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
- Former: Director—Director at GT Advanced Technologies Inc. (2009—2015)
- Former: CEO at GT Advanced Technologies Inc. (2009—2015)
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