Defendant Name: Fremont Investment Advisors, Inc.

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Fremont Investment Advisors, Inc.
First Document Date 04-Nov-2004
Initial Filing Format Administrative Action
File Number 3-11726
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Sections 206(1), 206(2) Investment Advisers Act; Sections 17(d), 34(b) Investment Company Act; Rule 17d-1 Investment Company Act

Related Violations Alleged

Fremont Investment Advisors, Inc. is alleged to have caused Fremont Mutual Funds's violation of Rule 22c-1 Investment Company Act.

Resolutions

First Resolution Date 04-Nov-2004
Headline Total Penalty and Disgorgement $4,146,000

Related Documents:

IA-2317 04-Nov-2004 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 Issuing a Cease-and-Desist Order
34-62090 12-May-2010 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
34-62090-pdp 12-May-2010 Administrative Proceeding
Proposed Plan of Distribution
34-62381 25-Jun-2010 Administrative Proceeding
Order Approving Plan Appointing a Fund Administrator, and Waiving Bond
34-62381-fpd 25-Jun-2010 Administrative Proceeding
Final Plan of Distribution
34-63203 28-Oct-2010 Administrative Proceeding
Order Directing Disbursement of Fair Fund
34-67483 20-Jul-2012 Administrative Proceeding
Order Directing Disbursement
34-71426 28-Jan-2014 Administrative Proceeding
Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund

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