2026-03-09 sec-litreleases judgment 324 KB 7,171 chars

SEC v. RANDALL J. MILLER; CHAD J. MILLER; and JEFFREY DE LA VEA GA, No. 1:26-cv-01738, Southern District of New York (Mar. 9, 2026) — Judgment

raw: Judgment As To Defendant Randall J Miller

Judgment As To Defendant Randall J Miller, No. 1:26-cv-01738 (Mar. 9, 2026)

Caption: Securities and Exchange Commission v. Puzzullo

Enriched metadata

Scheme: investment-adviser-fraud (90%)
Court: Southern District of New York
Case No.: 1:26-cv-01738

Classified investment-adviser-fraud(confidence 90%). EDGAR detection: forms ADV/ADV-E/ADV-W/Form D· recall 33% / precision 13%. detection rule →

Extracted insights

Entities 3

person defendant randy j. miller
person randy j. miller
agency Securities and Exchange Commission

Triples 8

Securities and Exchange Commission filed a Complaint
Randy J. Miller entered a general appearance
Court ordered Defendant Randy J. Miller to be permanently restrained and enjoined from violating Section 10(b) of the Exchange Act
Defendant Randy J. Miller is restrained from employing any device, scheme, or artifice to defraud
Defendant Randy J. Miller is restrained from making any untrue statement of a material fact
Defendant Randy J. Miller is restrained from engaging in any act, practice, or course of business that operates as a fraud or deceit
Federal Rule of Civil Procedure 65(d)(2) binds Defendant’s officers, agents, servants, employees, and attorneys
Defendant Randy J. Miller is restrained from violating Section 17(a) of the Securities Act

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Judgment As To Defendant Randall J Miller · Source

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Extracted body text (7,171c)

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK

SECURITIES AND EXCHANGE
COMMISSION,

v.

Plaintiff,

RANDALL J. MILLER, CHAD J. MILLER,
and JEFFREY DE LA VEA GA,

Defendants.

Case No. 1:25-cv-02702-JGK

JUDGMENT AS TO DEFENDANT RANDY J. MILLER

The Securities and Exchange Commission having filed a Complaint and Defendant

Randy J. Miller having entered a general appearance; consented to the Court's jurisdiction over

Defendant and the subject matter of this action; consented to entry of this Judgment; waived

findings of fact and conclusions of law; and waived any right to appeal from this Judgment:

I.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is

permanently restrained and enjoined from violating, directly or indirectly, Section lO(b) of the

Securities Exchange Act of 1934 (the "Exchange Act") (15 U.S.C. § 78j(b)] and Rule l0b-5

promulgated thereunder (17 C.F.R. § 240.l0b-5], by using any means or instrumentality of

interstate commerce, or of the mails, or of any facility of any national securities exchange, in

connection with the purchase or sale of any security:

(a) to employ any device, scheme, or artifice to defraud;

(b) to make any untrue statement of a material fact or to omit to state a material fact

necessary in order to make the statements made, in the light of the circumstances

under which they were made, not misleading; or

( c) to engage in any act, practice, or course of business which operates or would

operate as a fraud or deceit upon any person;

by, directly or indirectly making any false or misleading statement, or disseminating any false or

misleading documents, materials, or information, about any investment in or offering of

securities, the prospects for success of any product or company, the use of investor funds, or the

misappropriation of investor funds or investment proceeds.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in

Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who

receive actual notice of this Judgment by personal service or otherwise: (a) Defendant's officers,

agents, servants, employees, and attorneys; and (b) other persons in active concert or

participation with Defendant or with anyone described in (a).

II.

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant

is permanently restrained and enjoined from violating Section l 7(a) of the Securities Act of 1933

(the "Securities Act") [ 15 U.S.C. § 77q(a)] in the offer or sale of any security by the use of any

means or instruments of transportation or communication in interstate commerce or by use of the

mails, directly or indirectly:

(a) to employ any device, scheme, or artifice to defraud;

(b) to obtain money or property by means of any untrue statement of a material fact

or any omission of a material fact necessary in order to make the statements

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made, in light of the circumstances under which they were made, not misleading;

or

( c) to engage in any transaction, practice, or course of business which operates or

would operate as a fraud or deceit upon the purchaser;

by, directly or indirectly making any false or misleading statement, or disseminating any false or

misleading documents, materials, or information, about any investment in or offering of

securities, the prospects for success of any product or company, the use of investor funds , or the

misappropriation of investor funds or investment proceeds.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in

Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who

receive actual notice of this Judgment by personal service or otherwise: (a) Defendant' s officers,

agents, servants, employees, and attorneys; and (b) other persons in active concert or

participation with Defendant or with anyone described in (a) .

III.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that pursuant to Section

20(b) of the Securities Act [15 U.S.C. § 77t(b)] and Sections 21(d)(l) and 21(d)(5) of the

Exchange Act [15 U.S.C. §§ 78u(d)(l), (d)(5)], Defendant is permanently restrained and

enjoined from directly or indirectly, including, but not limited to, through any entity owned or

controlled by Defendant, participating in the issuance, purchase, offer, or sale of any security;

provided, however, that such injunction shall not prevent Defendant from purchasing or selling

securities for his own personal accounts.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in

Federal Rule of Civil Procedure 65( d)(2), the foregoing paragraph also binds the following who

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receive actual notice of this Judgment by personal service or otherwise: (a) Defendant's officers,

agents, servants, employees, and attorneys; and (b) other persons in active concert or

participation with Defendant or with anyone described in (a).

IV.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that upon motion of the

Commission, the Court shall determine whether it is appropriate to order disgorgement of ill

gotten gains and/or a civil penalty pursuant to Section 20(d) of the Securities Act [15 U.S.C. §

77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. § 78u(d)(3)], and, if so, the

amount(s) of the disgorgement and/or civil penalty. If disgorgement is ordered, Defendant shall

pay prejudgment interest thereon, calculated from August 1, 2020, based on the rate of interest

used by the Internal Revenue Service for the underpayment of federal income tax as set forth in

26 U.S.C. § 6621(a)(2). In connection with the Commission's motion for disgorgement and/or

civil penalties, and at any hearing held on such a motion: (a) Defendant will be precluded from

arguing that he did not violate the federal securities laws as alleged in the Complaint; (b)

Defendant may not challenge the validity of the Consent or this Judgment; (c) solely for the

purposes of such motion, the allegations of the Complaint shall be accepted as and deemed true

by the Court; and ( d) the Court may determine the issues raised in the motion on the basis of

affidavits, declarations, excerpts of sworn deposition or investigative testimony, and

documentary evidence, without regard to the standards for summary judgment contained in Rule

56(c) of the Federal Rules of Civil Procedure. In connection with the Commission's motion for

disgorgement and/or civil penalties, the parties may take discovery, including discovery from

appropriate non-parties.

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V.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is

incorporated herein with the same force and effect as if fully set forth herein, and that Defendant

shall comply with all of the undertakings and agreements set forth therein.

VI.

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 Judgment.

VII.

There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil

Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice.

ES DISTRICT JUDGE

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