Defendant Name: David A. LaGassa

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa
First Document Date 24-Apr-2013
Initial Filing Format Administrative Action
File Number 3-15299
Allegation Type Issuer Reporting and Disclosure
AAER 3456

Affiliations

Violations Alleged

Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

David A. LaGassa is alleged to have caused Capital One Financial Corporation's violation of Sec 13(a) of the Exchange Act.
David A. LaGassa is alleged to have caused Capital One Financial Corporation's violation of Rule 13a-13 of the Exchange Act.
David A. LaGassa is alleged to have caused Capital One Financial Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
David A. LaGassa is alleged to have caused Capital One Financial Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 24-Apr-2013
Headline Total Penalty and Disgorgement $3,635,000

Related Documents:

34-69442 24-Apr-2013 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Cease-and-Desist Order and Civil Penalties

Other Defendants in Action:

Capital One Financial Corporation
Peter A. Schnall