Defendant Name:
AEGON USA Investment Management, LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-100270
Document Details
Legal Case Name
In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc. and Transamerica Financial Advisors, Inc.
Document Name
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
Document Date
04-Jun-2024
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
The Commission ordered that: "A. the remaining funds that are infeasible to return to investors, in the amount of $4,619,370.26, and any funds returned to the Fair Fund in the future that are infeasible to return to investors, shall be transferred to the U.S. Treasury . . . ; B. the Fair Fund is terminated."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
The Commission ordered that: "A. the remaining funds that are infeasible to return to investors, in the amount of $4,619,370.26, and any funds returned to the Fair Fund in the future that are infeasible to return to investors, shall be transferred to the U.S. Treasury . . . ; B. the Fair Fund is terminated."
Fair Funds
Monetary Penalties:
Disgorgement
(Penalty was noted in document, but no amount was listed)
Civil Penalty
(Penalty was noted in document, but no amount was listed)
Pre-Judgment Interest
(Penalty was noted in document, but no amount was listed)
Other Defendants in Action: