Defendant Name:
Alan Dawes
Defendant Type:
Individual
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
Affiliations
- Former: CFO at Delphi Corporation (August 1998—March 2005)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Alan Dawes 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 an unidentified individual or entity's violation of Rule 12b-20 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.
Alan Dawes is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) 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.
Alan Dawes is alleged to have aided and abetted an unidentified individual or entity'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.
Alan Dawes is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 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.
Alan Dawes is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 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.
Alan Dawes is alleged to have aided and abetted an unidentified individual or entity'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.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
07-Nov-2006
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
