Defendant Name:
Jeffrey W. Tomz
Defendant Type:
Individual
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
Affiliations
- Former: Vice President at Uni-Pixel, Inc.
- Former: CFO at Uni-Pixel, Inc.
- Former: Corporate Secretary at Uni-Pixel, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
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.
Jeffrey W. Tomz 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 an unidentified individual or entity'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 Sec 13(a) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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 Rule 13a-1 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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-11 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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-13 of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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 Sec 13(b)(2)(A) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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)(B) of the Exchange Act.
Jeffrey W. Tomz is alleged to have aided and abetted an unidentified individual or entity'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 17(a) (Not specified) of the Securities Act.
Resolutions
Bars:
- Bar on practicing before the SEC as an Accountant for 4 years
- Bar on participating in the financial reporting or audits of public companies for 4 years
First Resolution Date
13-Oct-2017
Headline Total Penalty and Disgorgement
$900,000
Other Defendants in Action:
