Defendant Name: Kevin A. Giles

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Kevin A. Giles
First Document Date 27-Aug-2018
Initial Filing Format Administrative Action
File Number 3-18683
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Related Violations Alleged

Kevin A. Giles is alleged to have caused AEGON USA Investment Management, LLC's violation of Section 206(4) Investment Advisers Act; Rule 206(4)-7 Investment Advisers Act .

Resolutions

First Resolution Date 27-Aug-2018
Headline Total Penalty and Disgorgement $25,000

Related Documents:

IA-4998 27-Aug-2018 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Related Actions:

In the Matter of F-Squared Investments, Inc.
F-Squared Investments, Inc.
In the Matter of AEGON USA Investment Management, LLC, et al.
AEGON USA Investment Management, LLC
Transamerica Asset Management, Inc.
Transamerica Capital Inc.
Transamerica Financial Advisors, Inc.
In the Matter of Bradley J. Beman
Bradley J. Beman