Violation Tracker Individual Record
Company:Fremont Investment Advisors
Date:November 4, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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:
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