Defendant Name:
Nancy C. Tengler
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Nancy C. Tengler
First Document Date
04-Nov-2004
Initial Filing Format
Administrative Action
File Number
3-11727
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—No Specific Position Named in Document at Fremont Investment Advisors, Inc. (October 2000—January 2003)
- Former: CEO at Fremont Investment Advisors, Inc. (May 1, 2001—January 2003)
- Former: President at Fremont Investment Advisors, Inc. (October 2000—January 2003)
Violations Alleged
•
Section 206(2) Advisers Act; Section 34(b) Investment Company Act
Related Violations Alleged
Nancy C. Tengler is alleged to have caused Fremont Investment Advisors, Inc.'s violation of Section 17(d), Rule 17d-1 Investment Company Act.
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
04-Nov-2004
Headline Total Penalty and Disgorgement
$127,000
