Defendant Name: Delphi Corporation

Defendant Type: Public Company
SIC Code: 3714
CUSIP: 24712610

Initial Case Details

Legal Case Name SEC v. Delphi Corporation, J.T. Battenberg, III, Alan Dawes, Paul Free, John Blahnik, Milan Belans, Catherine Rozanski, Judith Kudla, Scot McDonald, B.N. Bahadur, Atul Pasricha, Laura Marion, Stuart Doyle and Kevin Curry
First Document Date 30-Oct-2006
Initial Filing Format Civil Proceeding
Case Number 06-cv-14891
Allegation Type Issuer Reporting and Disclosure
Federal District Court Michigan, Eastern District of Michigan

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)(2)(B)
Securities Act
• Sec 17(a) (Not specified)
Additionally, Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Scot McDonald is alleged to have aided and abetted Delphi Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
B.N. Bahadur is alleged to have aided and abetted Delphi Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
J.T. Battenberg, III is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Milan Belans is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
John Blahnik is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Catherine Rozanski is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Scot McDonald is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
B.N. Bahadur is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Atul Pasricha is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Laura Marion is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Stuart Doyle is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
Kevin Curry is alleged to have aided and abetted Delphi Corporation's violation of Rule 12b-20 of the Exchange Act.
J.T. Battenberg, III is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Milan Belans is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
John Blahnik is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Catherine Rozanski is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Scot McDonald is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
B.N. Bahadur is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Atul Pasricha is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Laura Marion is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Stuart Doyle is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
Kevin Curry is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(a) of the Exchange Act.
J.T. Battenberg, III is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Milan Belans is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
John Blahnik is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Catherine Rozanski is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Scot McDonald is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
B.N. Bahadur is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Atul Pasricha is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Laura Marion is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Stuart Doyle is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Kevin Curry is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-1 of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-11 of the Exchange Act.
John Blahnik is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-11 of the Exchange Act.
J.T. Battenberg, III is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-13 of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-13 of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-13 of the Exchange Act.
Milan Belans is alleged to have aided and abetted Delphi Corporation's violation of Rule 13a-13 of the Exchange Act.
J.T. Battenberg, III is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Milan Belans is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
John Blahnik is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Catherine Rozanski is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Scot McDonald is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
B.N. Bahadur is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Atul Pasricha is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Laura Marion is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Stuart Doyle is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Kevin Curry is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Alan Dawes is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Paul Free is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Catherine Rozanski is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Judith Kudla is alleged to have aided and abetted Delphi Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 30-Oct-2006

Related Documents:

LR-19891 30-Oct-2006 Litigation Release
SEC Charges Delphi Corporation and Nine Individuals, Including Former CEO, CFO, Treasurer and Controller, in Wide-Ranging Financial Fraud; Four Others Charged with Aiding and Abetting Related Violations; Delphi and Six Individuals Settle
On October 30, 2006, the SEC stated that: "[It] filed settled financial fraud charges in federal court in Detroit against Delphi Corporation, a Troy, Mich. auto parts supplier. In its complaint, the Commission charges Delphi with engaging in a pattern of fraudulent conduct between 2000 and 2004. The Commission also charges thirteen individuals for their alleged roles in the fraudulent conduct and/or in related reporting and books-and-records violations by Delphi."
comp19891 30-Oct-2006 Complaint
Complaint
The SEC stated: "This case involves a pattern of federal securities laws violations by defendant Delphi Corporation("Delphi") and certain of its senior officers, accounting staff and treasury staff, from 2000 through 2004."
court_doc9_06-cv-14891 07-Nov-2006 Court Docket Document
Final Judgment as to Defendant Delphi Corporation
The Court stated: "The Securities and Exchange Commission having filed a Complaint and Defendant Delphi Corporation; having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; waived any right to appeal from this Final Judgment; and filed a Chapter 11 bankruptcy petition on October 8, 2005 in the matter captioned In Re Delphi Corporation, et al., Case No. 05-44481 (S.D.N.Y.)"
LR-20975 27-Mar-2009 Litigation Release
SEC Settles With Defendant In Delphi Accounting Fraud Case
On March 27, 2009, the SEC "announced settlement of pending charges against Judith Kudla, the former Director of Finance in the information technology ("IT") department of Delphi Corporation."

Other Defendants in Action:

John Blahnik
Catherine Rozanski
Milan Belans
Paul Free
J.T. Battenberg, III
Scot McDonald
Alan Dawes
Judith Kudla
B.N. Bahadur
Atul Pasricha
Laura Marion
Stuart Doyle
Kevin Curry

Related Actions:

In the Matter of B.N. Bahadur
B.N. Bahadur
In the Matter of Stuart Doyle
Stuart Doyle
In the Matter of Laura Marion
Laura Marion
In the Matter of Kevin Curry
Kevin Curry
In the Matter of Judith Kudla (CPA)
Judith Kudla
In the Matter of Duane Higgins, CPA
Duane Higgins, CPA
In the Matter of Nicholas Difazio, CPA
Nicholas Difazio, CPA