Defendant Name:
PHL Variable Insurance Company
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-72738
Document Details
Legal Case Name
In the Matter of The Phoenix Companies, Inc. and PHL Variable Insurance Company
Document Name
Order Amending Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Revised Undertakings
Document Date
01-Aug-2014
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On August 1, 2014, SEC issued an order amending an earlier order instituting cease-and-desist proceedings against PHL Variable Insurance Company and Phoenix Companies, Inc. SEC found that, since the earlier order in March 2014, the defendants announced restatement but failed to file any quarterly and annual reports as required.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Various undertakings
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
Other Defendants in Action:
