Defendant Name:
Thomas Albanese
Defendant Type:
Individual
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
Affiliations
- Former: CEO at Rio Tinto PLC (May 2007—January 2013)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-2 Exchange Act
Related Violations Alleged
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Thomas Albanese is alleged to have aided and abetted
Rio Tinto PLC's violation of Rule 13a-16 Exchange Act (willfully/knowingly).
Resolutions
First Resolution Date
20-Nov-2023
Headline Total Penalty and Disgorgement
$50,000
Other Defendants in Action:
