Defendant Name: Fidelity Management & Research Company

Defendant Type: Other

Document Reference: IA-2713

Document Details

Legal Case Name In the Matter of Fidelity Management & Research Company and FMR Co., Inc.
Document Name Order Instituting Administrative And Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order 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
Document Date 25-Aug-2016
Document Format Administrative Proceeding
File Number 3-12976
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:

Civil Penalty

Individual:     $8,000,000.00 Shared:    

Other Defendants in Action:

Related Actions:

In the Matter of Jefferies & Co., Inc. and Scott Jones
In the Matter of Kevin W. Quinn
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith