Defendant Name:
Institutional Shareholder Services, Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2013-92
Document Details
Legal Case Name
In the Matter of Institutional Shareholder Services Inc.
Document Name
SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information
Document Date
23-May-2013
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On May 23, 2013, the SEC announced that it "charged Rockville, Md.-based proxy adviser Institutional Shareholder Services (ISS) for failing to safeguard the confidential proxy voting information of clients participating in a number of significant proxy contests."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant