Initial Case Details
Legal Case Name
SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick
First Document Date
12-May-2015
Initial Filing Format
Civil Proceeding
Case Number
15-cv-00758
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Indiana, Southern District of Indiana
Related Violations Alleged
Daniel M. Fitzpatrick is alleged to have aided and abetted
ITT Educational Services Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Daniel M. Fitzpatrick is alleged to have aided and abetted
ITT Educational Services Inc. 's violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
06-Jul-2018
Headline Total Penalty and Disgorgement
$100,000
