Defendant Name:
Robert V.A. Harra, Jr.
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North
First Document Date
06-May-2015
Initial Filing Format
Civil Proceeding
Case Number
15-cv-00363
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Delaware, District of Delaware
Affiliations
- Former: President at Wilmington Trust Corporation (1996—May 2011)
- Former: COO at Wilmington Trust Corporation (1996—November 2010)
- Former: Chief Investment Officer at Wilmington Trust Corporation (1996—November 2010)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Additionally,
Kevyn N. Rakowski is alleged to have aided and abetted Robert V.A. Harra, Jr.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
William B. North is alleged to have aided and abetted Robert V.A. Harra, Jr.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Related Violations Alleged
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-11 of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert V.A. Harra, Jr. is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Robert V.A. Harra, Jr. is alleged to have aided and abetted an unidentified individual or entity'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 (of permanent duration)
First Resolution Date
25-Jun-2015
Headline Total Penalty and Disgorgement
$100,000
Other Defendants in Action:
