Defendant Name:
Thomas Fisher
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: Director—Chairman at Nicor, Inc.
- Former: Director—Chairman at Nicor Gas
- Former: CEO at Nicor, Inc.
- Former: CEO at Nicor Gas
- Former: President at Nicor, Inc.
- Former: President at Nicor Gas
- Former: CFO at Nicor, Inc.
- Former: CFO at Nicor Gas
- Former: Vice President of Operations at Nicor, Inc.
Related Violations Alleged
Thomas Fisher is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Thomas Fisher is alleged to have aided and abetted Nicor, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Thomas Fisher is alleged to have aided and abetted Nicor, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Thomas Fisher 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
03-Aug-2010
Headline Total Penalty and Disgorgement
$1,268,782
Other Defendants in Action:
