Defendant Name:
The Phoenix Companies Inc.
Defendant Type:
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, the SEC issued an order amending an earlier order issued on March 21, 2014 instituting cease-and-desist proceedings against The Phoenix Companies, Inc. and PHL Variable Life Insurance Company. The SEC found that The Phoenix Companies failed to file various SEC filings according to the agreed upon deadline under the March 21, 2014 order.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Various undertakings
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
Other Defendants in Action:
