Defendant Name: Randall Merk

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter Randall Merk
First Document Date 28-Nov-2011
Initial Filing Format Administrative Action
File Number 3-14642
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Section 34(b) Investment Company Act

Related Violations Alleged

Randall Merk is alleged to have aided and abetted an unidentified individual or entity's violation of Sections 206(2), 206(4), Rule 206(4)-8 Advisers Act.


First Resolution Date

Related Documents:

34-65830 28-Nov-2011 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments
SEC v. Kimon P. Daifotis and Randall Merk
In the Matter of Kimon P. Daifotis