Defendant Name:
Thomas A. Lund
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: Executive Vice President at Federal National Mortgage Association (July 2005—June 2009)
Violations Alleged
Related Violations Alleged
Thomas A. Lund is alleged to have aided and abetted Federal National Mortgage Association's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Thomas A. Lund is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Thomas A. Lund is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 12b-20 of the Exchange Act.
Thomas A. Lund is alleged to have aided and abetted Federal National Mortgage Association's violation of Sec 13(a) of the Exchange Act.
Thomas A. Lund is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Thomas A. Lund is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 13a-1 of the Exchange Act.
Thomas A. Lund is alleged to have aided and abetted Federal National Mortgage Association's violation of Rule 13a-13 of the Exchange Act.
Resolutions
Bars:
- Refrain from signing any report required to be filed with the SEC under Exchange Act Sections 13(a) or 15(d) or any certification required pursuant to Sections 302 and 906 of the Sarbanes-Oxley Act of 2002
First Resolution Date
21-Sep-2015
Headline Total Penalty and Disgorgement
$10,000
Other Defendants in Action:
