Defendant Name:
Institutional Investor Advisers, Inc.
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of Institutional Investor Advisers, Inc.
First Document Date
08-Dec-2017
Initial Filing Format
Administrative Action
File Number
3-18303
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Section 5(b)(1) Securities Act; Section 206(4) Investment Advisers Act; Rules 206(4)-8, 206(4)-7 Investment Advisers Act
•
Sections 15(a), 15(c) Investment Company Act; Rule 38a-1 Investment Company Act
Resolutions
First Resolution Date
Headline Total Penalty and Disgorgement
See Related Documents