Defendant Name: Fremont Investment Advisors, Inc.

Defendant Type: Other

Document Reference: IA-2317

Document Details

Legal Case Name In the Matter of Fremont Investment Advisors, Inc.
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 Issuing a Cease-and-Desist Order
Document Date 04-Nov-2004
Document Format Administrative Proceeding
File Number 3-11726
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Corporate Governance Undertaking; Undertaking to Cooperate in Related Action; Undertaking to Compensate Investors/Customers
Remedial Acts or Efforts Before the Resolution
Fair Funds
Plan of Distribution
Monetary Penalties:

Disgorgement

Individual:     $2,146,000.00 Shared:    

Civil Penalty

Individual:     $2,000,000.00 Shared:    

Total Penalty

Individual:     $4,146,000.00 Shared:    

Related Documents:

34-62090 12-May-2010 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
34-62090-pdp 12-May-2010 Administrative Proceeding
Proposed Plan of Distribution
34-62381 25-Jun-2010 Administrative Proceeding
Order Approving Plan Appointing a Fund Administrator, and Waiving Bond
34-62381-fpd 25-Jun-2010 Administrative Proceeding
Final Plan of Distribution
34-63203 28-Oct-2010 Administrative Proceeding
Order Directing Disbursement of Fair Fund
34-67483 20-Jul-2012 Administrative Proceeding
Order Directing Disbursement
34-71426 28-Jan-2014 Administrative Proceeding
Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund

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