Defendant Name: Rio Tinto Limited

Defendant Type: Other

Initial Case Details

Legal Case Name SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott
First Document Date 17-Oct-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-07994
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Securities Act
• Sec 17(a) (Not specified)
Other
• Rule 13a-16 Exchange Act

Resolutions

First Resolution Date 20-Nov-2023

Related Documents:

comp-pr2017-196 17-Oct-2017 Complaint
Complaint: Jury Trial Demanded
LR-24085 27-Mar-2018 Litigation Release
Rio Tinto, Former Top Executives Charged with Fraud
court_doc299_17-cv-07994 20-Nov-2023 Court Docket Document
Final Judgment as to Defendants Rio Tinto PLC and Rio Tinto Limited

Other Defendants in Action:

Rio Tinto PLC
Guy Robert Elliott
Thomas Albanese