Defendant Name:
Gabelli Funds LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
GAMCO Investors Inc.
SIC Code:
6211
CUSIP:
36143810
Initial Case Details
Legal Case Name
In the Matter of Gabelli Funds, LLC
First Document Date
12-Jan-2009
Initial Filing Format
Administrative Action
File Number
3-13332
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
Related Violations Alleged
Gabelli Funds LLC is alleged to have aided and abetted The Gabelli Convertible and Income Securities Fund Inc.'s violation of Section 19(a) Investment Company Act; Rule 19a-1 Investment Company Act (willfully/knowingly).
Gabelli Funds LLC is alleged to have aided and abetted The Gabelli Utility Trust's violation of Section 19(a) Investment Company Act; Rule 19a-1 Investment Company Act (willfully/knowingly).
Gabelli Funds LLC is alleged to have caused The Gabelli Convertible and Income Securities Fund Inc.'s violation of Section 19(a) Investment Company Act; Rule 19a-1 Investment Company Act.
Gabelli Funds LLC is alleged to have caused The Gabelli Utility Trust's violation of Section 19(a) Investment Company Act; Rule 19a-1 Investment Company Act.
Resolutions
First Resolution Date
12-Jan-2009