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Violation Tracker Individual Record

Company: First Eagle Investment Management and FEF Distributors
Penalty: $39,748,260
Year: 2015
Date: September 21, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: First Eagle Investment Management and FEF Distributors agreed to pay nearly $40 million to settle allegations of improperly using mutual fund assets to pay for the marketing and distribution of fund shares.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.