Person Communication and Meetings / Employment Change / /
Facility
Enterprise Services Center Accounts Receivable Branch HQ Bldg. / /
IndustryTerm
bank account / possible securities law violations / discretionary portfolio management services / bank / performance advertising / compliance services / /
MarketIndex
S&P 500 / /
Organization
Enforcement Division / Chicago Regional Office / office of Compliance Inspections and Examinations / Securities and Exchange Commission / U.S. Treasury / /
Person
GEORGE M. PRUGH / LARRY K. PITTS / Brian Fagel / Larry Keith Pitts / George Michael Prugh / /
Position
Certified Public Accountant / general fund / Vice President / CFO / and Chairman of the Investment Committee / Portfolio Manager / cashier / independent compliance consultant / de facto Chief Compliance Officer / Compliance Consultant / consultant / designated Chief Compliance Officer / Chartered Financial Analyst / Chief Compliance Officer / CEO / Chief Counsel / investment adviser / Senior Vice President/CFO / registered investment adviser / Brent J. Fields Secretary / CEO and Portfolio Manager / Assistant Regional Director / /
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoMay 18, 2015 ADMINISTRATIVE PROCEEDING