Defendant Name: Delaware Asset Advisers

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Delaware Asset Advisers and Wei (Alex) Wei
First Document Date 18-Jul-2012
Initial Filing Format Administrative Action
File Number 3-14952
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Section 206(2) Investment Advisers Act
Additionally, Wei (Alex) Wei is alleged to have aided and abetted Delaware Asset Advisers's violation of Section 206(2) Investment Advisers Act.

Resolutions

First Resolution Date 18-Jul-2012
Headline Total Penalty and Disgorgement $4,814,520

Related Documents:

33-9339 18-Jul-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Other Defendants in Action:

Wei (Alex) Wei

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