Defendant Name: Winslow, Evans & Crocker, Inc.

Defendant Type: Subsidiary of Public Company

Document Reference: 34-103545

Document Details

Legal Case Name In the Matter of Winslow, Evans & Crocker, Inc.
Document Name Order Authorizing the Transfer to the U.S. Department of the Treasury of the Remaining Funds and any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
Document Date 24-Jul-2025
Document Format Administrative Proceeding
File Number 3-20223
Allegation Type Investment Advisers/Investment Companies
Document Summary The Commission ordered that: "A. the remaining funds in the amount of $364,984.43 that is infeasible to return to investors, and any funds returned to the Fair Fund in the future that are infeasible to return to investors, shall be transferred to the Treasury . . .; and B. the Fair Fund is terminated."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
The Commission ordered that: "A. the remaining funds in the amount of $364,984.43 that is infeasible to return to investors, and any funds returned to the Fair Fund in the future that are infeasible to return to investors, shall be transferred to the Treasury . . .; and B. the Fair Fund is terminated."
Fair Funds
Monetary Penalties:

Disgorgement

Individual:     $1,350,715.64 Shared:    

Civil Penalty

Individual:     $300,000.00 Shared:    

Pre-Judgment Interest

Individual:     $201,071.44 Shared:    

Total Penalty

Individual:     $1,851,787.08 Shared:    

Related Documents:

34-91118 11-Feb-2021 Administrative Proceeding
Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On February 12, 2021, the SEC instituted settled cease-and-desist proceedings against Winslow, Evans & Croker, Inc., stating: "These proceedings arise out of breaches of fiduciary duty by Winslow, a dually-registered investment adviser and broker-dealer, in connection with Winslow’s mutual fund share class and cash sweep selection practices that resulted in its receipt of three types of fees from its advisory clients’ investments at times from January 2014 through October 2020."