Defendant Name: William B. North

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

Related Violations Alleged

William B. North is alleged to have aided and abetted David R. Gibson'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.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 12b-20 of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(a) of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-1 of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-11 of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Rule 13a-13 of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
William B. North is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
William B. North is alleged to have aided and abetted Wilmington Trust Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
William B. North 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

First Resolution Date 25-Jun-2015
Headline Total Penalty and Disgorgement $10,000

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_doc102_15-cv-00363 10-Apr-2023 Court Docket Document
Final Judgment as to William B. North

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