Defendant Name: Bartholomew A. Battista

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista
First Document Date 20-Apr-2015
Initial Filing Format Administrative Action
File Number 3-16501
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Other
• Section 206(4) Advisers Act; Rule 206(4)-7 Advisers Act

Related Violations Alleged

Bartholomew A. Battista is alleged to have caused Blackrock Fund Advisors's violation of Section 206(4), Rule 206(4)-7 Investment Advisers Act; Rule 38a-1(a) Investment Company Act.

Resolutions

First Resolution Date 20-Apr-2015

Related Documents:

IA-4065 20-Apr-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

BlackRock Advisors, LLC