Defendant Name:
Stephen J. Treadway
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Stephen J. Treadway
First Document Date
07-Nov-2006
Initial Filing Format
Administrative Action
File Number
3-12473
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—Chairman at PIMCO Funds (Until July 30, 2004)
- Former: CEO at PA Distributors LLC (Until July 30, 2004)
- Former: CEO at PIMCO Advisers Fund Management LLC (Until July 30, 2004)
- Former: Managing Director at PA Distributors LLC (Until July 30, 2004)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
First Resolution Date
