Defendant Name:
James Balsillie
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis
First Document Date
17-Feb-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-00301
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
District of Columbia, District of Columbia
Affiliations
- Former: Director—Chairman at Research in Motion Limited (Until March 2007)
- Former: Director—Compensation Committee at Research in Motion Limited (1993—2000)
- Current: Director—Other at Research in Motion Limited (From 1993)
- Current: CEO at Research in Motion Limited (From 1993)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
James Balsillie is alleged to have aided and abetted
Research in Motion Limited's violation of Sec 13(b)(2)(A) of the Exchange Act.
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
James Balsillie is alleged to have aided and abetted
Research in Motion Limited's violation of Sec 13(b)(2)(B) of the Exchange Act.
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
James Balsillie is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-16 Exchange Act.
Resolutions
First Resolution Date
25-Mar-2009
Headline Total Penalty and Disgorgement
$706,661
Other Defendants in Action:
