Defendant Name:
Lance Newcomb
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb
First Document Date
31-Jul-2006
Initial Filing Format
Administrative Action
File Number
3-12386
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Assistant Vice President; Regional Sales Director at Janus Capital Management LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Lance Newcomb is alleged to have aided and abetted Janus Capital Management LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Lance Newcomb is alleged to have caused Janus Capital Management LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Lance Newcomb is alleged to have aided and abetted Janus Capital Management LLC's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Lance Newcomb is alleged to have caused Janus Capital Management LLC's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Lance Newcomb is alleged to have aided and abetted Janus Capital Management LLC's violation of Sections 206(1), 206(2) Advisers Act; Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act (willfully/knowingly).
Lance Newcomb is alleged to have caused Janus Capital Management LLC's violation of Sections 206(1), 206(2) Advisers Act; Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act (willfully/knowingly).
Resolutions
First Resolution Date
28-Apr-2008
Other Defendants in Action:
