Defendant Name: Howard I. Smith

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Maurice R. Greenberg and Howard I. Smith
First Document Date 06-Aug-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-06939
Allegation Type Issuer Reporting and Disclosure
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 12b-20
Sec 13(a)
Rule 13a-1
Rule 13a-13
Rule 13a-14
Sec 13(b)(2)(A)
Sec 13(b)(2)(B)
Sec 13(b)(5)
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sec 17(a) (Not specified)
Other
Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Howard I. Smith is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 07-Aug-2009

Related Documents:

comp21170 06-Aug-2009 Complaint
Complaint
court_doc4_09-cv-06939 07-Aug-2009 Court Docket Document
Final Consent Judgment as to Defendant Howard I. Smith

Other Defendants in Action:

Related Actions:

SEC v. General Re Corporation
In the Matter of John Houldsworth, CA
In the Matter of Elizabeth Monrad, CPA
In the Matter of Robert D. Graham, Esq.
In the Matter of Howard I. Smith, CPA
SEC v. John Houldsworth and Richard Napier
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand
SEC v. American International Group, Inc.