Defendant Name: John W. Ballen

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
First Document Date 05-Feb-2004
Initial Filing Format Administrative Action
File Number 3-11393
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Sections 206(1), 206(2) Investment Advisers Act; Section 34(b) Investment Company Act


First Resolution Date 05-Feb-2004
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-2213 05-Feb-2004 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) 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
34-81064_3-11393 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Other Defendants in Action: