Defendant Name:
James E. Flaherty
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Zomax, Inc., James T. Anderson, Michelle Bedard-Anderson, Neil L. Dolinsky, The Jim and Mikki Anderson Charitable Remainder Annuity Trust, James E. Flaherty, and Anthony Angelini
First Document Date
09-Jun-2005
Initial Filing Format
Civil Proceeding
Case Number
05-cv-01128
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Minnesota, District of Minnesota
Affiliations
- Former: CFO at Zomax, Inc. (January 1997—October 2001)
Related Violations Alleged
James E. Flaherty is alleged to have aided and abetted
Zomax, Inc.'s violation of Rule 12b-20 of the Exchange Act.
James E. Flaherty is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
James E. Flaherty is alleged to have aided and abetted
Zomax, Inc.'s violation of Sec 13(a) of the Exchange Act.
James E. Flaherty is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
James E. Flaherty is alleged to have aided and abetted
Zomax, Inc.'s violation of Rule 13a-13 of the Exchange Act.
James E. Flaherty is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Resolutions
First Resolution Date
26-Jul-2005
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
