Defendant Name: George Behrens

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens
First Document Date 09-Aug-2007
Initial Filing Format Civil Proceeding
Case Number 07-cv-04483
Allegation Type Issuer Reporting and Disclosure
Federal District Court Illinois, Northern District of Illinois

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)

Related Violations Alleged

George Behrens is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
George Behrens is alleged to have aided and abetted Nicor, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
George Behrens is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
George Behrens is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date

Related Documents:

comp20233 09-Aug-2007 Complaint
Complaint
court_doc217_07-cv-04483 29-May-2013 Court Docket Document
Final Judgment as to Defendant George Behrens

Other Defendants in Action:

Related Actions:

SEC v. Nicor Inc. and Jeffrey L. Metz