SEC files subpoena enforcement action against Navistar International Corporation for withholding documents

March 23, 2015
According to the filing, the Commission is investigating possible fraud relating to statements made by Navistar regarding its efforts to obtain a certificate of conformity from the U.S Environmental Protection Agency.

The Securities and Exchange Commission announced that it has filed a subpoena enforcement action in the U.S. District Court for the Northern District of Illinois against Navistar International Corporation.

According to the filing, the Commission is investigating possible fraud relating to statements made by Navistar regarding its efforts to obtain a certificate of conformity from the U.S Environmental Protection Agency, certifying that Navistar's engines complied with certain provisions of the Clean Air Act. Pursuant to investigative subpoenas, Navistar was obligated to produce documents to the Commission. Navistar has produced many documents in response to the Commission's subpoenas, but it also has redacted and withheld other documents on privilege grounds.

According to the filing, the Commission's staff has not challenged many of Navistar's privilege assertions, but the staff believes that many of Navistar's other privilege assertions are incorrect, resulting in Navistar's improper redaction and withholding of many documents responsive to the Commission's subpoenas. Therefore, the Commission filed an Application for an Order Compelling Compliance with Administrative Subpoenas. The Commission originally filed the application on Dec. 18, 2014 and filed an amended application on Jan. 22, 2015.

Pursuant to its application, the Commission is seeking an order from the federal district court compelling Navistar to produce the documents that Navistar improperly has redacted and withheld as privileged. The Commission notes that it is continuing to conduct a fact-finding inquiry and has not concluded that anyone has broken the law.

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