Defendant Name: Ellen E. Terry

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry
First Document Date 20-Dec-2012
Initial Filing Format Administrative Action
File Number 3-15146
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Other
• Section 34(b) Investment Company Act

Related Violations Alleged

Ellen E. Terry is alleged to have caused The New America High Income Fund, Inc. 's violation of Section 23(c), Rule 23c-1 Investment Company Act.

Resolutions

First Resolution Date 20-Dec-2012
Headline Total Penalty and Disgorgement $433,400

Related Documents:

IC-30313 20-Dec-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

The New America High Income Fund, Inc.
Robert F. Birch