Defendant Name: Claire P. Shaughnessy

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Claire P. Shaughnessy
First Document Date 25-Jan-2024
Initial Filing Format Administrative Action
File Number 3-21836
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Other
• Section 206(2) Advisers Act

Resolutions

First Resolution Date 25-Jan-2024
Headline Total Penalty and Disgorgement $30,000

Related Documents:

IA-6535 25-Jan-2024 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Related Actions:

In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc.
Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc.