Dispute
cmdty fx repo real
estate
short
term
loans
equity fx  ir  cmdty note

Incident

Incident
PIMCO's Misled Investors
Incident Summary
SEC Charged A Delaware Based Investment Adviser To Use “Odd Lot” Strategy Which Caused To Overvalue Its Portfolio And Thus Fail To Price Fund Shares On The Basis Of Their Net Asset Value
Alleged Loses:
Unknown
Date
Dec 01, 2016
Post Madoff
Yes

Red Flags

Red Flag Summary
Overvalue Its Portfolio
Ten12 Red Flags
Other Red Flags
Ten12 Security prices
Investment Advisor Analysis
Fund Vendor Analysis
Non Registered Funds

Fund(s)/Portfolio(s):

PIMCO Total Return-Exchange-Traded Fund

Vendors

Accountant

Custodian Bank

Fund Administrator

Pricing Vendor

Prime Broker(s)

-

-

-

-

-

Entity

Fined Entity

Fines & Penalties

- PIMCO

- $19,829,808

People