Defendant Name:
Robert D. Graham
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand
First Document Date
02-Feb-2006
Initial Filing Format
Civil Proceeding
Case Number
06-cv-00778
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Senior Vice President at General Re Corporation (1986—October 2005)
- Former: Assistant General Counsel at General Re Corporation (1986—October 2005)
Violations Alleged
•
Rule 13b2-1 Exchange Act
•
Section 13(b)(2) Exchange Act
Related Violations Alleged
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(b)(5) of the Exchange Act (willfully/knowingly).
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Section 13(b)(2) Exchange Act; Rule 13b2-1 Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
First Resolution Date
25-Sep-2009
Other Defendants in Action:
