Securities and Exchange Commission v. Thomas Miller et al
| Securities and Exchange Commission |
| William Liang and Thomas Miller |
| 2:2017cv00897 |
| February 3, 2017 |
| US District Court for the Central District of California |
| Consuelo B. Marshall |
| Rozella A. Oliver |
| Securities/Commodities |
Follow case documents by RSS
Available Case Documents
The following documents for this case are available for you to view or download:
| Document Text |
|---|
Filing
206
FINAL JUDGMENT AS TO DEFENDANT WILLIAM LIANG by Judge Consuelo B. Marshall. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 13(b)(5) of the Exchange Act, 15 U.S.C. Section 78m(b )(5) and Exchange Act Rule 13b2-1 thereunder, 17 C.F.R. Section 240.13b2-1. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $35,000 to the Securities and Exchange Commission pursuant to Sect ion 21(d)(3) of the Exchange Act, 15 U.S.C. Section 78u(d). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. See order for details. (MD JS-6, Case Terminated). (shb)
|
|
Filing
197
FINAL JUDGMENT AS TO DEFENDANT THOMAS MILLER ONLY 192 by Judge Consuelo B. Marshall. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Rule 13a-14 of the Securities Exchange Act of 1934 by certifying a periodic report containing false statements filed by an issuer in accordance with Exchange Act Section 13(a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $55,000 to the Securities and Exchange Commission pursuant to Section 21(d)(3) of the Exchange Act, 15 U.S.C. Section 78u(d). Defendant shall make this payment within 14 days after entry of this Final Judgment. Defendant shall pay post-judgment interest on any delinquent amounts. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. See order for further details. (shb)
|
|
Filing
55
STIPULATED PROTECTIVE ORDER by Magistrate Judge Rozella A. Oliver re Stipulation for Protective Order 53 . (see order for details) (hr)
|
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the California Central District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
