Defendant Name:
Cantella & Co.
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of Cantella & Co.
First Document Date
23-Feb-2016
Initial Filing Format
Administrative Action
File Number
3-17127
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 204(a), 206(4)(a) Advisers Act; Rule 204-2(a)(16), 206(4)-1(a)(5) Advisers Act
Resolutions
First Resolution Date
23-Feb-2016
Headline Total Penalty and Disgorgement
$100,000