Defendant Name: Frank A. Dunn

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor
First Document Date 12-Mar-2007
Initial Filing Format Civil Proceeding
Case Number 07-cv-02058
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 13a-14
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
Rules 13b2-1, 13b2-2 Exchange Act
Additionally, Douglas A. Hamilton is alleged to have aided and abetted Frank A. Dunn's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Craig A. Johnson is alleged to have aided and abetted Frank A. Dunn's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted Frank A. Dunn's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Kenneth R.W. Taylor is alleged to have aided and abetted Frank A. Dunn's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).

Related Violations Alleged

Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Frank A. Dunn is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date

Related Documents:

comp20036 12-Mar-2007 Complaint
Complaint
comp20275 12-Sep-2007 Complaint
Amended Complaint
court_doc156_07-cv-02058 19-Dec-2014 Court Docket Document
Stipulation of Dismissal with Prejudice against Defendant Frank A. Dunn

Other Defendants in Action:

Related Actions:

SEC v. Nortel Networks Corporation and Nortel Networks Limited
In the Matter of James B. Kinney, CMA