Defendant Name: Andrew C. Boynton

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
First Document Date 01-Jul-2015
Initial Filing Format Administrative Action
File Number 3-16672
Allegation Type Issuer Reporting and Disclosure
AAER 3668

Affiliations

Violations Alleged

Related Violations Alleged

Andrew C. Boynton is alleged to have caused an unidentified individual or entity's violation of Section 20(a), 30(a), Rule 20a-1 Investment Company Act.

Resolutions

First Resolution Date 01-Jul-2015
Headline Total Penalty and Disgorgement $1,219,245

Related Documents:

34-75343 01-Jul-2015 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, Section 9(f) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

ALPS Fund Services, Inc.
Deloitte & Touche LLP