Docket Document
Final Judgment as to General Electric Company
The Court stated: "The Securities and Exchange Commission having filed a Complaint and Defendant General Electric Company having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment"