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
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Other Compliance Related Undertaking
Various undertakings
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: