Defendant Name:
Barr M. Rosenberg
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Barr M. Rosenberg
First Document Date
22-Sep-2011
Initial Filing Format
Administrative Action
File Number
3-14559
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Director—Chairman at AXA Rosenberg Group LLC
- Current: Founder at AXA Rosenberg Group LLC
- Current: Controlling Shareholder at Barr Rosenberg Research Center LLC
Violations Alleged
•
Sections 206(1), 206(2) Advisers Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
22-Sep-2011
Headline Total Penalty and Disgorgement
See Related Documents
