Defendant Name: Kevin A. Giles

Defendant Type: Individual

Document Reference: IA-4998

Document Details

Legal Case Name In the Matter of Kevin A. Giles
Document Name Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Document Date 27-Aug-2018
Document Format Administrative Proceeding
File Number 3-18683
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Fair Funds
Monetary Penalties:

Civil Penalty

Individual:     $25,000.00 Shared:    

Related Actions:

In the Matter of F-Squared Investments, Inc.
F-Squared Investments, Inc.
In the Matter of AEGON USA Investment Management, LLC, et al.
AEGON USA Investment Management, LLC
Transamerica Asset Management, Inc.
Transamerica Capital Inc.
Transamerica Financial Advisors, Inc.
In the Matter of Bradley J. Beman
Bradley J. Beman