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


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.


First Resolution Date 04-Nov-2004
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-2318 04-Nov-2004 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

Related Actions:

In the Matter of Fremont Investment Advisors, Inc.
In the Matter of Larry Adams