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Violation Tracker Individual Record

Company: Fremont Investment Advisors
Penalty: $4,146,000
Year: 2004
Date: November 4, 2004
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: Fremont Investment Advisors agreed to pay more than $4 million to settle allegations of entering into improper and undisclosed agreements that allowed favored large investors to engage in rapid short-term securities trading known as market timing.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.