Defendant Name:
Edward J. Pazdro
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. AgFeed Industries
First Document Date
11-Mar-2014
Initial Filing Format
Civil Proceeding
Case Number
14-cv-00663
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Tennessee, Middle District of Tennessee
Affiliations
- Former: CFO at AgFeed Industries, Inc. (November 2010—July 15, 2011)
- Former: Director of internal and external reporting at AgFeed Industries, Inc. (July 15, 2011—August 2011)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sec 304(a) Sarbanes-Oxley Act
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Edward J. Pazdro is alleged to have controlled
AgFeed Industries, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Edward J. Pazdro is alleged to have controlled
AgFeed Industries, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(a) of the Exchange Act.
Edward J. Pazdro is alleged to have controlled
AgFeed Industries, Inc. 's violation of Sec 13(a) of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Edward J. Pazdro is alleged to have controlled
AgFeed Industries, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 17(a) (Not specified) of the Securities Act.
Edward J. Pazdro is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Section 13(b)(2) Exchange Act.
Edward J. Pazdro is alleged to have controlled
AgFeed Industries, Inc. 's violation of Section 13(b)(2) Exchange Act.
Resolutions
First Resolution Date
24-Mar-2017
Headline Total Penalty and Disgorgement
$18,105,000
Other Defendants in Action:
