Defendant Name:
Douglas Smith
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer
First Document Date
31-May-2007
Initial Filing Format
Civil Proceeding
Case Number
07-cv-02822
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Northern District of California
Affiliations
- Former: Executive Vice President at Mercury Interactive, LLC (2000—November 2001)
- Former: CFO at Mercury Interactive, LLC (November 2001—November 2005)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 16(a) Exchange Act; Rule 16a-3 Exchange Act
Additionally,
Susan Skaer is alleged to have aided and abetted Douglas Smith's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Susan Skaer is alleged to have aided and abetted Douglas Smith's violation of Sec 14(a) of the Exchange Act.
Susan Skaer is alleged to have aided and abetted Douglas Smith's violation of Rule 14a-9 of the Exchange Act.
Susan Skaer is alleged to have aided and abetted Douglas Smith's violation of Section 16(a) Exchange Act; Rule 16a-3 Exchange Act.
Related Violations Alleged
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Rule 12b-20 of the Exchange Act.
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Sec 13(a) of the Exchange Act.
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Rule 13a-1 of the Exchange Act.
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Rule 13a-13 of the Exchange Act.
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Sec 13(b)(2)(A) of the Exchange Act.
Douglas Smith is alleged to have aided and abetted
Mercury Interactive, LLC's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
21-Feb-2013
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
