Securities Enforcement Empirical Database (SEED)

Defendant Name: Frances M. Jewels

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Sycamore Networks, Inc., Frances M. Jewels, Cheryl E. Kalinen, and Robin A. Friedman

First Document Date 09-Jul-2008

Initial Filing Format Civil Proceeding

Case Number 08-cv-11166

Allegation Type Issuer Reporting and Disclosure

Federal District Court Massachusetts, District of Massachusetts

Affiliations

Former: Vice President at Sycamore Networks, Inc. (1999—October 2004)
Former: CFO at Sycamore Networks, Inc. (1999—October 2004)
Former: Treasurer at Sycamore Networks, Inc. (1999—October 2004)
Former: Secretary at Sycamore Networks, Inc. (1999—October 2004)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

• Sec 14(a)

• Rule 14a-9

Securities Act

• Sec 17(a) (Not specified)

Other

• Section 16(a) Exchange Act; Rules 13b2-1, 13b2-2, 16a-3 Exchange Act

Related Violations Alleged

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Rule 12b-20 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Sec 13(a) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Rule 13a-1 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Rule 13a-11 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Rule 13a-13 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Sec 14(a) of the Exchange Act.

Frances M. Jewels is alleged to have aided and abetted Sycamore Networks, Inc.'s violation of Rule 14a-9 of the Exchange Act.

Resolutions

Bars:

Bar from acting as Director or Officer of a public company for 5 years

First Resolution Date 10-Jul-2008

Headline Total Penalty and Disgorgement

See Related Documents

Other Defendants in Action:

Sycamore Networks, Inc.

Cheryl E. Kalinen

Robin A. Friedman