Defendant Name: Douglas W. Hodge

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

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)(5)
Securities Act
Sec 17(a) (Not specified)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

Douglas W. Hodge 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.
Douglas W. Hodge 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.
Douglas W. Hodge 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.
Douglas W. Hodge 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.
Douglas W. Hodge 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.
Douglas W. Hodge 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

Bars:
First Resolution Date 21-Sep-2009

Related Documents:

comp21207 11-Sep-2009 Complaint
Complaint
court_doc11_09-cv-02107 21-Sep-2009 Court Docket Document
Final Judgment as to Defendant Douglas W. Hodge

Other Defendants in Action:

Related Actions:

In the Matter of Dana Holding Corporation (as successor registrant to Dana Corporation)