Defendant Name: David Miller

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. David Miller
First Document Date 15-Apr-2013
Initial Filing Format Civil Proceeding
Case Number 13-cv-00522
Allegation Type Broker Dealer
Federal District Court Connecticut, District of Connecticut

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)

Resolutions

First Resolution Date 19-Apr-2013

Related Documents:

comp-pr2013-60 15-Apr-2013 Complaint
Complaint
court_doc11_13-cv-00522 19-Apr-2013 Court Docket Document
Judgment as to Defendant David Miller
court_doc12_13-cv-00522 08-Jan-2014 Court Docket Document
Plaintiff's Notice of Voluntary Dismissal with Prejudice of the Claim for Civil Penalties Against Defendant David Miller

Related Actions:

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