Defendant Name: Altschuler, Melvoin and Glasser LLP

Defendant Type: Subsidiary of Public Company
Public Company Parent: H&R Block, Inc.
SIC Code: 6159
CUSIP: 09367110

Initial Case Details

Legal Case Name In the Matter of Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA
First Document Date 04-Oct-2010
Initial Filing Format Administrative Action
File Number 3-14084
Allegation Type Investment Advisers/Investment Companies
AAER 3194

Violations Alleged

Other
• Section 4C(b)(2) Exchange Act; Rule 102(e)(1)(ii) Commission's Rules of Practice

Related Violations Alleged

Altschuler, Melvoin and Glasser LLP is alleged to have caused Sentinel Management Group, Inc.'s violation of Section 206(4), Rule 206(4)-2 Advisers Act.

Resolutions

First Resolution Date 04-Oct-2010
Headline Total Penalty and Disgorgement $24,176

Related Documents:

34-63030 04-Oct-2010 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers 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
On October 4, 2010, the SEC instituted settled administrative and cease-and-desist proceedings against Altschuler, Melvin and Glasser LLP and G. Victor Johnson, II, CPA. According to the SEC: "This matter concerns the roles of audit firm Altschuler, Melvoin and Glasser LLP ('Altschuler') and engagement partner George Victor Johnson, II ('Johnson') in violations of Section 206(4) of the Advisers Act and Rule 206(4)-2 (the 'Custody Rule') under the Advisers Act by Sentinel Management Group, Inc. ('Sentinel'), a registered investment adviser."

Other Defendants in Action:

G. Victor Johnson, II