Defendant Name: Security Capital Research & Management Incorporated

Defendant Type: Subsidiary of Public Company
Public Company Parent: JPMorgan Chase & Co.
SIC Code: 6021
CUSIP: 46625H10

Initial Case Details

Legal Case Name In the Matter of Security Capital Research & Management Incorporated
First Document Date 10-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16092
Allegation Type Other

Violations Alleged

Related Violations Alleged

Security Capital Research & Management Incorporated is alleged to have caused Security Capital Preferred Growth Incorporated's violation of Section 16(a), Rule 16a-3 Exchange Act.


First Resolution Date 10-Sep-2014
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-73063 10-Sep-2014 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 10, 2014, the SEC instituted a settled cease-and-desist proceeding against Security Capital Research & Management Incorporated ("SCRM"). According to the SEC: "These proceedings arise out of violations of the beneficial ownership reporting requirements of the federal securities laws.... SCRM failed to file on a timely basis multiple required Section 16(a) reports of transactions in the securities of Ashford Hospitality Trust, Inc. ('Ashford') it executed on behalf of an affiliated private fund it managed that held beneficial ownership of greater than 10% of Ashford's registered class of common stock."