Defendant Name: Tuan Ha-Ngoc

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
First Document Date 29-Mar-2016
Initial Filing Format Civil Proceeding
Case Number 16-cv-10607
Allegation Type Issuer Reporting and Disclosure
Federal District Court Massachusetts, District of Massachusetts

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 13a-14
Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
• Sec 17(a) (Not specified)

Resolutions

First Resolution Date 08-Dec-2017
Headline Total Penalty and Disgorgement $4,258,513

Related Documents:

comp-pr2016-59 29-Mar-2016 Complaint
Complaint: Jury Trial Demanded
2016-59 29-Mar-2016 Press Release--Civil Action
SEC: Biotech Company Misled Investors About New Drug's Status With FDA
LR-23503 29-Mar-2016 Litigation Release
Litigation Release No. 23503 / March 29, 2016
court_doc80_16-cv-10607 08-Dec-2017 Court Docket Document
Final Judgment as to Defendant Tuan Ha-Ngoc
LR-24062 05-Mar-2018 Litigation Release
SEC Obtains Final Judgments Against Former AVEO Pharmaceuticals Executives

Other Defendants in Action:

AVEO Pharmaceuticals, Inc.
William Slichenmyer
David Johnston