Defendant Name:
Kathleen Halloran
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
- Former: Executive Vice President at Nicor, Inc. (May 1999—November 2003)
- Former: Executive Vice President at Nicor Gas (May 1999—November 2003)
- Former: CFO at Nicor, Inc. (May 1999—November 2003)
- Former: CFO at Nicor Gas (May 1999—November 2003)
- Former: Chief Risk Officer at Nicor, Inc. (November 2003—August 2004)
Related Violations Alleged
Kathleen Halloran is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Kathleen Halloran is alleged to have aided and abetted Nicor, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Kathleen Halloran is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Kathleen Halloran 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
Headline Total Penalty and Disgorgement
$1,268,782
Other Defendants in Action:
