Defendant Name:
Edgar M. Larsen
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Edgar M. Larsen
First Document Date
18-Jul-2005
Initial Filing Format
Administrative Action
File Number
3-11986
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Chief Investment Officer at AIM Advisors, Inc. (June 2003—January 1, 2005)
- Former: Chief Equity Officer at AIM Advisors, Inc. (July 1998—June 2003)
Violations Alleged
Related Violations Alleged
Edgar M. Larsen is alleged to have aided and abetted AIM Advisors, Inc.'s violation of Section 206(2) Investment Advisers Act; Section 17(d), 34(b) Investment Company Act; Rule 17d-1 Investment Company Act (willfully/knowingly).
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 6 months
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 6 months
First Resolution Date
18-Jul-2005
Headline Total Penalty and Disgorgement
$100,000
