Defendant Name: Joseph Palombo

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Joseph Palombo
First Document Date 09-Feb-2005
Initial Filing Format Administrative Action
File Number 3-11815
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Related Violations Alleged

Joseph Palombo is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Section 206(2) Advisers Act; Section 34(b) Investment Company Act (willfully/knowingly).


First Resolution Date 09-Feb-2005
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-2352 09-Feb-2005 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 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

Related Actions:

In the Matter of Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
SEC v. James Tambone and Robert Hussey
In the Matter of Peter Martin
In the Matter of Erik Gustafson