Defendant Name:
Henry T. Nicholas III
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull
First Document Date
14-May-2008
Initial Filing Format
Civil Proceeding
Case Number
08-cv-00539
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Central District of California
Affiliations
- Former: Director—Chairman at Broadcom Corp. (1991—May 2003)
- Former: Director—Special Committee at Broadcom Corp. (1991—May 2003)
- Former: Director—No Specific Position Named in Document at Broadcom Corp. (1991—May 2003)
- Former: CEO at Broadcom Corp. (1991—January 2003)
- Former: President at Broadcom Corp. (1991—January 2003)
- Current: Founder at Broadcom Corp. (From 1991)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Rule 12b-20 of the Exchange Act.
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Sec 13(a) of the Exchange Act.
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Rule 13a-1 of the Exchange Act.
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Rule 13a-13 of the Exchange Act.
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Henry T. Nicholas III is alleged to have aided and abetted Broadcom Corp.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
Other Defendants in Action:
