Defendant Name:
Bradesco Global Advisors Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2024-46_3-21912
Document Details
Legal Case Name
In the Matter of Bradesco Global Advisors Inc.
Document Name
SEC Charges Five Investment Advisers for Marketing Rule Violations
Document Date
12-Apr-2024
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On April 12, 2024, the SEC "announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC's charges and to pay $200,000 in combined penalties."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Monetary Penalties:
Civil Penalty
(Penalty was noted in document, but no amount was listed)