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Violation Tracker Individual Record

Company: Invesco Funds Group
Current Parent CompanyInvesco
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $325,000,000
Year: 2004
Date: September 7, 2004
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The New York Attorney General and Colorado regulators announced a $325 million settlement with a leading mutual fund company to resolve allegations of unlawful trading of mutual funds through market timing. The settlement was negotiated together with the SEC, which issued its own announcement; see the Violation Tracker entry at (click here)
Level of Government: state
Action Type: agency action
Agency: Multistate Attorneys General Case
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Georgia
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: investment management
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.