Defendant Name: Howard B. Present

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Howard B. Present
First Document Date 22-Dec-2014
Initial Filing Format Civil Proceeding
Case Number 14-cv-14692
Allegation Type Investment Advisers/Investment Companies
Federal District Court Massachusetts, District of Massachusetts

Affiliations

Violations Alleged

Other
• Sections 206(1), 206(2), 206(4), 207 Advisers Act; Rule 206(4)-8 Advisers Act

Related Violations Alleged

Howard B. Present is alleged to have aided and abetted F-Squared Investments, Inc.'s violation of Section 206(4), Rule 206(4)-1 Advisers Act.
Howard B. Present is alleged to have aided and abetted No Specified Entity's violation of Section 206(4) Advisers Act; Rule 206(4)-8 Advisers Act.

Resolutions

First Resolution Date 22-Mar-2018
Headline Total Penalty and Disgorgement $13,801,607

Related Documents:

comp-pr2014-289 22-Dec-2014 Complaint
Complaint: Jury Trial Demanded
court_doc388_14-cv-14692 22-Mar-2018 Court Docket Document
Final Judgment

Related Actions:

In the Matter of Virtus Investment Advisers, Inc.
Virtus Investment Advisers, Inc.
In the Matter of F-Squared Investments, Inc.
F-Squared Investments, Inc.