Defendant Name:
James B. Kinney
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: Vice President at Nortel Networks Corporation (August 2002—April 2004)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
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).
James B. Kinney is alleged to have aided and abetted
Douglas C. Beatty'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
Michael J. Gollogly'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 Nortel Networks Corporation's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
James B. Kinney is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
James B. Kinney is alleged to have aided and abetted Nortel Networks Corporation's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
James B. Kinney is alleged to have aided and abetted Nortel Networks Corporation's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
James B. Kinney is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
James B. Kinney is alleged to have aided and abetted Nortel Networks Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
James B. Kinney is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
02-May-2008
Headline Total Penalty and Disgorgement
$143,481
Other Defendants in Action:
