Defendant Name:
Bartholomew A. Battista
Defendant Type:
Individual
Document Reference:
IA-4065
Document Details
Legal Case Name
In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
20-Apr-2015
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Defendants in Action:
