Defendant Name:
Harvest Volatility Management LLC
Defendant Type:
Other
Document Reference:
IA-6726
Document Details
Legal Case Name
In the Matter of Harvest Volatility Management LLC
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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
25-Sep-2024
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$2,500,000.00
Shared:
Civil Penalty
Individual:
$2,000,000.00
Shared:
Pre-Judgment Interest
Individual:
$1,000,000.00
Shared:
