Defendant Name: Victor Alston

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ixia and Victor Alston
First Document Date 03-Feb-2017
Initial Filing Format Administrative Action
File Number 3-17825
Allegation Type Issuer Reporting and Disclosure
AAER 3858

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
• Sec 13(b)(5)
Securities Act
• Sec 17(a)(3)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Victor Alston is alleged to have caused Ixia's violation of Rule 12b-20 of the Exchange Act.
Victor Alston is alleged to have caused Ixia's violation of Sec 13(a) of the Exchange Act.
Victor Alston is alleged to have caused Ixia's violation of Rule 13a-1 of the Exchange Act.
Victor Alston is alleged to have caused Ixia's violation of Sec 13(b)(2)(A) of the Exchange Act.
Victor Alston is alleged to have caused Ixia's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

Bars:
First Resolution Date 03-Feb-2017
Headline Total Penalty and Disgorgement $850,000

Related Documents:

33-10302 03-Feb-2017 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Ixia

Related Actions:

SEC v. Thomas Miller and William Liang
Thomas Miller
William Liang