Defendant Name: Harvest Volatility Management LLC

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Harvest Volatility Management LLC
First Document Date 25-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22174
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Sections 206(2), 206(4) Advisers Act; Rule 206(4)-7 Advisers Act

Resolutions

First Resolution Date 25-Sep-2024
Headline Total Penalty and Disgorgement $5,500,000

Related Documents:

IA-6726 25-Sep-2024 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated