Defendant Name:
David J. Lubben
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David J. Lubben
First Document Date
19-Feb-2009
Initial Filing Format
Administrative Action
File Number
3-13374
Allegation Type
Issuer Reporting and Disclosure
AAER
2939
Affiliations
- Former: General Counsel at UnitedHealth Group Incorporated (1996—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 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 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 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 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 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 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 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 an unidentified individual or entity's violation of Section 16(a) Exchange Act; Rule 16a-3 Exchange Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Attorney for 3 years
First Resolution Date
