Defendant Name:
Uni-Pixel, Inc.
Defendant Type:
Public Company
SIC Code:
9999
CUSIP:
90457220
Initial Case Details
Legal Case Name
SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc.
First Document Date
09-Mar-2016
Initial Filing Format
Civil Proceeding
Case Number
16-cv-00621
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Texas, Southern District of Texas
Violations Alleged
•
Sec 17(a) (Not specified)
Additionally,
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(a) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(a) of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-1 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-1 of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-11 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-11 of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Reed J. Killion is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 17(a) (Not specified) of the Securities Act.
Jeffrey W. Tomz is alleged to have aided and abetted Uni-Pixel, Inc. 's violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
First Resolution Date
09-Mar-2016
Headline Total Penalty and Disgorgement
$900,000
Related Documents:
Complaint
In the Complaint, the SEC alleged that: "Between December 7, 2012 and February 26, 2014 ('Relevant Period'), Uni-Pixel and its CEO, Reed J. Killion, and CFO, Jeffrey W. Tomz, made materially misleading statements and omissions about the Company's touch screen manufacturing technologies, including that it had shipped 50 UniBoss products from its high-volume roll-to-roll manufacturing process when, in fact, it had not."
2016-45
09-Mar-2016
Press Release--Civil Action
SEC: Tech Company Misled Investors About Key Product
On March 9, 2016, the SEC announced that "a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product."
SEC: Tech Company Misled Investors About Key Product
On March 10, 2016, the SEC announced that "a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors about the production status and sales agreements for a key product."
Final Judgment as to Defendant Uni-Pixel, Inc.
On March 16, 2016, Federal District Judge Ewing Werlein, Jr. entered final judgment against Uni-Pixel, Inc. pursuant to the consent of Uni-Pixel, Inc.
Other Defendants in Action:
