Defendant Name:
William C. Thater
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of General American Life Insurance Company and William C. Thater
First Document Date
09-Aug-2007
Initial Filing Format
Administrative Action
File Number
3-12720
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Senior Vice President at General American Life Insurance Company, Inc. (Until November 3, 2003)
Related Violations Alleged
William C. Thater is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 22c-1 Investment Company Act (willfully/knowingly).
William C. Thater is alleged to have caused an unidentified individual or entity's violation of Rule 22c-1 Investment Company Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 3 years
First Resolution Date
09-Aug-2007
Headline Total Penalty and Disgorgement
$3,463,138
Other Defendants in Action:
