Securities Enforcement Empirical Database (SEED)

Defendant Name: James P. Rigas

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey

First Document Date 24-Jul-2002

Initial Filing Format Civil Proceeding

Case Number 02-cv-05776

Allegation Type Issuer Reporting and Disclosure

Federal District Court New York, Southern District of New York

Affiliations

Former: Director—Other at Adelphia Communications Corp. (Until May 23, 2002)
Former: Executive Vice President at Adelphia Communications Corp. (Until May 23, 2002)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 17(a) (Not specified)

Related Violations Alleged

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Rule 12b-20 of the Exchange Act.

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Sec 13(a) of the Exchange Act.

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Rule 13a-1 of the Exchange Act.

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Rule 13a-13 of the Exchange Act.

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

James P. Rigas is alleged to have controlled Adelphia Communications Corp.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date

Other Defendants in Action:

Adelphia Communications Corp.

John J. Rigas

Timothy J. Rigas

Michael J. Rigas

James R. Brown

Michael C. Mulcahey

Related Actions:

In the Matter of Gregory M. Dearlove, CPA

Gregory M. Dearlove