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
- Former: Director—No Specific Position Named in Document at Nortel Networks Corporation (May 2000—May 21, 2004)
- Former: CEO at Nortel Networks Corporation (November 1, 2001—April 28, 2004)
- Former: President at Nortel Networks Corporation (November 1, 2001—April 28, 2004)
- Former: CFO at Nortel Networks Corporation (March 2000—October 31, 2001)
- Former: Acting CFO at Nortel Networks Corporation (February 2002—July 2002)
Violations Alleged
•
Sec 17(a) (Not specified)
•
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
Other Defendants in Action:
