Defendant Name: James B. Kinney

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of James B. Kinney, CMA
First Document Date 31-Jul-2008
Initial Filing Format Administrative Action
File Number 3-13111
Allegation Type Issuer Reporting and Disclosure
AAER 2855

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 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 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 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 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 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 an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date

Related Documents:

34-58273 31-Jul-2008 Administrative Proceeding
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions

Related Actions:

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
SEC v. Nortel Networks Corporation and Nortel Networks Limited