2015-07-06 sec-litreleases pdf 25 KB 3,462 chars

SEC v. NAVISTAR INTERNATIONAL CORPORATION, No. 1:14-cv-10163, Northern District of Illinois (July 6, 2015)

raw: IN THE UNITED STATES DISTRICT COURT FOR THE

IN THE UNITED STATES DISTRICT COURT FOR THE, No. 1:14-cv-10163 (July 6, 2015)

Caption
United States Securities and Exchange Commission v. Navistar International Corporation
Exhibit of Navistar International Corp.
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summary

Navistar International Corporation was ordered by a federal magistrate judge to produce internal documents related to lobbying and corporate communications in an SEC investigation alleging financial misconduct, with most materials deemed non-privileged and due for production by July 24, 2015, though the order itself did not establish fraud charges or final penalties.

paragraph

In SEC v. Navistar International Corp. (Case No. 14-cv-10163), a U.S. magistrate judge ruled that Navistar must produce numerous documents related to lobbying and internal communications, overruling privilege claims on Tabs 1–15, 17–31, 33–34, 37, 44, 54–57, 61–62, 64–65, 67, 70–72. The court allowed limited redactions on documents in Tabs 16, 35–36, 38, 40–41, 45–46, 48–49, 52–53, 58, 60, 63, and 66, while upholding full privilege protection for Tabs 32, 39, 42–43, 47, 50–51, and 59. Navistar was ordered to produce all non-privileged materials by July 24, 2015, and to identify remaining withheld documents by that date, as part of an ongoing SEC investigation into potential financial disclosure violations.

narrative

In SEC v. Navistar International Corp. (Case No. 14-cv-10163), U.S. Magistrate Judge Sidney I. Schenkier issued a detailed order resolving discovery disputes over attorney-client privilege and work product protections for internal corporate documents. The court ordered full production of documents in Tabs 1–15, 17–31, 33–34, 37, 44, 54–57, 61–62, 64–65, 67, 70–72, finding them non-privileged and relevant to the SEC’s investigation into potential financial misconduct and misleading disclosures. For documents in Tabs 16, 35–36, 38, 40–41, 45–46, 48–49, 52–53, 58, 60, 63, and 66, Navistar was permitted to redact specific material identified during the hearing, while privilege claims for Tabs 32, 39, 42–43, 47, 50–51, and 59 were fully sustained. Navistar was required to complete production of all non-privileged documents by July 24, 2015, and to submit a proposed Rule 502(d) order before releasing any documents not included in the in camera review. By the same deadline, Navistar had to identify any remaining documents on its privilege log that it continued to withhold, and the parties were directed to meet and confer to resolve disputes. A status hearing was scheduled for August 13, 2015, to address unresolved issues, though the order itself did not allege or adjudicate fraud, only govern discovery procedures in an ongoing investigation.

Enriched metadata

Scheme
financial-fraud (80%)
Court
Northern District of Illinois
Case No.
1:14-cv-10163
Classified financial-fraud(confidence 80%). EDGAR detection: forms 10-K/10-Q/8-K/NT 10-K· recall 67% / precision 23%. detection rule →
Parties
Securities and Exchange CommissionNavistar International Corporation
Keywords
documentsprivilege workwork productdocuments tabsnavistar shallnavistarproduct assertionsassertions documentsprivilegetabs navistarshall produceshallworkproductproduce documents

Extracted insights

Entities 1
  • company Navistar International Corporation
Triples 10
  • Navistar International Corporation shall produce documents in Tabs 1-15; 17-31, 33-34, and 37
  • Navistar International Corporation shall produce documents in Tabs 16, 35-36, and 38 with redactions
  • Navistar International Corporation shall produce documents in Tabs 44, 54-57, 61-62, and 64-65
  • Navistar International Corporation shall produce documents in Tabs 40-41, 45-46, 48-49, 52-53, 58, 60, 63 and 66 with redactions
  • Navistar International Corporation shall produce documents in Tabs 67, 70-72
  • Navistar International Corporation shall commence production documents not included in in camera review that are not protected by privilege or work product
  • Navistar International Corporation shall complete production by 7/24/15
  • parties shall submit proposed Rule 502(d) order to Court's proposed order box
  • Navistar International Corporation shall identify remaining protected documents on privilege log to SEC on 7/24/15
  • parties shall meet and confer to resolve disputes about withheld logged documents
PDF
IN THE UNITED STATES DISTRICT COURT FOR THE · Source
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Extracted body text (3,462c) 
IN THE UNITED STATES DISTRICT COURT FOR THE
NORTHERN DISTRICT OF ILLINOIS
)
United States Securities)Case No: 14 CV 10163
and Exchange Commission
)
)
v.)Judge:   John Z. Lee
)Magistrate Judge:   Sidney I. Schenkier
)
Navistar International)
Corporation)
)
ORDER
MOTION  HEARING  HELD.    For  the  reasons  stated  on  the  record,  we  sustain  in  part
and overrule in part the assertion of attorney client privilege and/or work product protection as to
the  samples  of  documents  submitted  for  in  camerareview  from  the  Navistar  privilege  log  as
summarized below.
Lobbying  and  communications  documents.    (1)  We  overrule  the  privilege  and/or  work
product  assertions  as  to  the  documents  in  Tabs  1-15;  17-31,  33-34,  and  37.    Navistar  shall
produce those documents; (2) we sustain in part the privilege and/or work product assertions as
to  the  documents  in  Tabs  16,  35-36,  and  38.    Navistar  shall  produce  those  documents  but  may
redact from the produced documents the material identified on the record during the hearing; and
(3) we sustain the privilege and/or work product assertions  as  to  the  documents  in  Tabs  32  and
39.
Non-attorney  documents.    (1)  We  overrule  the  privilege  and/or  work  product  assertions  as  to
the  documents  in  Tabs  44,  54-57,  61-62,  and  64-65.   Navistar  shall  produce  those  documents;
(2)  we  sustain  in  part  the  privilege  and/or  work  product  assertions  as  to  the  documents  in  Tabs
40-41, 45-46, 48-49, 52-53, 58, 60, 63 and 66.    Navistar shall produce those documents but may
redact from the produced documents the material identified on the record during the hearing; and
(3)  we  sustain  the  privilege  and/or  work  product  assertions  as  to  the  documents  in  Tabs  42-43,
47, 50-51, and 59.
Draft  documents.    (1)  We  overrule  the  privilege  and/or  work  product  assertions  as  to  the
documents  in  Tabs  67,  70-72.    Navistar  shall  produce  those  documents;  (2)  and  we  sustain  the
privilege and/or work product assertion as to the documents in Tabs 68-69.
Navistar  shall  produce  on  a  rolling  basis  (1)  the  documents,  which  based  on  the  in  camera
review, the Court has found not protected from production, and (2) the other documents Navistar
has withheld from production that were not included in the in camerareview, but that Navistar in

good faith determines on further review are not protected by privilege or work product under the
analysis employed in the Court's ruling today.   Navistar shall commence that production as soon
as possible, and shall complete the production by no later than 7/24/15.    Prior to the production
of any documents that were not included in the sample for which there was in camerareview, the
parties  shall  submit  to  the  Court's  proposed  order  box  a  proposed  Rule  502(d)  order.    On
7/24/15,  Navistar  shall  identify  for  the  SEC  any  remaining  documents  on the  privilege  log  that
Navistar  asserts  remain  protected  from  production.    The  parties  shall  meet  and  confer  as
necessary  to  resolve  any  disputes  about  logged  documents  that  continue  to  be  withheld  from
production.    The  matter  is  set  for  a  status  hearing  with  the  magistrate  judge  on  8/13/15  at  9:00
a.m.
(T:   02:00)
Date:   June 30, 2015/s/ _________________________________
SIDNEY I. SCHENKIER
UNITED STATES MAGISTRATE JUDGE
OCR text (3,406c · tika · 95% conf) 
IN THE UNITED STATES DISTRICT COURT FOR THE
NORTHERN DISTRICT OF ILLINOIS

)
United States Securities ) Case No: 14 CV 10163
and Exchange Commission )

)
v. ) Judge: John Z. Lee

) Magistrate Judge: Sidney I. Schenkier
)

Navistar International )
Corporation )

)

ORDER

MOTION HEARING HELD.  For the reasons stated on the record, we sustain in part 
and overrule in part the assertion of attorney client privilege and/or work product protection as to 
the samples of documents submitted for in camera review from the Navistar privilege log as 
summarized below.

Lobbying and communications documents.  (1) We overrule the privilege and/or work 
product assertions as to the documents in Tabs 1-15; 17-31, 33-34, and 37.  Navistar shall 
produce those documents; (2) we sustain in part the privilege and/or work product assertions as 
to the documents in Tabs 16, 35-36, and 38.  Navistar shall produce those documents but may 
redact from the produced documents the material identified on the record during the hearing; and 
(3) we sustain the privilege and/or work product assertions as to the documents in Tabs 32 and 
39.

Non-attorney documents.  (1) We overrule the privilege and/or work product assertions as to 
the documents in Tabs 44, 54-57, 61-62, and 64-65. Navistar shall produce those documents; 
(2) we sustain in part the privilege and/or work product assertions as to the documents in Tabs 
40-41, 45-46, 48-49, 52-53, 58, 60, 63 and 66.  Navistar shall produce those documents but may 
redact from the produced documents the material identified on the record during the hearing; and
(3) we sustain the privilege and/or work product assertions as to the documents in Tabs 42-43,
47, 50-51, and 59. 

Draft documents.  (1) We overrule the privilege and/or work product assertions as to the 
documents in Tabs 67, 70-72.  Navistar shall produce those documents; (2) and we sustain the 
privilege and/or work product assertion as to the documents in Tabs 68-69.

Navistar shall produce on a rolling basis (1) the documents, which based on the in camera
review, the Court has found not protected from production, and (2) the other documents Navistar 
has withheld from production that were not included in the in camera review, but that Navistar in 

Case: 1:14-cv-10163 Document #: 38 Filed: 06/30/15 Page 1 of 2 PageID #:646



good faith determines on further review are not protected by privilege or work product under the 
analysis employed in the Court's ruling today.  Navistar shall commence that production as soon 
as possible, and shall complete the production by no later than 7/24/15.  Prior to the production 
of any documents that were not included in the sample for which there was in camera review, the 
parties shall submit to the Court's proposed order box a proposed Rule 502(d) order.  On 
7/24/15, Navistar shall identify for the SEC any remaining documents on the privilege log that 
Navistar asserts remain protected from production.  The parties shall meet and confer as 
necessary to resolve any disputes about logged documents that continue to be withheld from 
production.  The matter is set for a status hearing with the magistrate judge on 8/13/15 at 9:00 
a.m.

(T: 02:00)

Date: June 30, 2015 /s/ _________________________________
SIDNEY I. SCHENKIER
UNITED STATES MAGISTRATE JUDGE

Case: 1:14-cv-10163 Document #: 38 Filed: 06/30/15 Page 2 of 2 PageID #:647

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