Defendant Name:
Daniel H. Mudd
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund
First Document Date
16-Dec-2011
Initial Filing Format
Civil Proceeding
Case Number
11-cv-09202
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Affiliations
- Former: CEO at Federal National Mortgage Association (June 2005—September 2008)
- Former: COO at Federal National Mortgage Association (February 2000—November 2004)
- Former: Interim CEO at Federal National Mortgage Association (December 2004—June 2005)
Related Violations Alleged
Daniel H. Mudd is alleged to have aided and abetted Federal National Mortgage Association's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Daniel H. Mudd is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 12b-20 of the Exchange Act.
Daniel H. Mudd is alleged to have aided and abetted Federal National Mortgage Association's violation of Sec 13(a) of the Exchange Act.
Daniel H. Mudd is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 13a-1 of the Exchange Act.
Daniel H. Mudd is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 13a-13 of the Exchange Act.
Resolutions
First Resolution Date
22-Aug-2016
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
