Defendant Name:
Rockwell Automation, Inc.
Defendant Type:
Public Company
SIC Code:
3829
CUSIP:
77390310
Document Reference:
34-64380
Document Details
Legal Case Name
In the Matter of Rockwell Automation, Inc.
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
03-May-2011
Document Format
Administrative Proceeding
AAER
3274
Allegation Type
Foreign Corrupt Practices Act
Document Summary
On May 3, 2011, the SEC filed a settled administrative proceeding against Rockwell Automation, Inc. According to the SEC: "This matter involves violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA) by Rockwell, through one of its former subsidiaries in China...."
Disgorgement & Penalty Information
Resolutions
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Disgorgement
Individual:
$1,771,000.00
Shared:
Civil Penalty
Individual:
$400,000.00
Shared:
Pre-Judgment Interest
Individual:
$590,091.00
Shared:
