Organization

BlackRock Advisors

Investment adviser registered with the SEC; a subsidiary of BlackRock, Inc.

3 links, 3 backed by primary records

Legal records

In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista

20 Apr 2015 Settled with U.S. Securities and Exchange Commission: $12M, failing to disclose a conflict of interest to clients and fund boards; without admitting or denying the findings 1 2

In the Matter of BlackRock Advisors, LLC

24 Oct 2023 Settled with U.S. Securities and Exchange Commission: $2.5M, failing to accurately describe a fund's investment in its reports; without admitting or denying the findings 3 4

Connections 3

U.S. Securities and Exchange Commission 20 Apr 2015 $12M, failing to disclose a conflict of interest to clients and fund boards; without admitting or denying the findings Primary record 1 2
U.S. Securities and Exchange Commission 24 Oct 2023 $2.5M, failing to accurately describe a fund's investment in its reports; without admitting or denying the findings Primary record 3 4

Timeline 2 dates

Proof 4 sources

SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards (press release 2015-71), U.S. Securities and Exchange Commission, 20 Apr 2015. Primary record
BlackRock agreed to settle the charges and pay a $12 million penalty.
In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista (Advisers Act Release No. 4065), U.S. Securities and Exchange Commission, 20 Apr 2015. Primary record
BlackRock breached its fiduciary duty by failing to disclose a conflict of interest
without admitting or denying the findings herein
BlackRock is a subsidiary of BlackRock, Inc., an investment management firm with assets under management of approximately $4.3 trillion as of December 31, 2013.
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised (press release 2023-226), U.S. Securities and Exchange Commission, 24 Oct 2023. Primary record
To settle the charges, BlackRock agreed to pay a $2.5 million penalty.
In the Matter of BlackRock Advisors, LLC (Advisers Act Release No. 6468), U.S. Securities and Exchange Commission, 24 Oct 2023. Primary record
failed to accurately describe a BIT investment in periodic reports filed with the Commission over a five-year period.
without admitting or denying the findings herein

Page history 1 change