Defendant Name: Thomas C. Nord

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Thomas C. Nord
First Document Date 10-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16090
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Other
• Section 16(a) Exchange Act; Rule 16a-3 Exchange Act

Resolutions

First Resolution Date 10-Sep-2014
Headline Total Penalty and Disgorgement $78,750

Related Documents:

34-73061 10-Sep-2014 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

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