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


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 .


First Resolution Date 27-Aug-2018
Headline Total Penalty and Disgorgement

See Related Documents

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 AEGON USA Investment Management, LLC, et al.
In the Matter of Bradley J. Beman