Defendant Name:
Daniel C. Ustian
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Daniel C. Ustian
First Document Date
31-Mar-2016
Initial Filing Format
Civil Proceeding
Case Number
16-cv-03885
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Illinois, Northern District of Illinois
Affiliations
- Former: Director—Chairman at Navistar International Corp. (2004—August 2012)
- Former: Director—No Specific Position Named in Document at Navistar International Corp. (2002—August 2012)
- Former: CEO at Navistar International Corp. (2003—August 2012)
- Former: President at Navistar International Corp. (2003—August 2012)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Daniel C. Ustian is alleged to have controlled Navistar International Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Rule 12b-20 of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Sec 13(a) of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Rule 13a-1 of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Rule 13a-11 of the Exchange Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Rule 13a-13 of the Exchange Act.
Daniel C. Ustian is alleged to have controlled Navistar International Corporation's violation of Sec 17(a)(1) of the Securities Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Sec 17(a)(1) of the Securities Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Sec 17(a)(2) of the Securities Act.
Daniel C. Ustian is alleged to have aided and abetted Navistar International Corporation's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
27-Feb-2020
Headline Total Penalty and Disgorgement
$500,000
