Defendant Name:
Erik Gustafson
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Erik Gustafson
First Document Date
09-Feb-2005
Initial Filing Format
Administrative Action
File Number
3-11817
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Portfolio Manager at Columbia Growth Stock Fund (1995—September 2003)
- Former: Portfolio Manager at Columbia Young Investor Fund (1995—September 2003)
Violations Alleged
Related Violations Alleged
Erik Gustafson is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Sections 206(1), 206(2) Advisers 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 12 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 12 months
First Resolution Date
09-Feb-2005
Headline Total Penalty and Disgorgement
$100,000
