Defendant Name:
Charles J. Marquardt
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Charles J. Marquardt
First Document Date
17-Mar-2010
Initial Filing Format
Administrative Action
File Number
3-13819
Allegation Type
Insider Trading
Affiliations
- Senior Vice President at Evergreen Investment Management Company, LLC
- Former: Broker/Registered Representative at Evergreen Investment Management Company, LLC (April 1998—April 2009)
- Chief Administrative Officer for Operations at Evergreen Investment Management Company, LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
First Resolution Date
