Defendant Name:
Bret Naggs
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Peter Armbruster, Bret Naggs and Mark Wogsland
First Document Date
03-Apr-2019
Initial Filing Format
Civil Proceeding
Case Number
19-cv-00481
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Wisconsin, Eastern District of Wisconsin
Affiliations
- Former: Controller/Comptroller at Roadrunner Transportation Systems, Inc. (July 2014—October 2015)
Violations Alleged
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Sec 13(a) of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Bret Naggs is alleged to have aided and abetted Roadrunner Transportation Systems, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
First Resolution Date
Other Defendants in Action:
