Defendant Name:
John D. Carifa
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of John D. Carifa
First Document Date
28-Apr-2005
Initial Filing Format
Administrative Action
File Number
3-11915
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—Chairman at Alliance Capital Management, LP
- Former: President at Alliance Capital Management, LP
- Former: COO at Alliance Capital Management, LP
- Former: Executive Committee Member at Alliance Capital Management, LP
Violations Alleged
Related Violations Alleged
John D. Carifa is alleged to have aided and abetted Alliance Capital Management, LP's violation of Sections 206(1), 206(2) Advisers Act; Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 3 years
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
- 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 12 months
First Resolution Date
28-Apr-2005
Headline Total Penalty and Disgorgement
$375,001
