Defendant Name: Thomas Gutierrez 

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Thomas Gutierrez
First Document Date 03-May-2019
Initial Filing Format Administrative Action
File Number 3-19157
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Related Violations Alleged

Thomas Gutierrez  is alleged to have caused GT Advanced Technologies Inc. 's violation of Rule 12b-20 of the Exchange Act.
Thomas Gutierrez  is alleged to have caused GT Advanced Technologies Inc. 's violation of Sec 13(a) of the Exchange Act.
Thomas Gutierrez  is alleged to have caused GT Advanced Technologies Inc. 's violation of Rule 13a-13 of the Exchange Act.
Thomas Gutierrez  is alleged to have caused GT Advanced Technologies Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.

Resolutions

First Resolution Date 03-May-2019
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-10637 03-May-2019 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Related Actions:

In the Matter of GT Advanced Technologies Inc.
GT Advanced Technologies Inc.