Defendant Name: Thomas Miller

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Thomas Miller and William Liang
First Document Date 03-Feb-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-00897
Allegation Type Issuer Reporting and Disclosure
Federal District Court California, Central District of California

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 13(b)(5)
Other
• Rules 13b2-1, 13b2-2 Exchange Act

Related Violations Alleged

Thomas Miller is alleged to have aided and abetted Ixia's violation of Sec 13(b)(2)(A) of the Exchange Act.
Thomas Miller is alleged to have aided and abetted Ixia's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 14-Feb-2019
Headline Total Penalty and Disgorgement $55,000

Related Documents:

comp23741 03-Feb-2017 Complaint
Complaint
court_doc197_17-cv-00897 14-Feb-2019 Court Docket Document
Final Judgment as to Defendant Thomas Miller

Other Defendants in Action:

William Liang

Related Actions:

In the Matter of Ixia and Victor Alston
Ixia
Victor Alston