Defendant Name:
Peter Martin
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Peter Martin
First Document Date
09-Feb-2005
Initial Filing Format
Administrative Action
File Number
3-11816
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Vice President at Columbia Funds Distributor, Inc. (1998—February 2002)
- Former: Senior Vice President at Liberty Funds Group (2002—February 2002)
- Former: Broker/Registered Representative at Columbia Funds Distributor, Inc. (February 2002—March 2004)
- Former: Broker/Registered Representative at Liberty Funds Group (February 2002—March 2004)
- Former: National Sales Manager of the Independent Advisor Division at Columbia Funds Distributor, Inc. (February 2002—March 2004)
Related Violations Alleged
Peter Martin is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Section 206(2) Investment Advisors Act; Section 34(b) Investment Company Act (willfully/knowingly).
Resolutions
First Resolution Date
09-Feb-2005
Headline Total Penalty and Disgorgement
$60,000
