Defendant Name: David M. Hall

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA
First Document Date 06-Aug-2015
Initial Filing Format Administrative Action
File Number 3-16729
Allegation Type Issuer Reporting and Disclosure
AAER 3673

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(b)(5)
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)
Other
• Section 13(b)(2) Exchange Act

Related Violations Alleged

David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Rule 12b-20 of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Sec 13(a) of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Rule 13a-1 of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Rule 13a-11 of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Rule 13a-13 of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
David M. Hall is alleged to have caused Miller Energy Resources, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.

Resolutions

Bars:
First Resolution Date 07-Jun-2016
Headline Total Penalty and Disgorgement $5,419,800

Related Documents:

33-9881 06-Aug-2015 Administrative Proceeding
Order Instituting Public Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice
AP-3491 11-Jan-2016 ALJ Order
Order Staying Proceeding as to David M. Hall and Canceling Hearing
33-10090 07-Jun-2016 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 as to David M. Hall

Other Defendants in Action:

Miller Energy Resources, Inc.
Carlton W. Vogt, III
Paul W. Boyd

Related Actions:

In the Matter of KPMG LLP and John Riordan, CPA
KPMG LLP
John Riordan, CPA