SEC Sanctions Adviser for Failure to File Form 13F
September 01, 2007
On August 15, the Securities and Exchange Commission (“SEC” or the “Commission”) sanctioned Quattro Global Capital, LLC (“Quattro”), a registered investment adviser, for failing to file Forms 13F with the Commission between 2002 and mid-2005. Without admitting or denying the Commission’s findings, Quattro agreed to settle the charges by agreeing to the issuance of a censure, a cease-and-desist order, and payment of a $100,000 civil penalty.
