Defendant Name:
Warren Lammert
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
- Former: Executive Vice President at Janus Capital Management LLC
- Former: Portfolio Manager at Janus Capital Management LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Warren Lammert 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).
Warren Lammert is alleged to have caused Janus Capital Management LLC's violation of Sec 17(a)(2) of the Securities Act.
Warren Lammert is alleged to have caused Janus Capital Management LLC's violation of Sec 17(a)(3) of the Securities Act.
Warren Lammert 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).
Warren Lammert is alleged to have aided and abetted Janus Capital Management LLC's violation of Sections 206(1), 206(2) Advisers Act; Section 34(b) Investment Company Act (willfully/knowingly).
Warren Lammert is alleged to have caused Janus Capital Management LLC's violation of Section 206(2) Advisers Act; Section 34(b) Investment Company Act.
Resolutions
First Resolution Date
28-Apr-2008
Other Defendants in Action:
