Defendant Name:
William M. Ennis
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of William M. Ennis
First Document Date
19-Sep-2007
Initial Filing Format
Administrative Action
File Number
3-12806
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—No Specific Position Named in Document at Evergreen Investment Management Company, LLC (Until June 2003)
- Former: President at Evergreen Investment Company, Inc. (April 2000—June 2003)
- Former: Senior Vice President at Evergreen Investment Company, Inc. (December 1996—April 2000)
- Former: Controller/Comptroller at Evergreen Investment Management Company, LLC (Until June 2003)
Violations Alleged
•
Section 34(b) Investment Company Act
Related Violations Alleged
William M. Ennis is alleged to have aided and abetted Wachovia Securities, LLC's violation of Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act (willfully/knowingly).
William M. Ennis is alleged to have aided and abetted Evergreen Investment Management Company, LLC's violation of Sections 206(1), 206(2) Advisers Act (willfully/knowingly).
William M. Ennis is alleged to have caused Wachovia Securities, LLC's violation of Section 17(d) Investment Company Act; Rule 17d-1 Investment Company Act (willfully/knowingly).
William M. Ennis is alleged to have caused Evergreen Investment Management Company, LLC'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 1 year
First Resolution Date
19-Sep-2007
Headline Total Penalty and Disgorgement
$150,001
