Defendant Name: Sandra Miller

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller
First Document Date 02-Jun-2010
Initial Filing Format Civil Proceeding
Case Number 10-cv-01235
Allegation Type Issuer Reporting and Disclosure
Federal District Court Ohio, Northern District of Ohio

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Rule 12b-20
Sec 13(a)
Rule 13a-1
Rule 13a-11
Rule 13a-13
Sec 13(b)(2)(A)
Sec 13(b)(2)(B)
Sec 13(b)(5)
Securities Act
Sec 17(a) (Not specified)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Sandra Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 26-May-2015

Related Documents:

comp21543-geswein 02-Jun-2010 Complaint
Complaint Demand for Jury Trial
court_doc138_10-cv-01235 26-May-2015 Court Docket Document
Consent Decree as to Defendant Sandra Miller

Other Defendants in Action:

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In the Matter of Michael McKenna, CPA
In the Matter of Charles Loveless, CPA
SEC v. Walden W. O'Dell