SEC
Whistleblower
Advocates

August 10, 2015

Guggenheim Partners Investment Management, LLC

Financial Fraud

SANCTION AMOUNT: 20,000,000.00

Defendants: Guggenheim Partners Investment Management, LLC

Settlement of charges that Respondent failed to disclose a $50 million loan that one of its senior executives received from an advisory client, and billed a client for asset management fees on non-managed assets. The latter was found to be inadvertant.

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