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
- Former: Vice President at Dell Inc. (August 2004—February 9, 2007)
- Former: Manager at Dell Inc. (August 2004—February 9, 2007)
Violations Alleged
•
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
Other Defendants in Action:
