Defendant Name: David Miller

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of David Miller
First Document Date 25-Apr-2013
Initial Filing Format Administrative Action
File Number 3-15303
Allegation Type Broker Dealer


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)


First Resolution Date

Related Documents:

34-69460 25-Apr-2013 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Morgan Stanley & Co. LLC
SEC v. David Miller