Defendant Name: Fiat Chrysler Automobiles N.V.

Defendant Type: Public Company
SIC Code: 3711
CUSIP: N3173810

Initial Case Details

Legal Case Name In the Matter of Fiat Chrysler Automobiles N.V.
First Document Date 28-Sep-2020
Initial Filing Format Administrative Action
File Number 3-20092
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Exchange Act
Rule 12b-20
Sec 13(a)
Rule 13a-16 Exchange Act


First Resolution Date 28-Sep-2020
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-90031 28-Sep-2020 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 28, 2020, the SEC instituted settled cease-and-desist proceedings against Fiat Chrysler Automobiles N.V. The Commission stated: "This matter involves disclosure violations by FCA concerning its public descriptions in early 2016 of an internal inquiry of the emissions control systems of certain of its light-duty diesel vehicles in the wake of the Volkswagen AG ("VW") "Dieselgate" scandal."
2020-230 28-Sep-2020 Press Release--Administrative Proceeding
Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations
The SEC stated: "Fiat Chrysler Automobiles N.V., a London-based public company that sells vehicles through its Michigan-based subsidiary, agreed to settle charges that it made misleading disclosures about an internal audit of its emissions control systems."
34-90576 07-Dec-2020 Administrative Proceeding
Extension Order
The Commission ordered that: "the Division’s request for an extension of time until September 30, 2021 to submit a Proposed Plan of Distribution is granted."
34-91572 15-Apr-2021 Administrative Proceeding
Order Appointing Fund Administrator and Setting Bond Amount
The SEC stated: "IT IS HEREBY ORDERED that Analytics is appointed as the fund administrator . . . and shall obtain a bond . . . in the amount of $9,500,000.00."
34-91571 15-Apr-2021 Administrative Proceeding
Order Appointing Tax Administrator
The SEC stated: "IT IS ORDERED that Miller Kaplan . . . is appointed the Tax Administrator for the QSF in the above-referenced proceeding."
34-93106 23-Sep-2021 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity For Comment
The SEC stated: "Notice is hereby given . . . that the Division of Enforcement has submitted to the Commission a proposed plan of distribution (the “Proposed Plan”) for the distribution of monies paid in the above-captioned matter."
34-93106-dp 23-Sep-2021 Administrative Proceeding
Proposed Plan of Distribution
The SEC stated: "The Division of Enforcement submits this Proposed Plan of Distribution (the “Plan”) to the United States Securities and Exchange Commission (the “Commission”) . . . the Plan provides for the distribution of a Fair Fund (the “Fair Fund”), comprised of civil money penalties paid by Fiat Chrysler Automobiles N.V. (“FCA” or “Respondent”) in the above-captioned matter to investors who were harmed in connection with disclosure violations concerning the Respondent’s public descriptions in early 2016 of an internal inquiry of the emissions control systems in certain of its light-duty diesel vehicles in the wake of the Volkswagen AG (“VW”) “Dieselgate” scandal, pursuant to the Plan of Allocation."
34-93663 23-Nov-2021 Administrative Proceeding
Order Approving Plan of Distribution
The Commission ordered that: "the Proposed Plan is approved."
34-93663-dp 23-Nov-2021 Administrative Proceeding
Plan of Distribution
The Commission stated: "The Plan has been approved by the Commission, and the Commission retains jurisdiction over its implementation."
34-98417 18-Sep-2023 Administrative Proceeding
Order Directing Disbursement of Fair Fund
The SEC ordered that: "Commission staff shall transfer $39,552,652.62 from the Fair Fund to the Fair Fund's escrow account at The Huntington National Bank, N.A., and the Fund Administrator shall distribute such monies to the eligible claimant in accordance with the Plan."