Defendant Name:
David J. Lubben
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. David J. Lubben
First Document Date
22-Dec-2008
Initial Filing Format
Civil Proceeding
Case Number
08-cv-06454
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Minnesota, District of Minnesota
Affiliations
- Former: General Counsel at UnitedHealth Group Incorporated (October 1996—October 15, 2006)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 16(a) Exchange Act; Rules 13b2-1, 16a-3 Exchange Act
Related Violations Alleged
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Rule 12b-20 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Sec 13(a) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Rule 13a-1 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Rule 13a-11 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Rule 13a-13 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Sec 13(b)(2)(A) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Sec 13(b)(2)(B) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
David J. Lubben is alleged to have aided and abetted UnitedHealth Group Incorporated's violation of Section 16(a) Exchange Act; Rule 16a-3 Exchange Act.
David J. Lubben is alleged to have aided and abetted an unidentified individual or entity's violation of Section 16(a) Exchange Act; Rule 16a-3 Exchange Act .
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
23-Jan-2009
Headline Total Penalty and Disgorgement
$2,325,521
