Defendant Name:
Altschuler, Melvoin and Glasser LLP
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
H&R Block, Inc.
SIC Code:
6159
CUSIP:
09367110
Document Reference:
34-63030
Document Details
Legal Case Name
In the Matter of Altschuler, Melvin and Glasser LLP, and G. Victor Johnson, II, CPA
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
04-Oct-2010
Document Format
Administrative Proceeding
AAER
3194
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On October 4, 2010, the SEC instituted settled administrative and cease-and-desist proceedings against Altschuler, Melvin and Glasser LLP and G. Victor Johnson, II, CPA. According to the SEC: "This matter concerns the roles of audit firm Altschuler, Melvoin and Glasser LLP ('Altschuler') and engagement partner George Victor Johnson, II ('Johnson') in violations of Section 206(4) of the Advisers Act and Rule 206(4)-2 (the 'Custody Rule') under the Advisers Act by Sentinel Management Group, Inc. ('Sentinel'), a registered investment adviser."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Disgorgement
Individual:
$18,700.00
Shared:
Pre-Judgment Interest
Individual:
$5,476.00
Shared:
Other Defendants in Action:
