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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
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

Related Documents:

33-8727 31-Jul-2006 Administrative Proceeding
Administrative Proceeding
id348cff 28-Apr-2008 ALJ Initial Decision
Initial Decision

Other Defendants in Action:

Related Actions:

In the Matter of Janus Capital Management LLC