Defendant Name:
Lisa B. Premo
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Lisa B. Premo
First Document Date
17-Jan-2012
Initial Filing Format
Administrative Action
File Number
3-14697
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Chief Investment Officer at Evergreen Investment Company, Inc. (From December 2007)
- Former: Ultra Fund Lead Portfolio Manager at Evergreen Investment Company, Inc. (October 1996—June 2008)
Violations Alleged
•
Sections 206(1), 206(2) Investment Advisers Act
Related Violations Alleged
Lisa B. Premo is alleged to have aided and abetted Evergreen Investment Company, Inc.'s violation of Sections 206(1), 206(2) Investment Advisers Act (willfully/knowingly).
Lisa B. Premo is alleged to have aided and abetted Evergreen Ultra Short Opportunities Fund's violation of Section 22(c) Investment Company Act; Rule 22c-1(a) 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 5 years
First Resolution Date
26-Dec-2012
