Defendant Name:
Bernard N. Cole
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle
First Document Date
11-Sep-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-02107
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Ohio, Northern District of Ohio
Affiliations
- Former: President of Dana's unit called Heavy Vehicle Technologies and Systems Group at Dana Holding Corporation (as Successor Registrant to Dana Corporation) (Until December 2005)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Rule 12b-20 of the Exchange Act.
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Sec 13(a) of the Exchange Act.
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Rule 13a-1 of the Exchange Act.
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Rule 13a-11 of the Exchange Act.
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Rule 13a-13 of the Exchange Act.
Bernard N. Cole is alleged to have aided and abetted Dana Holding Corporation (as Successor Registrant to Dana Corporation)'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
First Resolution Date
21-Sep-2009
Headline Total Penalty and Disgorgement
$65,000
Other Defendants in Action:
