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
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 an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
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 an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
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 an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
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 an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert D. Graham is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert D. Graham is alleged to have aided and abetted American International Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Robert D. Graham is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
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 Rule 13b2-1 Exchange Act.
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:
