Investment Security
Pacific investment Management CO LLCFind BBB Accredited Businesses in Investment Security.
Information and Alerts
Alert Details
This business has 1 alert.
Government Actions
US Securities and Exchange Commission v Pacific Investment Management Company LLC
The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.
On June 16, 2023, Pacific Investment Management Company LLC entered into an Order Instituting Administrative and Cease and Desist Order with the US Securities and Exchange Commission. The order settles allegations that the business did not adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and its rules. Under terms of the order, the business agrees to cease and desist from committing or causing any violations, and shall pay a civil money penalty in the amount of $2,500,000.
This action is final.
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