Defendant Name:
BMO Harris Financial Advisors, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Bank of Montreal
SIC Code:
6021
CUSIP:
06367110
Initial Case Details
Legal Case Name
In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
First Document Date
27-Sep-2019
Initial Filing Format
Administrative Action
File Number
3-19545
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4) Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
27-Sep-2019
Headline Total Penalty and Disgorgement
$37,983,542
Other Defendants in Action: