SEC
Whistleblower
Attorneys

August 27, 2018

AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., Transamerica Financial Advisors, Inc.

Trading and Pricing

SANCTION AMOUNT: $97602040

Defendants: AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., Transamerica Financial Advisors, Inc.

Respondent AUIM is an investment advisor and the Commission found that it developed/utilized faulty models, pursuant to which billions of dollars had been invested. Respondents TAM and TFA are also investment advisors and are/were affiliated with AUIM, and Transamerica Capital is an affiliated broker-dealer. They were charged based on their involvement and the problems with AUIM's models. TFA also allegedly sold fraudulent strategies managed by F-Squared Investments, Inc.

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