Securities Enforcement Empirical Database (SEED)

Defendant Name: Nancy Richardson

Defendant Type: Individual

Legal Case Name SEC v. Microtune, Inc., Douglas J. Bartek and Nancy A. Richardson

First Document Date 30-Jun-2008

Initial Filing Format Civil Proceeding

Case Number 08-cv-01105

Allegation Type Issuer Reporting and Disclosure

Federal District Court Texas, Northern District of Texas

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

• Sec 14(a)

• Rule 14a-3

• Rule 14a-9

Securities Act

• Sec 17(a)(1)

• Sec 17(a)(2)

• Sec 17(a)(3)

Other

• Rules 13b2-1, 13b2-2 Exchange Act

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Rule 12b-20 of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Sec 13(a) of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Rule 13a-1 of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Rule 13a-13 of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Sec 14(a) of the Exchange Act.

Nancy Richardson is alleged to have aided and abetted Microtune, Inc.'s violation of Rule 14a-9 of the Exchange Act.

First Resolution Date

Microtune, Inc.

Douglas Bartek