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


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.


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

See Related Documents

Related Documents:

IA-2379 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 Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment

Related Actions:

In the Matter of Alliance Capital Management, LP
In the Matter of Michael J. Laughlin
In the Matter of Gerald T. Malone