Defendant Name: George B. Doherty

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of George B. Doherty
First Document Date 13-May-2011
Initial Filing Format Administrative Action
File Number 3-14384
Allegation Type Issuer Reporting and Disclosure
AAER 3281

Affiliations

Violations Alleged

Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

George B. Doherty is alleged to have caused GSI Group, Inc.'s violation of Rule 12b-20 of the Exchange Act.
George B. Doherty is alleged to have caused GSI Group, Inc.'s violation of Sec 13(a) of the Exchange Act.
George B. Doherty is alleged to have caused GSI Group, Inc.'s violation of Rule 13a-11 of the Exchange Act.
George B. Doherty is alleged to have caused GSI Group, Inc.'s violation of Rule 13a-13 of the Exchange Act.
George B. Doherty is alleged to have caused GSI Group, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 13-May-2011
Headline Total Penalty and Disgorgement $31,176

Related Documents:

34-64496 13-May-2011 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty

Related Actions:

In the Matter of GSI Group, Inc.
GSI Group, Inc.
In the Matter of Peter DiSessa
Peter DiSessa