Defendant Name: Nicholas A. R. Dunning

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning
First Document Date 22-Jul-2010
Initial Filing Format Civil Proceeding
Case Number 10-cv-01245
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

Affiliations

Violations Alleged

Exchange Act
Sec 13(b)(5)
Sec 20(e)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Rule 12b-20 of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Sec 13(a) of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Rule 13a-1 of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Rule 13a-13 of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Nicholas A. R. Dunning is alleged to have aided and abetted Dell Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Nicholas A. R. Dunning is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date 13-Oct-2010
Headline Total Penalty and Disgorgement $111,171,740

Related Documents:

comp21599 22-Jul-2010 Complaint
Complaint
court_doc15_10-cv-01245 13-Oct-2010 Court Docket Document
Final Judgment as to Defendant Nicholas A.R. Dunning

Other Defendants in Action:

Related Actions:

In the Matter of Nicholas A. R. Dunning, ACA
In the Matter of Randall D. Imhoff (CPA)
In the Matter of Robert W. Davis (CPA)
In the Matter of Leslie L. Jackson, CPA
In the Matter of James M. Schneider, CPA
SEC v. Robert W. Davis
SEC v. Randall D. Imhoff