Defendant Name:
Larry Adams
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Larry Adams
First Document Date
04-Nov-2004
Initial Filing Format
Administrative Action
File Number
3-11728
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Vice President at Fremont Investment Advisors, Inc. (August 2001—May 2003)
- Former: Registered Investment Adviser at Fremont Investment Advisors, Inc. (February 2001—May 2003)
Violations Alleged
•
Sections 206(1), 206(2) Investment Advisers Act; Section 34(b) Investment Company Act
Related Violations Alleged
Larry Adams is alleged to have aided and abetted Fremont Investment Advisors, Inc.'s violation of Section 206(1), 206(2) Advisers Act; Section 34(b) Investment Company Act (willfully/knowingly).
Larry Adams is alleged to have caused Fremont Investment Advisors, Inc.'s violation of Section 206(1), 206(2) Advisers Act; Section 34(b) 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
19-May-2005
Headline Total Penalty and Disgorgement
$11,001
