Defendant Name:
John W. Tate
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens
First Document Date
04-Mar-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-00159
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
North Carolina, Middle District of North Carolina
Affiliations
- Former: COO at Krispy Kreme Doughnuts, Inc. (January 2002—August 2004)
- Former: CFO at Krispy Kreme Doughnuts, Inc. (October 2000—January 2002)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Rule 12b-20 of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Sec 13(a) of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Rule 13a-1 of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Rule 13a-11 of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Rule 13a-13 of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
John W. Tate is alleged to have aided and abetted Krispy Kreme Doughnuts, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
John W. Tate is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
First Resolution Date
01-Apr-2009
Headline Total Penalty and Disgorgement
$146,932
Other Defendants in Action:
