Defendant Name:
Thomas Gutierrez
Defendant Type:
Individual
Document Reference:
33-10637
Document Details
Legal Case Name
In the Matter of Thomas Gutierrez
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
03-May-2019
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Disgorgement
Individual:
$15,510.00
Shared:
Civil Penalty
Individual:
$125,000.00
Shared:
Pre-Judgment Interest
Individual:
$2,993.91
Shared:
