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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 12b-20
Sec 13(a)
Rule 13a-1
Rule 13a-13
Sec 13(b)(5)
Other
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:
First Resolution Date 25-Sep-2009

Related Documents:

comp19552 02-Feb-2006 Complaint
Complaint
court_doc27_06-cv-00778 25-Sep-2009 Court Docket Document
Final Judgment as to Defendant Robert D. Graham

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. Maurice R. Greenberg and Howard I. Smith
SEC v. American International Group, Inc.