Defendant Name:
Andrew M. Miller
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Andrew M. Miller
First Document Date
31-Mar-2015
Initial Filing Format
Civil Proceeding
Case Number
15-cv-01461
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
California, Northern District of California
Affiliations
- Former: Director—No Specific Position Named in Document at Polycom, Inc. (June 2010—July 19, 2013)
- Former: CEO at Polycom, Inc. (May 2010—July 19, 2013)
- Former: President at Polycom, Inc. (May 2010—July 19, 2013)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Andrew M. Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Andrew M. Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Andrew M. Miller is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Andrew M. 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.
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Sec 14(a) of the Exchange Act (willfully/knowingly).
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Rule 14a-3 of the Exchange Act (willfully/knowingly).
Andrew M. Miller is alleged to have aided and abetted Polycom, Inc. 's violation of Rule 14a-9 of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
26-Jan-2016
Headline Total Penalty and Disgorgement
$450,000
