Defendant Name: Kevin M. Modany

Defendant Type: Individual

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

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
• Sec 13(b)(5)
Securities Act
• Sec 17(a) (Not specified)
Other
• Sec 304(a) Sarbanes-Oxley Act
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Rule 12b-20 of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Rule 12b-20 of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Sec 13(a) of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Sec 13(a) of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Rule 13a-1 of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Rule 13a-1 of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Rule 13a-11 of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Rule 13a-11 of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Rule 13a-13 of the Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Rule 13a-13 of the Exchange Act.
Kevin M. Modany is alleged to have controlled an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Sec 17(a) (Not specified) of the Securities Act.
Kevin M. Modany is alleged to have aided and abetted ITT Educational Services Inc. 's violation of Section 13(b)(2) Exchange Act.
Kevin M. Modany is alleged to have controlled ITT Educational Services Inc. 's violation of Section 13(b)(2) Exchange Act.

Resolutions

Bars:
First Resolution Date 06-Jul-2018
Headline Total Penalty and Disgorgement $200,000

Related Documents:

comp-pr2015-86 12-May-2015 Complaint
Complaint
court_doc306_15-cv-00758 08-Jun-2018 Complaint
Amended Complaint
court_doc324_15-cv-00758 22-Jun-2018 Complaint
Second Amended Complaint
court-doc342_15-cv-00758 06-Jul-2018 Court Docket Document
Final Judgment as to Defendant Kevin M. Modany

Other Defendants in Action:

ITT Educational Services Inc.
Daniel M. Fitzpatrick

Related Actions:

In the Matter of Kevin M. Modany, CPA
Kevin M. Modany, CPA
In the Matter of Daniel M. Fitzpatrick, CPA
Daniel M. Fitzpatrick, CPA