Defendant Name: Navellier & Associates, Inc.

Defendant Type: Other

Initial Case Details

Legal Case Name SEC v. Navellier & Associates, Inc., and Louis Navellier
First Document Date 31-Aug-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-11633
Allegation Type Investment Advisers/Investment Companies
Federal District Court Massachusetts, District of Massachusetts

Violations Alleged

Other
• Sections 206(1), 206(2), 206(4) Investment Advisers Act; Rule 206(4)-1(a)(5) Investment Advisers Act
Additionally, Louis Navellier is alleged to have aided and abetted Navellier & Associates, Inc.'s violation of Section 206(1), 206(2) Investment Advisers Act.

Resolutions

First Resolution Date 02-Jun-2020
Headline Total Penalty and Disgorgement $2,000,000

Related Documents:

LR-23925 31-Aug-2017 Litigation Release
Advisory Firm and Founder Charged for False Performance Claims in Advertising Materials
comp23925 31-Aug-2017 Complaint
Complaint
court_doc295_17-cv-11633 02-Jun-2020 Court Docket Document
Final Judgment
court_doc297_17-cv-11633 04-Jun-2020 Court Docket Document
Notice of Appeal
court_doc361_17-cv-11633 21-Sep-2021 Court Docket Document
Amended Final Judgment

Other Defendants in Action:

Louis Navellier

Related Actions:

In the Matter of F-Squared Investments, Inc.
F-Squared Investments, Inc.
In the Matter of Louis Navellier and Navellier & Associates, Inc.
Louis Navellier
Navellier & Associates, Inc.