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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
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:
First Resolution Date 02-May-2008

Related Documents:

comp20275 12-Sep-2007 Complaint
Amended Complaint
court_doc54_07-cv-02058 02-May-2008 Court Docket Document
Final Judgement as to Defendant James B. Kinney

Other Defendants in Action:

Related Actions:

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