Defendant Name: Michael J. Laughlin

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Michael J. Laughlin
First Document Date 28-Apr-2005
Initial Filing Format Administrative Action
File Number 3-11916
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Related Violations Alleged

Michael J. Laughlin is alleged to have aided and abetted Alliance Capital Management, LP's violation of Section 206(1), 206(2) Advisers Act; Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act.


First Resolution Date 28-Apr-2005
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-51624 28-Apr-2005 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940

Related Actions:

In the Matter of Alliance Capital Management, LP
In the Matter of Gerald T. Malone
In the Matter of John D. Carifa