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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
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:
First Resolution Date 25-Jun-2015

Related Documents:

comp-pr2015-81 06-May-2015 Complaint
Complaint
court_doc22_15-cv-00363 25-Jun-2015 Court Docket Document
Order
court_doc69_15-cv-00363 30-Mar-2022 Complaint
Amended Complaint
court_doc92_15-cv-00363 02-Nov-2022 Court Docket Document
Final Judgment as to Robert V.A. Harra, Jr.
On November 2, 2022, the Court entered a final judgment, stating: "Defendant Robert V.A. Harra, Jr. (“Defendant”) . . . consented to entry of this Final Judgment without admitting or denying the allegations of the Amended Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph X); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment."

Other Defendants in Action:

Related Actions:

In the Matter of Wilmington Trust Corporation
In the Matter of David R. Gibson
In the Matter of Kevyn N. Rakowski, CPA